Ethics Investigation Procedures Flashcards
7 cards from real CEA practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Ethics Investigation Procedures flashcards as text
Why is it important to establish a written investigation plan before conducting interviews?
Answer: To ensure the investigation is systematic, objective, and legally defensible
A written investigation plan outlines scope, methods, and timelines, promoting consistency and providing documentation that the process was fair and thorough.
Which behavior by an investigator would constitute an improper investigative practice?
Answer: Promising a witness that their identity will never be revealed under any circumstances
Investigators cannot guarantee absolute anonymity because circumstances (litigation, regulatory inquiries) may compel disclosure; promising it unconditionally is misleading.
When documenting witness interviews, the best practice is to:
Answer: Create contemporaneous notes capturing questions asked and key answers given
Contemporaneous interview notes form the evidentiary backbone of an investigation and must capture both the questions posed and the substance of responses.
A manager discovers that a subordinate has been falsifying expense reports and wants to handle it informally to avoid embarrassment. An ethics investigator should:
Answer: Advise that all credible allegations of policy violations require formal investigation
Ethics policies require consistent, formal investigation of credible violations regardless of the manager's preference or the perceived severity of the misconduct.
What is the primary purpose of a 'Weingarten notice' in unionized workplace investigations in the US?
Answer: It informs a union employee of their right to have a union representative present during investigatory interviews
Under NLRA Weingarten rights, unionized employees may request union representation during investigatory interviews they reasonably believe could result in discipline.
Which of the following is a sign that an investigation may be losing its objectivity?
Answer: The investigator reaches a conclusion before gathering all available evidence
Forming conclusions prematurely introduces confirmation bias, causing investigators to selectively gather evidence that supports their existing belief.
After completing an ethics investigation, the investigator's final report should typically include all of the following EXCEPT:
Answer: The recommended disciplinary penalty for each individual named
Investigators determine facts and draw conclusions, but specific disciplinary decisions are typically reserved for HR and management, not the investigator.