Question 1

The False Claims Act compels the whistleblower to consider all but which of the following?

Accepted Answer

A)   he/she must have actual knowledge of the fraud
B)   the fraud must be tax fraud; tax fraud is the only type of fraud the act addresses
C)   federal money must be involved
D)   the financial amount of the fraud must be sizable, and the entity to be sued must be able to pay back the stolen money and associated fine
E)   the evidence of the fraud cannot come from a publicly disclosed source such as a newspaper B

Question 2

The ethics and compliance officer in an organization must differentiate between which of the following types of ethical issues?

Accepted Answer

A)   discrimination and harassment
B)   material and immaterial issues
C)   right and wrong
D)   all of the above
E)   none of the above B

Question 3

Assist lines or "ethics hotlines" can help address issues of confidentiality and false accusations in reporting wrongdoing.

Accepted Answer

A) True 
 B)False  True

Question 4

Authoritarian leaders rule according to the saying "my way or the highway," tend to expect absolute loyalty,and consider taking suggestions from subordinates as a leadership weakness.

Accepted Answer

A) True 
 B)False

Question 5

In general,ethically approachable managers embody _____________ behaviors.

Accepted Answer

A)   dissenting
B)   virtuous
C)   inconsistent
D)   all of the above
E)   none of the above

Question 6

People are often uncomfortable conveying negative information to organizational leaders who welcome ethical discussions.

Accepted Answer

A) True 
 B)False

Question 7

External whistleblowing is the result of the failure of ______________ within an organization.

Accepted Answer

A)   ethical values
B)   internal communication systems
C)   privacy
D)   employee loyalty
E)   none of the above

Question 8

Even smaller organizations with less than 50 employees can benefit from a clearly articulated internal reporting system for ethical issues.

Accepted Answer

A) True 
 B)False

Question 9

Which of the following organizational factors are associated with employee silence?

Accepted Answer

A)   work culture discourages dissent
B)   loyalty to the organizational members is not aligned with ethics
C)   no established reporting system exists
D)   all of the above
E)   none of the above

Question 10

It is impossible to discourage false accusations with an effective assist line.

Accepted Answer

A) True 
 B)False

Question 11

Which of the following is not a provision of the Sarbanes-Oxley Act (SOX)?

Accepted Answer

A)   protection for whistleblowers
B)   creation of the Public Company Accounting Oversight Board
C)   establishment of an anonymous reporting mechanism for employees to report fraud
D)   auditors cannot engage in consulting work for companies they are auditing without approval from the client's audit committee
E)   none of the above

Question 12

Employee silence is less likely when the chain of command is the only mechanism for reporting and when the person behaving unethically can readily identify the information source.

Accepted Answer

A) True 
 B)False

Question 13

In order to be effective,the ethics and compliance officer must be someone in a dedicated position,not someone who serves that function in addition to another role such as legal counsel.

Accepted Answer

A) True 
 B)False

Question 14

Which of the following duties is not consistent with those of the ethics and compliance officer?

Accepted Answer

A)   managing internal reporting systems
B)   offering guidance
C)   developing and interpreting ethics policies
D)   assigning all ethical issues equal standing
E)   none of the above

Question 15

Observers of ethical misconduct will often remain silent when they perceive reporting as a violation of ___________ to employees,managers,and the organization.

Accepted Answer

A)   loyalty
B)   whistleblowing
C)   professionalism
D)   silence
E)   none of the above

Question 16

Describe the process a manager can undertake to engage employees in discussion of ethical misconduct.

Accepted Answer

The answer of Describe the process a manager can undertake...

Question 17

According to recent research by the Ethics Resource Center,which percentage of respondents who observed ethical misconduct did not report it?

Accepted Answer

A)   77%
B)   57%
C)   37%
D)   17%
E)   none of the above

Question 18

In order to successfully prosecute wrongdoing in the workplace,the employee who raised the concern must identify him/herself during the investigation process.

Accepted Answer

A) True 
 B)False

Question 19

Contacting someone outside the organization about potential or actual nontrivial misconduct inside the organization is referred to as __________________.

Accepted Answer

A)   reporting
B)   whistleblowing
C)   prosecuting
D)   protecting
E)   none of the above

Question 20

A method for preserving employee anonymity in the internal reporting system is to use an identification number for the case and filter communications through a resource such as EthicsPoint or other telephone services.

Accepted Answer

A) True 
 B)False

Exam 8: Ethics Reporting Systems

The False Claims Act compels the whistleblower to consider all but which of the following?

The ethics and compliance officer in an organization must differentiate between which of the following types of ethical issues?

Assist lines or "ethics hotlines" can help address issues of confidentiality and false accusations in reporting wrongdoing.

Authoritarian leaders rule according to the saying "my way or the highway," tend to expect absolute loyalty,and consider taking suggestions from subordinates as a leadership weakness.

In general,ethically approachable managers embody _____________ behaviors.

People are often uncomfortable conveying negative information to organizational leaders who welcome ethical discussions.

External whistleblowing is the result of the failure of ______________ within an organization.

Even smaller organizations with less than 50 employees can benefit from a clearly articulated internal reporting system for ethical issues.

Which of the following organizational factors are associated with employee silence?

It is impossible to discourage false accusations with an effective assist line.

Which of the following is not a provision of the Sarbanes-Oxley Act (SOX) ?

Employee silence is less likely when the chain of command is the only mechanism for reporting and when the person behaving unethically can readily identify the information source.

In order to be effective,the ethics and compliance officer must be someone in a dedicated position,not someone who serves that function in addition to another role such as legal counsel.

Which of the following duties is not consistent with those of the ethics and compliance officer?

Observers of ethical misconduct will often remain silent when they perceive reporting as a violation of ___________ to employees,managers,and the organization.

Describe the process a manager can undertake to engage employees in discussion of ethical misconduct.

According to recent research by the Ethics Resource Center,which percentage of respondents who observed ethical misconduct did not report it?

In order to successfully prosecute wrongdoing in the workplace,the employee who raised the concern must identify him/herself during the investigation process.

Contacting someone outside the organization about potential or actual nontrivial misconduct inside the organization is referred to as __________________.

A method for preserving employee anonymity in the internal reporting system is to use an identification number for the case and filter communications through a resource such as EthicsPoint or other telephone services.