Prep Test 2

Question 1

Watch words for enforcing standards of conduct, Policies and procedures

Answer 1

Fair
Equitable
Consistent

Question 2

Place to start with enforcement is

Answer 2

Standards of conduct and or Policies and procedures

Question 3

Oh I just saw Jess compliance professionals include a policy set forth

Answer 3

Degrees of disciplinary action that may be imposed for failing to comply with standards, Policies in acceptable status and regulations

Question 4

Policies should include

Answer 4

1. ) discipline will be administered for noncompliant activities
2. ) employees have an obligation to report suspicious noncompliance
3. Outline of disciplinary procedures
4. ) List of parties responsible for appropriate action
5. ) Promise that discipline will be fair and consistent

Question 5

Sins of omission as well as sins of commission will be subject to discipline

Answer 5

Failure to detect a report in a fence is a serious act of noncompliance and equally as deserving of discipline As actual misconduct

Question 6

Who is responsible for discipline?

Answer 6

Compliance may participate in recommendations but actual discipline is carried out by HR and management

Question 7

Discipline cannot occur without

Answer 7

1. ) Having proper in formed all employees of the rules and expectations
2. ) can’t penalize someone for Violating a policy they didn’t know about or one that doesn’t reflect standards of practice

Question 8

First step towards enforcement

Answer 8

1. ) distributing standards of conduct and policies and procedures
2. ) Educating staff about them including consequences of noncompliance

Question 9

Intentional or reckless noncompliance

Answer 9

1.) must be punishable with significant sanctions what age can result from oil oral warning, to suspension, privileges revoked. (subject to any peer review procedure) Or termination or financial penalties as appropriate

Question 10

Progressive discipline

Answer 10

1. ) multiple step process
2. ) each step leads to a more significant sanction
3. ) Severity of infraction will determine steps

Question 11

Documentation

Answer 11

Any discussion or activity regarding discipline need to be

Question 12

Punishment

Answer 12

1. )Punishment should be commensurate with the offense

2. ) Corrective action should be swift and appropriate

Question 13

Education

Answer 13

The number one reason people are noncompliant is because they did not know the appropriate choice to make. Education should never be labeled as punishment, One put in a positive and supportive contacts; It can be effective correct action for noncompliant behavior

Question 14

New employee policy

Answer 14

OIG urges an organization to do a reasonable and pertinent background investigation including reference checks. Including reviews of federal sanctions list