Corporate Compliance And Risk Management Quiz!
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- 1.AX has a Corporate Compliance and Risk Management Program because it demonstrates a commitment to integrity and facilitates management reporting to the Board of Directors.
- A.
True
- B.
False
- 2.The benefits of a compliance program include:
- A.
Protection of assets of the company
- B.
More money for each employee
- C.
Fostering of ethical conduct by employees and contractors
- D.
Extra venture capital funding
- 3.What are employees required to do in regards to the Program?
- A.
Verbalize with their manager understanding of the rules of the Program.
- B.
Follow all policies and procedures, know where to find most current versions of the Program, and take responsibility for ensuring they are knowledgeable about all Standards and Policies.
- C.
Make edits to the Program via Google Drive.
- D.
Help distribute the Program to other employees.
- 4.Screening and inquiry are made of an employee, contractor, new candidate, or Board member at the beginning of their relationship with AX and on an ongoing basis to determine which of the following:
- A.
If they have been designated as a narcotics trafficker or terrorist
- B.
If they have been involved in criminal offenses involving fraud, embezzlement, theft, dishonesty or breach of trust
- C.
If they have been excluded or disbarred by a federal agency
- D.
If they are a good person.
- 5.The mission of the corporate compliance and risk management program is to support a culture of integrity, ethical conduct, and a commitment to compliance with all contractual requirements and applicable laws. It is also to manage business risks, all of which will strengthen our commitment to helping providers focus on patient care.
- A.
True
- B.
False
- 6.Which of the following individuals does NOT count as a member of the corporate compliance and risk management committee?
- A.
Chief Compliance Officer (CCO)
- B.
Chief Executive Officer (CEO)
- C.
Director of Quality and Training
- D.
Chief Financial Officer (CFO)
- 7.Which of the following is a responsibility of the Chief Compliance Officer (CCO)?
- A.
Overseeing and monitoring the implementation of the Program.
- B.
Serving as the Chair of the Committee.
- C.
Working with members of the workforce to develop compliance standards and procedures, implement AX Policies approved by the Committee, implement training and awareness activities, coordinate the investigations of complaints and suspected or known compliance violations, and organize auditing and monitoring activities, and identify, prioritize and manage risks.
- D.
All of the above.
- 8.Who might be eligible to be a member of the Compliance and Risk Management Team?
- A.
Product workforce members
- B.
Custodial workforce members
- C.
Quality workforce members
- D.
Finance workforce members
- 9.A copy of the corporate compliance and risk management program can be found at any time on the Drive.
- A.
True
- B.
False
- 10.How often must an employee or contractor with AX renew their training?
- A.
Never.
- B.
Training only occurs during new employee on-boarding.
- C.
During new employee on-boarding and annually thereafter.
- D.
Every 6 months.
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