CCEP case studies

CCEP · Put your knowledge to work in context.

The Certified Compliance and Ethics Professional (CCEP) is a credential for practitioners who run or support an organizational ethics and compliance function - compliance officers, program managers, auditors, HR and legal professionals moving into compliance roles, and staff in health care, life sciences, financial services, and other heavily regulated sectors. It signals that the holder can design, operate, and improve a program built on the familiar elements of governance and program administration, standards and policies, risk assessment, monitoring and auditing, training and communication, reporting and non-retaliation, investigations and discipline, and corrective action. The CCEP case studies are 5 cases and about 4,399 words.

Independence on Paper: When the CCO's Budget Belongs to the GC

MedCore Devices, a 3,200-employee medical device maker operating in 14 countries, built its compliance program in 2016. The Chief Compliance Officer (CCO) reports to the General Counsel (GC), who reports to the CEO; the CCO's budget and headcount are approved by the GC.

909 words, about 5 min 2

The Blanket Exception Request

Northwind Industrial sells equipment in 30 countries. Its Gifts, Hospitality and Entertainment (GHE) policy sets a 150 per-recipient limit for government officials, requires pre-approval above 75, and says nothing about non-government customers.

695 words, about 3 min 3

Risk Assessment by Averaging Optimism

Helios Components, a $600M revenue manufacturer, plans to enter Vietnam through a distributor and simultaneously acquire a 180-person firm in Poland. The annual compliance risk assessment is a 12-question survey sent to 12 senior executives, scored 1–5, averaged, and refreshed each year; last year every category scored between 3.1 and 3.4.

979 words, about 5 min 4

340 Alerts, Two People

Veritas Health Plans runs compliance analytics over 1.2 million expense transactions per year. One rule flags any expense between 4,750 and 4,999 - just below the $5,000 approval threshold - with a round-hundred dollar amount.

859 words, about 4 min 5

The Plant Manager, the Transfer, and the VP Who Called It Noise

At Lakemont Foods' Ohio plant (600 employees), the hotline receives an anonymous report: the plant manager has given preferred shifts and overtime to a production supervisor with whom he is rumored to have a relationship. The same report says a different employee who complained about favoritism six months ago was transferred to the night shift and later resigned.

957 words, about 5 min