Candidate Handbook: Ccep-I Certification

Candidate Certified Compliance
Handbook & Ethics Professional-

International (CCEP-I)®
Enhances
your
credibility
CCEP-I
certification Develops
professional
standards
Demonstrates
knowledge &
Dedication
Scan the QR code at left with your mobile phone

to visit the CCEP-I section of the CCB website
The Certified Compliance & Ethics Professional-International (CCEP-I)® exam is certified by the Compliance
Certification Board (CCB)®. CCB was established in 1999 to develop and manage its seven professional
compliance certification programs.
CCB is governed by a Board of Directors who are appointed by the the Society of Corporate Compliance and
Ethics (SCCE)® and the Health Care Compliance Association (HCCA)® Board of Directors.
The 2016 CCB Board of Directors:
Debbie Troklus, CCEP‑F, CCEP‑I, CHC-F, CHPC, CHRC,

Managing Partner, Aegis Compliance & Ethics Center LLP
Al Josephs, CHC, Tenet Healthcare Corporation
Art Weiss, JD, CCEP‑F, CCEP-I, Chief Compliance & Ethics Officer,
TAMKO Building Products, Inc.
Deann M. Baker, CHC, CCEP, CHRC, Sutter Care at Home Compliance Officer, Sutter Health
Shin Jae Kim Hong, CCEP, CCEP-I, Partner, Tozzini Freire Advogados
Jill Edmondson, CCEP, Manager Corporate Compliance & Ethics, The Home Depot
Louis Perold, CCEP, CCEP-I, Global Compliance Manager, Jabil
R. Brett Short, CHC, CHPC, Chief Compliance Officer, UK HealthCare/Univ. of Kentucky
For questions regarding applications, exam administration, certification, or continuing education, please
contact Compliance Certification Board (CCB):
Compliance Certification Board
6500 Barrie Road, Suite 250
Minneapolis, MN 55435
phone: 952-988-0141 or 888-580-8373
fax: 952-988-0146
email: ccb@compliancecertification.org
The material in this printed handbook is current as of April 2016 and is subject to change without notice. Please
visit www.compliancecertification.org  CCEP-I for the most up-to-date CCEP-I Candidate Handbook and
program details.
Copyright © 2016 Compliance Certification Board (CCB). All rights reserved. No part of this publication may
be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy or
recording, or any information and retrieval system, without written permission from the CCB.

Contents
Manage your CCB certifications online.............................................................................. 1
What it means to become CCEP-I certified........................................................................ 2
Five steps to CCEP-I certification......................................................................................... 3
Gain work experience................................................................................................... 3

Earn and submit the required CEUs........................................................................... 3
Apply to take the examination.................................................................................... 6
Schedule your examination.......................................................................................... 6
Take the exam................................................................................................................ 7
Review your score report.....................................................................................................10
Renew your certification in three steps.............................................................................11
Keep track of your renewal date................................................................................11

Earn and submit the required CEUs.........................................................................11
Submit the renewal fee................................................................................................12
Candidates’ frequently asked questions.............................................................................13
Certification policies and legal disclaimers......................................................................16
Examination and renewal fees............................................................................................18
Join a certification candidate group...................................................................................19
Examination resources.........................................................................................................20
Exam sample questions..............................................................................................21
Detailed Content Outline....................................................................................................22
Certification made easy........................................................................................................25
Code of Professional Ethics for Compliance and Ethics Professionals.........................27
CCEP-I Examination Application......................................................................................33
Individual Accreditation Application................................................................................39
Renewal Extension Request.................................................................................................41
Request for Special Examination Accommodations........................................................43
Documentation of Disability-Related Needs....................................................................45
www.compliancecertification.org
CCEP-I Candidate Handbook: Manage your certifications online
Manage your certifications online
Your CCB certification information is accessible anytime online.

It’s easy, convenient, and free.
Online at www.compliancecertification.org you can:

·· Manage your CCB CEU account
·· Add CEUs from CCB-hosted and accredited activities
·· Submit CEUs from outside organizations for CCB approval
·· Apply to sit for a certification exam
·· Renew your certification
Login now
Any individual who has previously participated in an SCCE or HCCA activity has a free
password‑protected online account already set up at www.compliancecertification.org.
Go to www.compliancecertification.org  My CEU Account. Click on the certification you hold and
then login to your account. Under the “Certifications” section, you can apply for a CCB certification
exam, see your CCB certifications, view and add CEUs, and renew your CCB certification.
It’s possible you may not remember the username or password associated with the account.
If this is the case, then select the certification you hold. Select the “Forgot Login?” option and an
email will be sent with your login credentials.
To help you remember your username and password going forward, write them here:
Username
Password
If you experience difficulty logging into your free online account, or have a question, please contact
CCB at 1 952 933 4977 or 888 580 8373.
No membership required
Candidates are not required to become SCCE or HCCA members in order to apply for
any basic CCB (CHC, CHPC, CHRC, CCEP, or CCEP‑I) certification exam.
www.compliancecertification.org 1
CCEP-I Candidate Handbook: What it means to become CCEP-I certified
What it means to become CCEP-I certified

The corporate world can be a high-risk and chal- sexual orientation, physical or mental disability,
lenging environment that demands a proactive veteran status or any other protected characteristic.
compliance approach. Being certified in this AMP assessment centers are wheelchair accessible
dynamic, changing profession can help mitigate and equipped with Telecommunications Devices
compliance-related risks. for deaf or hearing impaired candidates.
Certified Compliance & Ethics Professional–
International (CCEP-I)® is someone with Benefits of becoming CCEP-I certified
knowledge of relevant regulations and exper- The rigorous standards and professional conduct
tise in compliance processes sufficient to assist required for certification demonstrate a diligent
organizations in understanding and addressing effort on the part of the compliance practitioner,
legal obligations, and promote organizational and verifies broad-based knowledge in the disci-
integrity through the operation of effective com- pline being tested.
pliance programs. Becoming CCEP-I certified can:
The CCEP-I examination was developed ·· Enhance your credibility within your
through a combined effort of qualified con- organization, among peers and enhance
tent experts and testing professionals. It tests the credibility of the compliance programs
a well-defined body of knowledge representa- you develop, implement and maintain
tive of professional practice in the discipline. within your organization.
Content experts and testing professionals review
test items to ensure they are accurate in content, ·· Arm you with the broad-base knowledge
relevant to practice, and representative of good necessary to perform compliance functions.
testing procedures. ·· Help establish professional standards and
The CCEP-I certification program is managed status for compliance professionals.
by the Compliance Certification Board (CCB)®, ·· Give you and your compliance-related
established in 1999. CCB certifies over 1900 work an advantage when interacting with
compliance professionals annually through its other professionals in the industry, like
seven compliance certification programs. CCB’s attorneys.
mission is to develop criteria for the determina-
tion of competence in the practice of compliance ·· Demonstrate the hard work and
at a variety of levels, and to recognize individu- dedication necessary to perform the
als meeting these criteria. compliance task.
CCB has contracted with Applied Measurement

Professionals, Inc. (AMP), a PSI business to
About this handbook
This handbook provides information you will
assist in the development, administration,
need to apply, prepare for, and take the CCEP-I
scoring, and analysis of its examinations.
examination. It includes eligibility require-
Additionally, AMP reports examination scores
ments, frequently asked questions, exam content
to individuals who take the examination.
and outline, exam policies, and exam applica-
CCB and AMP do not discriminate among tion information. The handbook also includes
candidates on the basis of age, gender, race, color, information on how to renew the two-year
religion, national origin, disability, marital status certification.
2 www.compliancecertification.org
CCEP-I Candidate Handbook: Five steps to CCEP-I certification
Five steps to CCEP-I certification

Individuals who meet the eligibility requirements TO SIT FOR THE EXAM
and who successfully pass the examination attain
the two-year CCEP-I designation. Total CEUs needed 20 CEUs
Including this many
SCCE members and non-members alike can from live training 10 CEUs
become CCEP-I certified. An SCCE/HCCA
One or more of the 10
membership is not necessary to attain, maintain, Content subject areas
or renew a CCEP-I certification. Earned within 12
Time-frame months prior to the
1
scheduled exam date
Gain work
experience
In order to apply to sit for a CCB exam,
candidates must gain the necessary work
2 Earn and submit the
required CEUs
Candidates must earn and submit 20 CCB
experience. Candidates must be a Compliance
Professional. approved continuing education units in order to
apply to sit for a CCB examination. CEUs must:
Compliance Professional means
(All must apply): ·· Include a minimum of 10 earned from “live”
training events, which include face-to-face
·· You have at least one year in a full time
compliance position or 1,500 hours of direct training events or real-time web conferences.
compliance job duties earned in the two years ·· Be earned within the 12-month period
preceding your application date, and
preceding the date of the exam.
·· Job duties performed directly relate to the tasks
reflected in the “Detailed Content Outline” on
How to accumulate CCB CEUs
pages 22-24.
CCB accepts relevant CEUs from any organi-
zation or event sponsor. Candidates are not
= Students who have successfully completed a required to attend SCCE training or events to
certificate program from a CCB-accredited uni-
versity within the last two years are exempt from accrue CCB CEUs.
the work experience requirement, and can apply
Content submitted for CCB CEUs must meet
to sit for a CCB certification exam, provided the
at least one of the 10 subject areas identified by
exam is taken within 12 months of successfully
completing the CCB-accredited university pro-
CCB as relevant to compliance certification.
gram. Please see a list of approved programs at Those subject areas include: Application of
www.compliancecertification.org/universities. management practices for the compliance pro-
fessional, application of personal and business
ethics in compliance, written compliance poli-
All candidates must complete the “Work
cies and procedures, designation of compliance
Experience” section of the CCEP-I application, and
officers and committees, compliance training
indicate they do meet the Compliance Professional
and education, communication and reporting
work experience. CCB staff is unable to determine
mechanisms in compliance, enforcement of
this for you.
compliance standards and discipline, auditing
and monitoring for compliance, response to
compliance violations and corrective actions,
and complying with government regulators.
Qualifying CCB CEU Activities

No. of CEUs "Live"
Method
earned training
Attend SCCE events
1 per
SCCE hosts more than 30 events annually. See the event’s brochure for Yes
50-minute hour
specific CEUs awarded at each event. www.corporatecompliance.org/events.
Attend outside events 1 per
Yes
Submit CEUs for any outside event that, at least in part, relates to compliance. 50-minute hour
3 per 1 academic
Submit university courses that, at least in part, relate to compliance Yes**
credit
Guest commentate 2 per day
No
Commentate on SCCE’s social network, SCCEnet, for one week. or 10 total
Mentor and network at SCCE events
Attend SpeedMentoring and/or SpeedNetworking events at SCCE’s 1.5 max Yes
Compliance and Ethics Institute.
Participate in a live SCCE web conference 1.2 per
Yes
SCCE hosts numerous web conferences annually. 90-minutes
Participate in a live web conference hosted by another organization
1 per
Attend any organization’s web conference that, at least in part, relates to Yes
50-minutes
compliance and ethics.
Participate in a recorded SCCE web conference 1.2 per
No
Listen to an SCCE recorded web conference 90-minutes
Pass quizzes
The Complete Compliance and Ethics Manual, an SCCE product 10 No
Compliance 101 book, an SCCE product 2 No

Monthly Compliance & Ethics Professional magazine
1 per issue No
(Quizzes expire 12 months after issue date)
Present or teach on a compliance-related topic 2 per
Yes
Present at an SCCE event or one hosted by another organization. presentation
10 per university
Teach a university course that, at least in part, relates to compliance Yes
course
Publish an article or blog post
Publish an article in SCCE’s Compliance and Ethics Professional magazine 2 per article No
or in any organization’s educational publication. Publish a compliance related
educational blog post (minimum 400 words).
Blog in compliance
2 per blog post No
Publish a compliance related educational blog post (minimum 400 words)
* Self-study
Complete any self-study activity such as online training modules that relate 1 per
No
to compliance and ethics. Self-study submissions require proof of timing or 50-minute hour
duration from sponsor.
**This list is a guideline, and may change at any time. CEU values or type may be adjusted once a CCB certification specialist has viewed submissions.
How to request your CCB CEUs How to submit CEUs to CCB

Whether you participate in an SCCE activity You have attended compliance training or events
or one sponsored by another organization, you and now want to have those CEUs added to
will need to claim your CEUs and submit them your CCB CEU account so that you can apply to
to CCB so they are available to be used toward sit for the CCEP-I examination. Here’s how to
certification or renewal. submit CEUs to CCB.
If you are attending an SCCE event, request and If you participated in an SCCE activity, or
complete the proper application for continu- an event that was CCB pre-approved for
ing education credits from SCCE or CCB staff. CEU credits, you can easily log your credits
Submit the completed CEU form to CCB for online through the CEU account portal at
processing certificates of credit or attendance www.compliancecertification.org  My CEU
via email within four weeks after the event. Account. Select which certification you are sit-
Certificates for all events will be available in your ting for and then login. Then select “Add CEUs.”
online account within four weeks after the event.
Once on the “Add CEUs” screen, you can select the
category of CEUs you would like to add and then
= This step is especially important if you complete the easy online form for the category.
plan on taking the exam as part of an SCCE
event and intend to use CEUs earned at the To submit CEUs earned at an event that was
event to be eligible to sit for the exam. The not CCB pre-approved, you can complete an
completed event CEU form is proof that you Individual Accreditation Application either
attended the events and should be awarded online or by using the paper form on page 39.
CEUs. Be sure to give the completed form to
SCCE or CCB staff prior to taking the exam. If you are submitting CEUs for the
“Pre‑Approved Events (Non-SCCE Events)”
section, you will need the program code at the
If you attended an event hosted by another
bottom of the official certificate of credit that
organization and pre-approved by CCB, you
was previously given to that organization.
should request a certificate of credit from the
event sponsor. The certificate, if the event was
pre-approved by CCB, will list the total amount
of CCB CEUs awarded for the event. Certificates
distributed by event hosts other than SCCE are
done so by that organization’s timeline. Use the
information on the certificate to log your credits
online.
If you attended an event that was not CCB

pre-approved, you may still submit those CEUs to
CCB for review using an Individual Accreditation
Application form found on page 39 and online.
CCB certification specialists will review the appli-
cation and program information, and determine
whether the content meets CCB requirements for
continuing education credit. For more informa- Add your CCB CEUs through the easy-to-use online
tion on this topic, see page 14. portal at www.corporatecompliance.org or
www.compliancecertification.org.
3 Apply to take
the examination
Once you have satisfied candidacy requirements,
on the certification you are applying for. Login
to your free, password-protected SCCE or
HCCA account, scroll down and then select
“Certification Application Form.”
complete and submit the Examination Application
and the appropriate testing fee. There are two for- Any individual who has previously participated
mats to choose from when applying for the exam in an SCCE or HCCA activity has a free pass-
word-protected online account already set up.
If you are taking the Computer Based (CBT) If you don’t remember your login information,
exam offered at an Applied Measurement click “Forgot Login?”
Professionals (AMP) testing center, you can com-
plete the Examination Application online or you If your application is accepted
can use the paper form included on pages 33–38. If your application is accepted, you will receive
If you are taking the exam offered at an SCCE an email confirmation from CCB within five
event, you can complete the Examination business days. If you do not receive a confirma-
Application online or you can use the Event tion notice, contact CCB at +1 952 988 0141 or
Exam Application form associated with the 888 580 8373.
event at www.corporatecompliance.org/events. If CCB has accepted a candidate’s exam applica-
Only complete and legible applications will be tion to later find the candidate did not meet the
accepted. Be sure the form includes documenta- necessary eligibility requirements, the candidate
tion of 20 CCB CEUs, if not already on file with forfeits all submitted fees, if applicable, will have
CCB, and include the examination application fee. their exam score voided, and must submit a new
exam application with full fees.
Applications that do not include the necessary
application fee will be held for five business days If your application is not accepted
to wait for payment. After five business days, the If your application is not accepted because it is
application will be discarded. incomplete or illegible, you will receive a call or
an email within five business days from CCB
= Candidates who have a disability as defined by certification specialists who will attempt to
the ADA as a person who has a physical or mental obtain the required information.
impairment that substantially limits one or more
major life activities, a person who has a history If the information is not obtained within five
or record of such an impairment, or a person business days, the application will be discarded.
who is perceived by others as having such an
You can re-apply for the examination by
impairment and is deprived of the opportunity
to take the examination solely by reason of
completing a new “Examination Application”—
that disability should complete the “Request ensuring that it is complete, accurate and
for Special Examination Accommodations” legible—and including the full examination fee.
4
form (page 43) and the “Documentation of
Disability-Related Needs” form (page 45) along
with the “Examination Application” at least 45
Schedule your
business days prior to the desired testing date. examination
Once your application has been accepted, you
If applying online, go to will receive an examination eligibility confirma-
www.compliancecertification.org  under tion from CCB which includes your eligiblity end
About CCB click on My CEU account  Click date. For Paper-and-pencil candidates testing at
an SCCE event, your confirmation will include If a candidate’s CEUs are set to expire before the
the location, date and time of your testing. Please candidate is able to sit for the exam, he or she
print, and bring this confirmation with you on may submit additional earned CEUs to extend
the day of your exam administration. the eligibility window. The additional earned
CEUs must be submitted prior to the candidates
If you are taking the exam Computer Based (CBT)
current eligibility end date. If the eligibility
at a local AMP testing center, your confirmation
window expires, the candidate must submit a
includes the correct information needed to schedule
new application showing valid CEUs and must
an exam appointment with Applied Measurement
pay full examination fees.
Professionals. AMP will reach out separately as well
to notify you of their receipt of your exam eligibility Candidates who are absent from a scheduled
status and to contact them for scheduling. AMP exam, or those who fail the exam, must con-
administers the two and a half -hour comput- tact CCB for rescheduling. Applicable testing
er-based examination by appointment only. fees will apply. Note that exam fees previously
paid with the original exam application are
Please make note of your AMP appointment time
non-refundable.
because you will only receive a confirmation of the
appointment if you provided an email address. For more information, see the “Certification pol-
icies and legal disclaimers” section on page 16.
AMP examination appointments are:
·· Candidates will receive a confirma-

tion email, including exam date, start
time and reporting instructions. These
arrangements would take into account
5 Take the exam
Examination day has arrived! You will have two
any religious or government-recognized and a half hours to complete the 115-question
holidays for a particular country or examination. Only 100 questions will be scored.
location. Just be sure to submit the exam Be sure to answer each question before ending
application as well as sit for the examina- the examination. The exam is only given in
tion within your current exam eligibility English.
end date as determined by the CEUs you
submitted, and on file with CCB. (Please Examination entrance rules
note: Allow five business days to process Whether taking the computerized (CBT) exam
exam applications.) at an AMP assessment center, or the paper-and-
·· Made Monday through Saturday at pencil exam at an SCCE event, candidates must:
9:00 a.m. and 1:30 p.m. You can only take ·· Leave all personal belongings including:
the exam at the time it was scheduled. beverages, digital watches, books, papers
·· International appointment schedul- and electronic devices in a vehicle if testing
ing is coordinated through email at at an AMP center, or in the designated area
AMPIntlExamServices@goAMP.com. of the testing room at an SCCE event.
Contact information, preferred testing loca- ·· Present two forms of current identification
tion and requested test dates are required to gain admission into the testing center.
from the candidate to begin the scheduling One form of identification must include a
process. The list of sites in the international current photograph. Both forms must be
Assessment Center Network is available at current and include your current name
the “Locate Testing Center” tab on the CCB and signature.
examination page of www.goAMP.com.
Acceptable forms of current photo iden- Examination rules

tification include: driver’s license, state After you have provided sufficient identification
identification card, passport, or military to enter the examination center, you will be
identification card. Any type of tempo- directed to a seat.
rary identification is not acceptable as the
primary form of identification. For those taking the paper-and-pencil exam at
an SCCE event, the proctor will begin the exam
·· You MUST bring one of the following: session with a reading of the exam rules.
driver’s license with photograph; state
identification card with photograph; For those taking the computerized exam at an
passport; military identification card with AMP assessment center, candidates will take
photograph. No forms of temporary iden- their own photo. This photo will remain on your
tification will be accepted. computer screen throughout the examination
and will print on your score report.
·· The second form of identification must
display your name and signature for AMP testing locations may also use metal detec-
signature verification (e.g., credit card tor wanding as one of several security measures
with signature, social security card with candidates may encounter. Metal detector wanding
signature, employment/student ID card procedures maintain comfort and dignity for the
with signature). candidates while monitoring for hidden devices
candidates may not have surrendered prior to
·· If your name on these documents is differ- entering the testing room. Candidates wishing
ent than it appears on your identification, not to be wanded will be allowed to test, but will
you must bring proof of your name change be closely watched by both the on-site proctor and
(e.g., marriage license, divorce decree or remotely via video surveillance. Candidates with
court order). hidden devices that are uncovered during wanding
must lock their devices away during testing, but
·· If you are taking a CBT exam arrive no
will also be allowed to test.
later than your scheduled testing time. If
you arrive more than 15 minutes after the Next, a practice exam is offered prior to attempt-
the scheduled exam start time you will not ing the actual computer-based exam.
be admitted.
·· If you are taking a paper-and-pencil exam
at an SCCE event, you will receive an
email notification from CCB reguarding
your approval to sit for the exam. Please
print and bring a copy of this email notifi-
cation with you. Note that you must arrive
by the time specified in the email notifica-
tion. Candidates who arrive late will not
be admitted.
C A E B D F
Candidates are prohibited from misrepresent-
ing their identities or falsifying information to
obtain admission to the examination. You will be 1. Use the “Time” button to view the time re-
required to sign a roster for verification of identity maining to complete the exam. The program
to gain admission to the examination. will terminate if you exceed the two and a
half-hour time limit.
2. Only one exam question and its four options ·· Electronic devices of any kind are not
appear on each screen. The question num- allowed in the testing center.
ber appears in the lower right portion of the
·· Questions concerning the content of the
screen.
examination may not be asked during
3. Indicate your choice by entering the letter the test.
of the option in the bar at the bottom of the
·· Eating, drinking or smoking are not
screen, or by selecting the option with your
permitted in the testing center.
mouse.
·· You will be given scratch paper to use
4. Click on the forward arrow (>) in the lower
during the exam. This paper must be
right portion of the screen or select the
returned to the proctor at the exam
“Next” key to move to the next question.
completion or you will not receive a score
5. An examination question may be left unan- report. No documents or notes of any kind
swered to return later in the testing session. may be removed from the examination
Questions may also be bookmarked for later room. All computer screens, questions,
review by clicking the blank box to the right papers, and written materials are the
of the “Time” button. property of AMP and may not be repro-
duced in any form.
6. Repeatedly click on the double arrows (>>)
to identify all unanswered and bookmarked ·· The proctor may dismiss a candidate from
questions. the examination at any time and at their
discretion. See the full list of reasons on
When you are comfortable with the computer
page 17.
examination process, you may quit the practice
session and begin the timed exam. The time At the conclusion of the examination, you will
used for the practice exam is not counted as part be asked to complete a short evaluation of your
of your examination time. testing experience.
Be sure to abide by all examination rules:
·· Personal pens, pencils, or other writing

instruments are not allowed in the testing
center. Pencils will be provided during
check-in.
CCEP-I Candidate Handbook: Review your score report
Review your score report

Review your “Score Report” to determine Additionally, CCB will mail you an official cer-
whether you passed the examination. tificate and other documents within four weeks
of your examination.
·· If you took the web-based computerized
exam at an AMP international assessment CCB reserves the right to publicly recognize
center, you will receive an official score any candidate who has successfully completed a
report by postal mail to the address of CCEP-I certification examination.
record approximately 5 to 10 business days
after exam completion. If you did not pass the examination
·· If you took the examination via paper- If you do not pass the examination, re-apply
and-pencil, you will receive a letter from by submitting the “Reapplication” section
AMP with your results within four weeks. included on your “Score Report” and include the
rescheduling fee. In order to retest, you will need
Your “Score Report” will indicate a “pass” or 20 CCB CEUs that have been earned within
“fail.” Additionally, it includes raw scores by 12 months of the rescheduled retesting date.
major content categories. A raw score, which
determines your pass/fail status, is the number Candidates who fail the second examination
of questions you answered correctly. Your score attempt must wait 180 days from their most
is based on 100 of the 115 question exam. recent exam date before reapplying to take the
exam. The fee to retake is based on your submit-
The methodology used to set the minimum ted CEUs. Keeping these CEUs (20 CCB CEUs
passing score is the Angoff method, where earned within 12 months) current and submit-
expert psychometricians estimate the passing ting additional CEUs prior to expiration will
probability of each item on the examination. keep you from having to pay the full exam fee
These ratings are averaged to determine the upon retesting.
minimum passing score.
If you pass the examination

Congratulations! Your certification is valid
for two years. You now can use Certified
Compliance & Ethics Professional–International
(CCEP-I)® designation. Proper logo and title usage
You may want to use it in professional commu-

nication items such as business cards, letters,
or in your email signature, among others. See
image to right of proper logo and title usage. If
you’d like to use the CCEP-I logo, download it at
www.compliancecertification.org. and scroll
down to the quick links located on the CCB
home page.
Certified Compliance and Ethics Professional-
International (CCEP-I)®
CCEP-I Candidate Handbook: Renew your certification in three steps
Renew your certification in three steps

Attaining a certification is a verification of to renew the certification. CEUs must:
broad-based knowledge in the discipline being
·· Include a minimum of 20 earned from
tested at that point in time. Therefore, certifica-
“live” training events, which include
tion renewal is required every two years.
face-to-face events or real-time web
Attendance at SCCE events or renewing your conferences.
SCCE membership is not the same as renewing
·· Be earned within the two-year renewal
your CCB certification. See page 13 for more
period preceding the date of certification
information about the differences.
renewal.
1 Keep track of your

renewal date
It is your responsibility to keep track of your
CCB accepts relevant CEUs from any organi-
zation or event sponsor. Certification holders
are not required to attend SCCE training or
events to accrue CCB CEUs. Content submitted
renewal date and submit the CEUs and renewal for CCB CEUs must meet at least one of the 10
fee prior to your certification expiration—which subject areas identified by CCB as relevant to
is every two years from the month you originally compliance certification. For more information
passed the certification exam. on those areas and ways to accumulate CCB
CEUs, see page 4.
You may receive courtesy reminders from CCB
certification staff; however failure to receive
these reminders does not constitute a right = CEUs used to qualify for the initial certification
cannot be used to qualify for renewal. You will
to petition CCB’s Board of Directors for an
need to obtain 40 CCB CEUs after passing the
extension.
CCEP-I exam and becoming a certificate holder.
CCEP-I certification holders have a 1-month
grace period beyond the renewal month. If
CERTIFICATION RENEWAL
additional time is needed to earn CEUs, you may
extend the period by an additional 1 or 2 months
by completing the Renewal Extension Request
Total CEUs needed
# 40 CEUs
# 20 CEUs
Including this many
form on page 41 and paying the monthly exten- from live training
sion fee.
# 10 subject areas
One or more of the
Content
Individuals who need to use the grace or exten-
# of renewal date
Within 24 months
sion periods should note that their next renewal Time-frame
date will then be fewer than 24 months away,
which will require accumulation of 40 CCB
CEUs in a reduced time.
2 Earn and submit

the required CEUs
Certification holders must earn and submit
40 CCB approved continuing education units
within their renewal/extension period in order
CCEP-I Candidate Handbook: Renew your certification in three steps
3 Submit the renewal fee

Once CCB has documentation of your 40 CCB
Retake the CCEP-I examination
If you have missed the renewal date and have
exhausted the grace and extension periods and
still do not have the required CEUs for renewal,
CEUs, submit the renewal fee to complete the the only other option is to retake the CCEP-I
renewal process. See page 18 for fee information. exam.
You will receive a letter within two weeks con- You must meet the eligibility requirements to
firming your renewal. The certification is valid take the CCEP-I examination, schedule the
for another two years. exam, and pay the full application fee, just as
If the 40 CEU requirement is met and docu- you did to originally obtain the certification.
mented by CCB, but payment for the renewal fee You will have a new certification renewal date
has not yet been submitted by your renewal date, based on the month that you sit for and pass this
your certification will go inactive. However, exam.
you will have until your next renewal date
(two years) to submit payment to “activate” your For more information on eligibility require-
certification. Please note that CCB will not be ments, see page 3.
able to verify credentials if your certification is
“inactive.” After two years, retesting will be your Failure to renew certification
only option to regain the certification and you If you fail to renew your certification, you are no
will not receive renewal reminders. longer considered CCEP-I certified and may not
use the credential in professional communica-
tions such as on letterhead, stationary, business
= If you have not submitted or reported your CEUs cards, in directory listings, or in signature.
to CCB, you can submit a Renewal Application,
and include documentation of the 40 required
CEUs and your renewal fee on or before your
renewal date. The online or PDF form is at
www.compliancecertification.org
CCEP-IForms
Retesting to renew certification

Actively certified individuals can choose to
renew their certification by opting to re-take
the current version of the exam, and passing. If
retaking the exam to renew your certification
you must:
·· Earn 20 CCB approved CEUs within your

current 2 year renewal period, a minimum
of 10 CEUs must be live. (renewal exten-
sion fees may apply)
·· Submit the $250/$350 exam application

fee, as well as
·· Pass the current form of the exam.
CCEP-I Candidate Handbook: Candidates’ frequently asked questions
Candidates’ frequently asked questions
Do I need to be an SCCE member to What is the cost to take the exam and
become CCEP-I certified? to renew my certification?
SCCE members and non-members alike can The cost to apply for and take the exam is $250
become CCEP-I certified. An SCCE or HCCA for SCCE or HCCA members and $350 for
membership is not necessary to attain, maintain non-members. The cost to renew a certification
or renew a CCEP-I certification. is $100 for SCCE or HCCA members and $200
for non-members. See page 18 for more informa-
Do my SCCE membership dues include tion on fees.
the exam or renewal cost?
SCCE membership dues do not include the cost Should I become CCEP or CCEP-I
of becoming CCEP-I certified or renewing a certified?
certification. Likewise, CCB certification does CCB offers two similar compliance and ethics
not include SCCE membership. programs:
SCCE and/or HCCA membership dues are paid ·· Certified Compliance & Ethics Professional
annually for access to member services such as (CCEP)®
web and print content specialized for compli- ·· Certified Compliance & Ethics Professional–
ance and ethics professionals, among others. International (CCEP-I)®
CCEP-I certification fees are paid prior to the CCEP certification is geared toward compliance
initial certification and every two years for and ethics laws in the United States and is pri-
certification renewal. See page 18 for current marily for individuals who work within the U.S.
certification fees. CCEP-I certification focuses on international
compliance and ethics laws and is primarily for
Does my event fee also apply toward individuals who work outside the U.S. or those
the exam or renewal fee? who have international affiliates. CCB recom-
mends certification in both programs if you
The cost of attending an SCCE Academy or other
have a work presence in the United States and
event does not apply toward the cost of initial
internationally.
certification or certification renewal. Certification
costs are in addition to the event fees, even when
you are planning to take the certification exam at Can my professional experience waive
the end of the event, such as at an Academy. the continuing education requirement?
No, there are no exceptions to the continu-
See the event materials for event costs at
ing education requirements. All candidates
www.corporatecompliance.org. See page18 for
and certification holders must fulfill the CEU
fees associated with certification.
requirements.
It should also be noted that registering for an
SCCE event is not the same as applying to sit
for a CCB certification exam, or vice versa.
These are separate associations and include two
different registration processes, forms, and fees,
among other things.
How can I earn CCB-accredited Are CEUs awarded for an activity that
Continuing Education Units (CEUs)? wasn’t CCB pre-approved?
CCB accreditation is based on the content of the You still can submit CEUs for activities and
activity. The content must be relevant to com- events that weren’t pre-approved for CCB CEUs
pliance by meeting at least one of the 10 major but are, at least in part, relevant to compliance.
subject areas set forth by the CCB.
After the event, submit an Individual
CCB accepts relevant CEUs from any orga- Accreditation Application either online or
nization or event sponsor. Candidates and use the form on page 39. See page 5 for more
certification holders are not required to attend information on completing the online form,
SCCE training or events to accrue CCB CEUs. including the documentation you will need to
SCCE events and activities provide an avenue to provide along with your application.
accrue CCB CEUs.
Because a CCB certification specialist will need to
CCB CEUs cannot be awarded for social review your submission, including program con-
activities, breaks, meals, or time spent in non-in- tent, it’s best to allow six weeks for review before
structional activities like question-and-answer needing these CEUs for certification or renewal.
sessions.
To receive CEUs for speaking, instructing or facili-
The list of CCB CEU values on page 4 is a tating an event, or for publishing an article, you must
guideline for you to use in helping to determine submit an Individual Accreditation Application
your annual training needs for certification or and a copy of your presentation or article.
renewal. However, actual values of submitted
CEUs may be adjusted once a CCB certification
specialist has reviewed your application. If you
Does SCCE apply to other organizations
have a specific question, contact a CCB certifica- for CEU qualification?
tion specialist for guidance. SCCE regularly applies to outside organizations
for pre-approval of continuing education for its
What is a CCB pre-approved event or events. In addition to being CCB pre-approved,
SCCE events are often pre-approved for CLE
activity?
(AL, CA, PA, RI, and TX), and NASBA/CPE
It is any activity that has been pre-approved by credits. Continuing education details are listed
CCB to offer CCB CEUs to participants. The in the event brochure and on the “Certification”
event’s sponsor submitted the content to CCB prior tab of the event page on the SCCE website. Go to
to the event for CCB CEU consideration, and the www.corporatecompliance.org/events.
CCB certification specialist determined that CCB
CEUs should be awarded for the activity.
I’m in a master’s program and some of
Activities may include conferences, workshops, my classes are compliance related. Do
web conferences, articles, books, and presenta- these qualify for CCB CEUs?
tions, among others. CCB partners with several colleges, universities,
At the end of the event, the event’s sponsor will and law schools across the United States to offer
distribute a certificate of attendance or cer- CCB CEUs for compliance accredited courses
tificate of completion to all participants. The and certification programs.
certificate lists the number of CCB CEUs earned There are some nuances with this question,
for that activity. though, so it would be best to speak with a
certification specialist.
What is “live” training? Is there a study guide for the exam?

For purposes of continuing education, the The exam is largely based on compliance work
term “live” training is any training that was experience and therefore an official study guide
conducted in real-time/interactive and allows is not available for this exam.
for presenter interaction. Examples of “live”
However, CCB recommends candidates review
training include a face-to-face conference or a
the “Examination resources” on page 20, the
real-time audio or web conference.
“Detailed Content Outline” on pages 22–24, and
review the reference materials on its website,
Where can I find how many CCB CEUs www.compliancecertification.org  CCEP-I.
I have?
You can view and easily track your CEUs online How soon after an activity should I
at www.compliancecertification.org  CCEP-I submit my CEUs to the CCB?
or www.corporatecompliance.org  My
CEU credits should be submitted to the CCB as
Account  My CEUs.
soon as possible, preferably within 30 days of the
You will need to log into the password-protected activity.
area of the websites in order to access your
CEU account. You do not need to be an SCCE Can I obtain an extension on my
member in order to access this information. See renewal period?
page 1 for more information about your free
Certification holders automatically receive a 1
online account.
month grace period. If additional time is needed
If you do not have internet access, call CCB at beyond the grace period, you may request up to
952-988-0141 or 888-580-8373 to find out how an additional 2-month extension for an addi-
many CEUs you have. tional fee. See page 11, or contact CCB.
Can I use the CEUs I earned to sit for What if I cannot take the exam at an
the exam toward my CCEP-I renewal? SCCE event or the event is too far away
The continuing education units that candidates from my location?
accumulate in order to qualify for the examina- Candidates do not need to attend an SCCE event
tion do not carry forward toward the 40 CEUs to take the exam. Candidates can take a comput-
needed for renewal. erized examination at AMP assessment centers.
For more information about how to schedule
You will need to accrue 40 new continuing
these computerized exams and find an AMP
education units within the two-year certification
assessment center near you, see page 6.
period in order to renew your CCEP-I
certification. For more Frequently Asked Questions, go to the
CCB website, www.compliancecertification.org
Can I carry extra CEUs over to the next  About CCB  Candidates’ FAQs.
renewal date?
No, CEUs earned in excess of the requirement
are not carried into the next renewal cycle. CEUs
submitted for renewal must be earned within
one’s current two-year certification period.
CCEP-I Candidate Handbook: Certification policies and legal disclaimers
Certification policies and legal disclaimers

Please read and understand CCB’s policies complete a new “Examination Application” and
regarding applying for, attaining, and renewing submit a new exam fee to re-apply for the exam.
a CCEP-I certification.
Late arrival for examination
Auditing CEU submissions Candidates who arrive after the scheduled exam
CCB reserves the right to audit continuing check-in time for a paper-and-pencil adminis-
education submissions at any time. The scope tration may not be admitted per onsite proctor
of these audits will be limited to verification instruction. Candidates who arrive more than
of attendance and compliance with content 15 minutes after the scheduled testing time for a
area requirements. Fraudulent submission of computer based exam administration will not be
continuing education for certification, or certifi- admitted into the testing center.
cation renewal, is grounds for prohibition from
Candidates not admitted due to late arrival have
testing or revocation of certification.
the remainder of their exam eligibility period to
remit the rescheduling fee and contact CCB to
Confidentiality policy schedule a new examination appointment, or the
Information about candidates for testing or exam application and fees are forfeited.
renewal of certification and their examination
results are considered confidential. However,
CCB, SCCE, and HCCA reserve the right to
Inclement weather or emergency
Every attempt is made to administer examina-
use information supplied by or on behalf of a
tions as scheduled, however inclement weather
candidate for research and publicity. Studies and
or an unforeseen emergency may require CCB
reports concerning candidates will not contain
or AMP to cancel an examination.
information identifiable with any candidate,
unless authorized by the candidate. ·· If an examination is cancelled, all sched-
uled candidates will receive notification
Examination appointment changes after the cancelled examination and infor-
No refunds will be issued to eligible candidates mation on how to reschedule or re-apply
who need to cancel an exam. Candidates must for the exam.
notify CCB at least five business days prior to the
·· Candidates are encouraged to contact
scheduled test date, if they are unable to attend
AMP’s “Weather Hotline” at 800-380-5416
the scheduled exam on that date.
prior to the examination to inquire about
If candidates fail to give five business days a testing center closing.
notice, or if candidates need to reschedule the
·· Candidates who experience a personal or
exam more than once, a $50 rescheduling fee
medical emergency on examination day
will be imposed.
may request consideration of resched-
Candidates have 90 days from the date of the uling the exam without an additional
cancelled exam to contact CCB and re-register fee. The request must be sent to CCB in
for the exam, or their initial exam application writing within 30 days of the scheduled
and fee(s) will be forfeited. exam session. The request must include a
description of the emergency and support-
Candidates who fail to contact CCB within ing documentation. Considerations for
90 days to reschedule the exam will need to rescheduling without additional fees are
CCEP-I Candidate Handbook: Certification policies and legal disclaimers
made on a case-by-case basis. CCB may void examination results if, upon
investigation, violation of its regulations or exam
AMP examination security in-eligibility is discovered.
CCB and AMP maintain examination adminis-
tration and security standards that are designed CCB hearing and appeal process
to assure that all candidates are provided the Upon report to CCB of a candidate or cer-
same opportunity to demonstrate their ability. tification-holder’s action by an individual,
The assessment center is continuously monitored government agency or other investigating
audio and video surveillance equipment for authority, a hearing before the full CCB Ethics
security purposes. Review Committee will be convened.
The hearing will determine the facts related to

Proctor dismissals from the exam the charge against the accused. The accused and
Testing proctors may dismiss a candidate from all appropriate witnesses will be called before
the examination if the candidate: the hearing for a presentation of all relevant
·· Is unauthorized to be admitted into the information needed to determine the facts.
exam. Upon satisfactory determination of the facts as
·· Creates a disturbance or is abusive or oth- recorded by unanimous vote of the full commit-
erwise uncooperative. tee, the committee will conduct a closed session
·· Gives or receives help or is suspected of to determine the action to be taken as a result of
doing so. the charge.
·· Attempts to take the examination materi- The decision of the committee may be appealed
als or notes from the testing room. with or without cause by the accused to CCB
Board of Directors. CCB Board of Directors will
·· Attempts to take the examination for
review the facts as determined by the Ethics
someone else.
Review Committee and may, at its discretion,
·· Is observed with notes. convene a second hearing before the Board for
the determination of fact.
Violation of any of the above provisions results
in dismissal from the examination session. The Upon a vote of unanimous consent to accept
candidate’s examination score is voided and the the facts as presented, the Board will convene in
exam fees are forfeited. closed session to determine the final action to be
taken in the matter of the charge before them.
Evidence of misconduct is reviewed by CCB’s
Ethics Committee to determine whether the
candidate will be allowed to re-apply for the Revocation of certification
exam. If re-examination is granted, a complete Grounds for prohibition from examination or
application and examination fee are required to revocation of certification may include:
re-apply. ·· Intentional misrepresentation of informa-
tion provided on a CCEP-I application.
Scores cancelled by AMP or CCB
CCB and AMP are responsible for the integrity ·· Fraudulent submission of CEUs.
of scores they report. On occasion, occurrences ·· Admission to or conviction that was not
such as computer malfunction or misconduct previously disclosed of any felony or mis-
by a candidate may cause a score to be suspect. demeanor directly related to the candidate
CCB and AMP are committed to rectifying such or certification-holder’s role as a compli-
discrepancies as quickly as possible. ance and ethics professional.
CCEP-I Candidate Handbook: Examination and renewal fees
Examination and renewal fees

Please include all fees with your application. Cancellations and refunds
No refunds are issued to eligible candidates
FEES THAT MAY APPLY who need to cancel their exams. Candidates
may reschedule within their eligibility period,
Application and examination fee:
provided their CEUs have been earned within
SCCE or HCCA member......................................... $250
12 months of the new exam date. A rescheduling
Non-member.................................................................... $350
fee may apply. See page 16 for CCB’s full exam-
Examination rescheduling fee............................$50* ination appointment changes policy.
Monthly renewal extension fee. .......................... $50
(two-month maximum) Duplicate Score Report requests
Duplicate score report fee.......................................... $25 Candidates may purchase additional copies of
their “Score Reports.” Requests must be sub-
Score verification fee........................................................ $25
mitted in writing to AMP within 12 months of
Certification renewal fee: the examination. The request must include the
SCCE or HCCA member......................................... $100 candidate’s name, mailing address, telephone
Non-member.................................................................... $200 number, date of examination, name of the exam-
*Rescheduling fees are based on a candidate’s ination taken, and the duplicate score report fee.
submitted and approved CEUs on file. Please contact
a CCB representative to verify your exam fee.
A duplicate score report will be mailed within
two weeks after receipt of the request.
Acceptable payment methods AMP Corporate Headquarters

Candidates may provide payment via check, 18000 W. 105th Street
or by credit card from the following credi- Olathe, KS 66061-7543
tors: AmericanExpress, MasterCard, Visa, or USA
Discover.
Please make checks payable to “Compliance

Score verification requests
Candidates may request a “score verification.”
Certification Board.”
Requests must be submitted in writing to AMP
If you’re concerned about sending credit card (address listed above) within 12 months of the
information via fax, or mail, please write “call examination. The request must include the
me” on the paper application form. candidate’s name, mailing address, telephone
number, date of examination, name of the exam-
ination taken, and the score verification fee. A
score verification is mailed within two weeks
after receipt of the request.
CCEP-I Candidate Handbook: Examination and renewal fees
Peer support
Join a CCB group

Join one of SCCEnet’s new candidate groups to help prepare
yourself for a certification exam. Post questions, share your
insights, and network with other compliance professionals who
have taken or are preparing for an exam.
·· CCEP Candidate Group for compliance and ethics
·· CCEP-I Candidate Group for international compliance and

ethics
SCCEnet, with more than 15,000 members, is the official social

network of the Society of Corporate Compliance and Ethics, and is
free to join.
Go to www.corporatecompliance.org/sccenet to get started

1. Login to your account via the “Login” button in the upper
right corner of the page.
2. Click on “Communities,” select “All Communities” then

scroll down to locate the study groups.
3. Select your desired study group, then click “Join.”
4. You will then be prompted to specify your desired method

for receiving messages from the eGroup. Make your selec-
tion then click “Yes, join the community.”
Post questions | Share your insight | Network with others
www.corporatecompliance.org/sccenet
CCEP-I Candidate Handbook: Examination resources
Examination resources
The exam is largely based on compliance work = The practice exam: It is only intended to help
experience and therefore an official study guide you become familiar with how the computer-
is not available for this exam. ized testing program functions. Those taking
the paper-pencil exam do not need to use this
However, to help prepare for the CCEP-I resource. Additionally, you may take a similar
examination, CCB recommends candidates: practice exam at the AMP assessment center.
·· Review the CCEP-I Candidate Handbook,

and the “Detailed Content Outline” on
Detailed Content Outline
pages 22–24.
The “Detailed Content Outline” contains:
·· Review reference materials and pro-
·· The areas and tasks that will be tested in
grams that are the basis for the “Detailed
the CCEP-I examination.
Content Outline. These programs and
reference materials are created by govern- ·· The number of questions on the exam
ment agencies and groups that establish from each of the three cognitive levels and
policies and guidelines related to com- subject areas.
pliance and ethics, and groups that
The examination will be scored on participants’
regulate compliance and ethics issues.
responses to 100 of the 115 multiple-choice ques-
A full list of these references and web
tions spread across all subject areas.
links can be found on CCB’s website at
www.compliancecertification.org  CCEP. The numbers on the right side of each section of
the outline indicate:
·· Read SCCE’s Compliance 101 International
book and The Complete Compliance & ·· Recall: the number of questions that
Ethics Manual. Both can be ordered from require recollection of specific knowledge
www.corporatecompliance.org  Products. related to the subject area. This number is
part of the total.
·· Attend an SCCE International Basic
Compliance and Ethics Academy. ·· Application: the number of questions that
There you will receive a compli- require application of recalled knowledge
mentary copy of The Complete to discern the final answer. This number is
Compliance and Ethics Manual and part of the total.
have access to event materials. Visit
www.corporatecompliance.org  Events ·· Analysis: the number of questions that
for more information. require the analysis of a situation to deter-
mine a proper action listed among several
·· Use the SCCEnet social network choices. This number is part of the total.
to ask questions and network with
compliance colleagues around the ·· Total: the total number of questions from the
nation. Join a certification group subject area that will appear on the exam.
to help prepare for the exam. Go to
www.corporatecompliance.org
·· Take the CCEP-I practice exam at
www.compliancecertification.orgCCEP-I.
CCEP-I Candidate Handbook: Examination resources
Exam sample questions 3. Adherence to the compliance and ethics

The sample questions are only intended to help program should be incorporated as an
familiarize you with the format of the exam. element in evaluations of supervisors who:
Questions presented here are not indicative A . Are new to the company within the last
of the actual exam, and results should not be 12 months.
inferred of actual exam results. B. Received training during the evaluation
period.
1. Human Resources asks the compliance
and ethics professional if the company can C. Have previously noted compliance
provide a vendor with names and email violations.
addresses of the company’s sales employees D. Are in all levels of the organization.
to promote a new incentive plan. Some of
4. A hotline allows employees and third parties to:
the employees live and work in another
country. Which of the following is the MOST A . Report compliance and ethics violations.
appropriate action for the compliance and B. Propose policies related to compliance
ethics professional to take? and ethics.
C. Communicate compliance and ethics
A . Direct Human Resources to comply with
the vendor’s privacy policies. information.
D. Verify compliance and ethics risks.
B. Ask the vendor to sign a confidentiality
agreement before providing the 5. An employee allegedly embezzled funds
information. during the course of operating the company’s
C. Consult the legal department for advice petroleum business. The compliance and
on applicable privacy laws to ensure ethics professional became aware of the
compliance. allegation through a specific document
D. Instruct HR not to provide the requested by law enforcement. The
information because it would violate compliance and ethics professional should
international privacy laws. immediately:
2. Best practices require an organization’s A . Conduct its own investigation and report
governing authority have: its finding to the legal counsel to avoid
embarrassment.
A . Reasonable oversight of the compliance
and ethics program. B. Discuss the matter with the legal counsel
to preserve any applicable privilege
B. Responsibility for the development of the
during the investigation.
compliance and ethics program.
C. Discuss the matter with the board
C. Day-to-day operational responsibilities
of directors to seek advice regarding
for the compliance and ethics program.
preserving the company’s reputation.
D. Periodic reporting of the effectiveness of
D. Conduct an investigation with the
the compliance and ethics program.
assistance of an external auditor
Find the answer key at the bottom of page 24.
CCEP-I Candidate Handbook: Detailed Content Outline
Cognitive Levels
Application
TOTAL
Analysis
Recall
1. Standards, Policies, and Procedures 3 9 3 15
A. Create compliance and ethics policies and procedures
B. Maintain compliance and ethics policies and procedures
C. Consult with appropriate subject matter resources (e.g., legal, HR, finance)
D. Ensure consistency between the organization's values, and the code(s) of conduct
E. Maintain compliance and ethics strategic plan
F. Maintain a non-retaliation policy
G. Ensure that an appropriate record retention policy exists
H. Maintain a code(s) of conduct (e.g., codes of ethics and business conduct)
I. Maintain a conflict of interest policy (e.g., gifts and gratuities, hospitality, outside
business ventures)
J. Maintain appropriate confidentiality policies (e.g., trade secrets, intellectual
property, third party information)
K. Maintain appropriate privacy policies (e.g., EU data protection)
L. Maintain policies and procedures to address regulatory and legal requirements
M. Maintain appropriate policies on interactions with third parties (e.g., vendors,
business partners, competitors)
N. Maintain a compliance program manual
O. Maintain policies and procedures around specifically identified risk areas
P. Propose appropriate governance policies related to compliance
Q. Participate in the development of internal controls aimed at preventing misconduct
(e.g., requiring dual sign-offs on certain contracts and payments)
R. Ensure that compliance and ethics standards are included in contractual agreements
with third parties (e.g., vendors, business partners, agents)
S. Monitor government sanction lists for individuals/entities/countries
2. Compliance and Ethics Program Administration 4 4 13 21

A. Report compliance and ethics activity to the internal governing body (e.g., oversight
committee, supervisory board, administrative body, board of directors, audit committee)
B. Coordinate operational aspects of a compliance and ethics program with
management (e.g., oversight committee, senior management)
C. Collaborate internally and externally with others to institute best practices (e.g.,
benchmarking)
D. Ensure that the compliance and ethics oversight committee's goals and functions are
implemented
E. Maintain knowledge of current regulatory and legal changes (e.g., literature and
conferences)
F. Ensure the credibility and integrity of the compliance program
G. Recognize the need for outside expertise
H. Ensure that the organization has defined the responsibilities, purpose, function and
authority of compliance and ethics positions
I. Ensure that the internal governing body understands its responsibilities in the
compliance and ethics program
J. Ensure that the role of counsel in the compliance and ethics process has been defined
K. Manage the compliance and ethics staff and other resources
L. Integrate the compliance and ethics program into the business
M. Develop an annual compliance and ethics work plan
N. Ensure the organization has processes in place to manage conflicts of interest
O. Ensure background checks are conducted on new hires and others in accordance with
applicable laws
Cognitive Levels
Application
TOTAL
Analysis
Recall
3. Communication, Education, and Training 4 11 3 18
A. Disseminate relevant information on emerging risk areas
B. Communicate compliance and ethics information throughout the organization
C. Develop effective compliance and ethics training for all applicable individuals (e.g.,
risk specific, orientation, remedial
D. Measure the effectiveness of compliance and ethics training
E. Encourage employees and others acting for the company to report misconduct to the
company
F. Ensure that employees understand the compliance and ethics aspects of their
specific job responsibilities
G. Promote a culture of compliance and ethics throughout the organization
H. Encourage employees to seek guidance and clarification when in doubt
I. Ensure that compliance and ethics personnel participate in continuing education to
maintain professional competence
J. Track participation in ongoing compliance and ethics training programs
K. Ensure compliance and ethics education for all board members and employees
L. Educate those who receive questions and concerns from employees on how to
appropriately respond
M. Manage a compliance and ethics education program
N. Require compliance and ethics education as appropriate, for others acting for the
organization
O. Promote a culture in which people feel free to raise concerns
4. Monitoring, Auditing, and Internal Reporting Systems 3 3 8 14

A. Protect confidentiality within legal and practical limits for those who report concerns
B. Publicize the appropriate communication channels for reporting concerns to all
employees, and others acting for the company
C. Monitor for organizational misconduct (e.g., violations of applicable laws,
regulations, policies and procedures)
D. Provide the appropriate communication channels for reporting concerns to all
employees and others acting for the company
E. Respond as appropriate to compliance and ethics concerns expressed through
internal reporting
F. Conduct compliance and ethics audits
G. Engage in routine monitoring of compliance and ethics related activities (e.g.,
helpline calls, training, investigations)
H. Monitor compliance and ethics audit results (e.g., track, trend, evaluate, benchmark)
I. Respond as appropriate to audit results from external entities
J. Monitor the implementation of goals and functions of the compliance program
K. Evaluate the effectiveness of the compliance and ethics program on a periodic basis
L. Use tools as appropriate for monitoring effectiveness (e.g., exit interviews, surveys,
focus groups)
M. Protect anonymity within legal and practical limits for those who report concerns
Cognitive Levels
Application
TOTAL
Analysis
Recall
5. Response and Investigation, Discipline and Incentives 4 4 12 20
A. Ensure that disciplinary action is proportionate to the violation
B. Ensure that disciplinary action is consistent with the organization's policies and
procedures
C. Ensure that disciplinary action is enforced consistently throughout all levels of the
organization
D. Ensure that disciplinary action is documented
E. Coordinate with management to ensure agreed upon corrective action is taken
F. Use incentives to encourage compliance and ethical behavior
G. Use compliance and ethical behavior as a factor in job performance evaluations
H. Ensure measures to encourage and provide positive support for the observance of
ethics and compliance programs at all levels of the company
I. Ensure compliance with the organization's policies to protect those who raise
concerns
J. Respond to compliance and ethics inquiries
K. Report substantiated instances of noncompliance through designated channels
within the organization
L. Ensure the development of corrective action plans in response to noncompliance
M. Monitor the effectiveness of corrective action plans and ensure modification as
needed
N. Engage resources as appropriate to assist in investigations
O. Implement program enhancements to respond to identified problems or weaknesses
in the program
P. Conduct internal investigations as appropriate
Q. Respond to government inquiries, inquiries, and investigations
R. Maintain records on compliance investigations
S. Coordinate ethics and compliance role in voluntary disclosures to regulatory
agencies with legal counsel
T. Coordinate investigations to preserve applicable privileges on behalf of the
organization
6. Risk Assessment 2 3 7 12
A. Ensure periodic compliance and ethics risk assessments are conducted across the
organization
B. Drive the integration of compliance and ethics risk assessments across all parts of
the business (e.g., processes and business units)
C. Ensure that risks are appropriately prioritized
D. Ensure that action plans are developed and carried out based on risk assessments
E. Evaluate risk mitigation
Totals 20 34 46 100
Answer key for page 19

1.C 2.A 3.D 4.A 5.B
CCEP-I Candidate Handbook: Certification made easy
Certification made easy
1 Receive peer guidance and

support @ SCCEnet® 3 Attend SCCE Academies
and conferences
SCCE hosts more than 30 events each year.
Be part of the action and take home in-depth
corporatecompliance.org/sccenet
compliance knowledge. Academies, ideal
for candidates looking to become certified,
SCCE’s social network, SCCEnet®, is the pre- are three-and-a-half-day intensive training
mier compliance and ethics social network. courses, and include various certification
With more than 15,000 compliance and exams on the last day. SCCE also offers
ethics experts at your fingertips, it is the place national, regional and web conferences across
to go when you have a question and need the United States and internationally.
expert advice.
View the “Events Calendar” and register online
Go to www.corporatecompliance.org  at www.corporatecompliance.org  Events.
today. An SCCE membership is not
required to view most of this content. A free
password-protected account is necessary,
however, to post discussions, subscribe to
groups, and access most library content.
4 Talk to a CCB certification
specialist
CCB’s certification specialists are happy
to help with application, certification
An SCCE or HCCA membership is required
or continuing education questions. Call
to access the main Compliance and Ethics
+1 952 933 4977 or 888 277 4977, Monday
Library.
through Friday, between 8 am and 5 pm (cst),
2
to speak with a certification specialist.
Order compliance
resources
SCCE provides several resources produced by
compliance industry experts. Order resources
such as the books International Compliance
101 and The Complete Compliance and
Ethics Manual, training videos, and past
web conferences on CD. Order online at
www.corporatecompliance.org  Products.
This page has been intentionally left blank.
Code of
Professional Ethics
for
Compliance and Ethics
Professionals
CCEP-I Candidate Handbook: Code of Professional Ethics for Compliance and Ethics Professionals
Code of Professional Ethics for Compliance

and Ethics Professionals
Preamble ·· “Employing organization” includes the

Compliance and ethics programs serve a critical employing organization and clients;
role in helping to prevent and detect misconduct
·· “Law” or “laws” includes all national, state,
at and by organizations and to promote ethical
provincial and local laws and regulations,
business environments. The development and
court orders and consent agreements;
rigorous implementation of effective compliance
and ethics programs protects investors, con- ·· “Misconduct” includes both illegal acts
sumers, the business community and the public and unethical conduct; and
at large. Compliance and ethics professionals
·· “Highest governing body” of the employ-
(CEPs) understand that the services we provide
ing organization refers to the highest
require the highest standards of professionalism,
policy and decision-making authority
integrity and competence. The following Code
in an organization, such as the board of
of Ethics expresses the profession’s recognition
directors or trustees of an organization.
of its responsibilities to the general public, to
employers and clients, and to the profession. The
Code of Ethics has been adopted by the mem- Principle I
bership of the Society of Corporate Compliance
Obligations to the Public
and Ethics to provide guidance and rules to all
Compliance and ethics professionals (CEPs)
CEPs in the performance of their professional
should abide by and promote compliance with
responsibilities.
the spirit and the letter of the law governing
The Code of Ethics consists of two kinds of their employing organization’s conduct and
standards: Principles and Rules of Conduct. exemplify the highest ethical standards in their
The Principles are broad standards that pro- professional conduct in order to contribute to
vide a framework for the more detailed Rules the public good.
of Conduct. The Rules of Conduct are specific
R1.1 CEPs shall not aid, abet or par-
standards that prescribe the minimum level
ticipate in misconduct.
of professional conduct expected of CEPs.
Compliance with the Code is expected both R1.2 CEPs shall take such steps as are
of the individual professional and of the pro- necessary to prevent misconduct by their
fessional community. It depends primarily on employing organizations.
the CEP’s own understanding and voluntary
actions, and secondarily on reinforcement by Commentary:The CEP’s actions to prevent
peers and the general public. misconduct must, of course, be legal and ethi-
cal. Where a CEP has done what he or she can
Commentary is provided for some Rules of to prevent misconduct within the bounds of
Conduct, which is intended to clarify or elabo- the law and business ethics, but is nonetheless
rate on the meaning and application of the Rule.
The following conventions are used throughout
the Code:
unsuccessful in preventing misconduct, he or governing body may be the highest governing

she should refer to Rule 1.4. body of a parent corporation.
R1.3 CEPs shall exercise sound
judgment in responding to or cooperating Principle II
with all official and legitimate government Obligations to the Employing
investigations of or inquiries concerning Organization
their employing organization. Compliance and ethics professionals (CEPs)
Commentary:While the role of the CEP in a should serve their employing organizations with
government investigation may vary, the CEP the highest sense of integrity, exercise unprej-
shall never obstruct or lie in an investigation. udiced and unbiased judgment on their behalf,
and promote effective compliance and ethics
R1.4 If, in the course of their work, programs.
CEPs become aware of any decision by
their employing organization which, if im- R2.1 CEPs shall serve their employ-
plemented, would constitute misconduct, ing organizations in a timely, competent
the professional shall: (a) refuse to consent and professional manner.
to the decision; (b) escalate the matter, Commentary: CEPs are not expected to be
including to the highest governing body, experts in every field of knowledge that may
as appropriate; (c) if serious issues remain contribute to an effective compliance and ethics
unresolved after exercising “a” and “b”, program. CEPs venturing into areas that require
consider resignation; and (d) report the additional expertise shall obtain that expertise
decision to public officials when required by additional education, training or through
by law. working with others with such expertise. CEPs
Commentary:The duty of a compliance and shall have current and general knowledge of
ethics professional goes beyond a duty to the all relevant fields of knowledge that reasonably
employing organization, inasmuch as his/her might be expected of a compliance and ethics
duty to the public and to the profession includes professional, and shall take steps to ensure that
prevention of organizational misconduct. The they remain current by pursuing opportuni-
CEP should exhaust all internal means avail- ties for continuing education and professional
able to deter his/her employing organization, development.
its employees and agents from engaging in R2.2 CEPs shall ensure to the best of
misconduct. The CEP should escalate matters their abilities that employing organiza-
to the highest governing body as appropriate, tions comply with all relevant laws.
including whenever: a) directed to do so by that
body, e.g., by a board resolution; b) escalation Commentary: While CEPs should exercise
to management has proved ineffective; or c) the a leadership role in compliance assurance, all
CEP believes escalation to management would employees have the responsibility to ensure
be futile. CEPs should consider resignation compliance.
only as a last resort, since CEPs may be the only
R2.3 CEPs shall investigate with ap-
remaining barrier to misconduct. A letter of res-
propriate due diligence all issues, informa-
ignation should set forth to senior management
tion, reports and/or conduct that relates to
and the highest governing body of the employ-
actual or suspected misconduct, whether
ing organization in full detail and with complete
past, current or prospective.
candor all of the conditions that necessitate his/
her action. In complex organizations, the highest
Commentary:In organizations where other R2.6 CEPs shall carefully guard

professionals (such as the Legal Department) against disclosure of confidential infor-
are responsible for investigation of suspected mation obtained in the course of their
misconduct, CEPs satisfy this Rule by reporting professional activities, recognizing that
suspected misconduct to such profession- under certain circumstances confidential-
als in accordance with established reporting ity must yield to other values or concerns,
procedures. e.g., to stop an act which creates apprecia-
ble risk to health and safety, or to reveal a
R2.4 CEPs shall keep senior man-
confidence when necessary to comply with
agement and the highest governing body
a subpoena or other legal process.
informed of the status of the compliance
and ethics program, both as to the imple- Commentary:It is not necessary to reveal con-
mentation of the program and about areas fidential information to comply with a subpoena
of compliance risk. or legal process if the communications are
protected by a legally recognized privilege (e.g.,
Commentary:The CEP’s ethical duty under
attorney client privilege).
this rule complements the duty of senior man-
agement and the highest governing body to R2.7 CEPs shall take care to avoid
assure themselves “that information and report- any actual, potential or perceived conflicts
ing systems exist in the organization that are between the interests of the employing
reasonably designed to provide to senior man- organization and either the CEP’s own
agement and to the board itself timely, accurate interests or the interests of individuals
information sufficient to allow management or organizations outside the employing
and the board, each within its scope, to reach organization with whom the CEP has
informed judgments concerning both the cor- a relationship. CEPs must disclose and
poration’s compliance with law and its business ethically handle conflicts of interest and
performance.” In re Caremark International must remove significant conflicts whenev-
Inc., Derivative Litigation, 1996 WL 549894, at 8 er possible. Conflicts of interest may create
(Del. Ch. Sept. 25, 1996) divided loyalties. CEPs shall not permit
loyalty to individuals in the employ-
R2.5 CEPs shall not aid or abet retal-
ing organization with whom they have
iation against any employee who reports
developed a professional or a personal
actual, potential or suspected misconduct,
relationship to interfere with or supersede
and shall strive to implement procedures
the duty of loyalty to the employing orga-
that ensure the protection from retalia-
nization and/or the superior responsibility
tion of any employee who reports actual,
of upholding the law, ethical business
potential or suspected misconduct.
conduct and this Code of Ethics.
Commentary:CEPs should preserve to the
Commentary:If CEPs have any business asso-
best of their ability, consistent with other duties
ciation, direct or indirect financial interest, or
imposed on them by this Code of Ethics, the
other interest that could influence their judg-
anonymity of reporting employees, if such
ment in connection with their performance as
employees request anonymity. Further, they
a professional, the CEPs shall fully disclose to
shall conduct the investigation of any actual,
their employing organizations the nature of the
potential or suspected misconduct with utmost
business association, financial interest, or other
discretion, being careful to protect the reputa-
interest. If a report, investigation or inquiry
tions and identities of those being investigated.
into misconduct relates directly or indirectly to
activity in which the CEP was involved in any
manner, the CEP must disclose in writing the promote the most effective means to achieve
precise nature of that involvement to the senior compliance.
management of the employing organization
R3.2 Consistent with Rule 2.6, CEPs
before responding to a report or beginning an
shall not disclose without consent or
investigation or inquiry into such matter, and
compulsory legal process confidential
must recuse him or herself from such investi-
information about the business affairs
gation or inquiry, if appropriate. Despite this
or technical processes of any present or
requirement, such involvement in a matter sub-
former employing organization. Such dis-
ject to a report, investigation or inquiry will not
closure could erode trust in the profession
necessarily prejudice the CEP’s ability to fulfill
or impair the ability of compliance and
his/her responsibilities in that regard.
ethics professionals to obtain such infor-
R2.8 CEPs shall not mislead employ- mation from others in the future.
ing organizations about the results that
Commentary:CEPs need free access to
can be achieved through the use of their
information to function effectively and need
services.
the ability to communicate openly with any
Commentary:CEPs should not create unrea- employee or agent of an employing organiza-
sonable expectations with respect to the impact tion. Open communication depends upon trust.
or results of their services. Misuse and abuse of the work product of com-
pliance and ethics professionals poses a serious
Principle III threat to compliance and ethics programs.
CEPs shall not use confidential information
Obligations to the Profession in any way that violates the law or their legal
Compliance and ethics professionals (CEPs) duties, including duties to their employing
should strive, through their actions, to uphold organizations. When adversaries in litigation
the integrity and dignity of the profession, to use an organization’s own self-policing work
advance the effectiveness of compliance and against it, the credibility of CEPs may be under-
ethics programs and to promote professionalism mined. CEPs are encouraged to work with
in compliance and ethics. legal counsel to protect confidentiality and to
minimize litigation risks. It is not necessary to
R3.1 CEPs shall pursue their profes-
reveal confidential information to comply with
sional activities, including investigations
compulsory legal process if the confidential
of misconduct, with honesty, fairness and
information is protected by a legally recognized
diligence.
privilege (e.g., attorney client privilege).
Commentary:CEPs shall not agree to unrea-
R3.3 CEPs shall not make mislead-
sonable limits that would interfere with their
ing, deceptive or false statements or claims
professional ethical and legal responsibilities.
about their professional qualifications,
Reasonable limits include those that are imposed
experience or performance.
by the employing organization’s resources. If
management of the employing organization R3.4 CEPs shall not attempt to falsely
requests an investigation but limits access to damage the professional reputation of
relevant information, CEPs shall decline the other compliance and ethics professionals.
assignment and provide an explanation to the
highest governing authority of the employing Commentary:In order to promote collegiality
organization. CEPs should diligently strive to and civility in the profession, CEPs shall not
make any statements concerning other CEPs Code of Ethics Development

that are defamatory in nature. Committee
R3.5 CEPs shall maintain their ·· Joseph E. Murphy, JD, CCEP, CCEP-I
competence with respect to developments (Committee Co-Chair)
within the profession, including knowl-
edge of and familiarity with current theo- ·· Rebecca Walker (Committee Co-Chair)
ries, industry practices, and laws.
·· Urton Anderson, CCEP
Commentary:CEPs shall pursue a reasonable
·· Michael Horowitz
and appropriate course of continuing educa-
tion, including but not limited to review of ·· Shelley Milano
relevant professional and industry journals
·· Marjorie Doyle, JD, CCEP F, CCEP-I
and publications, communication with pro-
fessional colleagues and participation in open Special thanks to the Health Care Compliance
professional dialogues and exchanges through Association’s Code of Ethics Development
attendance at conferences and membership in Committee
professional associations.
·· Jan Heller, PhD
·· Mark Meaney, PhD, CCEP
·· Joseph E. Murphy, JD, CCEP, CCEP-I
·· Jeffrey Oak, PhD
For copies of the Code of Ethics for Compliance

and Ethics Professionals, please visit
http://bit.ly/scce-code-of-ethics.
CCEP-I Candidate Handbook: CCEP-I Examination Application
Compliance Certification Board (CCB) ®

CCEP-I Examination Application
This exam application should only be used for exams taken at AMP assessment centers. If you are attending an
SCCE event and plan to take the exam there, complete the exam application associated with that specific event
at www.corporatecompliance.org/events.
A CCB certification specialist will review and process your exam application in five business days. Once a
candidate receives confirmation of exam eligibility from CCB, the exam must be taken within the candidates
eligibility period.
Complete the online Examination Application form at www.compliancecertification.org, or send this
completed Examination Application and fees to:
mail: Compliance Certification Board, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, U.S.
fax: 952-988-0146 email: ccb@compliancecertification.org | phone: 888 580 8373 or +1 952 988 0141
Questions: Contact CCB using the information above.
Applications submitted without sections 1-5 completed will not be accepted.
1 PERSONAL INFORMATION
* First Name * Last Name Middle Name
*Preferred Mailing Address: (score reports will be sent to the address listed below)
*Street Address
*City/Town *State/Province *Country *Zip/Postal Code
*Telephone SCCE/HCCA ID number (optional) *Email (confirmations will be sent to this address)
*DENOTES REQUIRED FIELD
2 WORK EXPERIENCE
Select the classification that best describes your professional experience. CCB staff is unable to determine this
for you. See the Certified Compliance and Ethics Professional-International (CCEP-I)® Candidate Handbook for
more information on determining your work experience classification. Please Note: You must meet one of these
classifications in order to fulfill the professional experience requirement for certification.
Compliance Professional (All must apply):
·· You have at least one year in a full time compliance position or 1,500 hours of direct compliance job
duties earned in the two years preceding your application date, and
·· Job duties performed directly relate to the tasks reflected in the “Detailed Content Outline” on pages 22-24.
Student: Has successfully completed a certificate program from a CCB-accredited university program (complete
listing found on the CCB website) within the last two years. Attach the certificate or letter of completion given by your
CCB accredited university.
If you selected Compliance Professional above, complete the below employer information related to meeting the work
experience requirement. Required information below must be completed for CCB to process this exam application.
Resumes will not be accepted in place of this section.
*Dates of employment
*Job Title *Employer (month/year to month/year)
to
Dates of employment
Job Title Employer (month/year to month/year)
to
CCEP-I EXAMINATION APPLICATION www.compliancecertification.org 33

3 CONTINUING EDUCATION
In order to sit for this examination, you must submit documentation of 20 CCB continuing education units,
of which 10 must have come from “live” training events, and have been earned within the 12-month period
preceding the exam date.
CEUs can be earned from programs outside HCCA and SCCE events and activities. You can submit these
outside programs for CCB CEU approval using the online or paper Individual Accreditation Application form.
See the CCEP-I Candidate Handbook for more information on obtaining outside CEUs for your CCB
certification.
Please Note: CEUs earned prior to the exam date are considered “redeemed” upon passing, and cannot be used
toward your first renewal period even if CEUs are in excess of the 20 required to sit for the exam.
List below any additional necessary CEUs earned, along with appropriate documentation per the candidate
handbook if they are not already on file with CCB.
Title Date Credits
All continuing education submissions are subject to audit per CCB policy.
4 FEES
Include all fees with your CCEP-I EXAMINATION APPLICATION FEE
application. All checks should SCCE or HCCA Member: $250 OR Non-member: $350
be made payable to “Compliance
Certification Board.” PAYMENT METHOD
Applications will not be processed Mail check to: CCB, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435
until payment has been received. Fax to: 952-988-0146
No refunds are issued to eligible Check enclosed
candidates who need to cancel their I authorize CCB to charge my credit card (choose below)
exams. Candidates may reschedule Credit Card: American Express MasterCard Visa Discover
their exam, provided their CEUs
Due to PCI Compliance, please do not provide any credit card information
have been earned within 12 months
via email. You may email this form (without credit card information to ccb@
of the new exam date. See the compliancecertification.org) and CCB will contact you for payment using the
CCEP-I Candidate Handbook for telephone number listed within this application.
other fees that may be associated
with the examination, payment
methods, and CCB’s full refund Credit Card Account Number
policy.
Credit Card Expiration Date Credit Card Billing Zip Code
Cardholder’s Name
Cardholder’s Signature

5 ACKNOWLEDGMENTS
Please read, and check the boxes below regarding your understanding of CCB examination policies &
procedures. All three items below must be checked for CCB to process this application.
I have read the CCEP-I Candidate Handbook and understand the policies and procedures, including (but not
limited to), the requirements to sit for this examination, as well as renewal requirements, should I earn this
certification.
I have read the “Code of Professional Ethics for Compliance and Ethics Professionals” found in the CCEP-I
Candidate Handbook or online at www.compliancecertification.org.
Yes No Have you been convicted of a felony?
Signature Date
By signing above, I further attest that all information included on this application and any additional
supporting documentation is true and accurate. I acknowledge that if any of the information supplied is shown
to be incorrect, I may be subject to prohibition from the examination and/or revocation of certification in
accordance with CCB policy. I authorize CCB to conduct a background check at its discretion. Candidate
signature and date must be completed for CCB to process this application.
6 DESCRIPTIVE INFORMATION
This information is optional and will be used to help CCB evaluate its program.
A. How long have you been in the corporate D. Do you consider your organization to serve a
compliance and ethics field? single state, multiple states, the entire United
1–3 years States, or a global organization?
3–5 years Single state
5–10 years Multiple states
10 years or more Entire United States
B. How many employees are in your organization? Global
E. What best describes your job?

Fewer than 20 5,000–9,999
20–99 10,000–24,999 CEO
100–249 25,000–49,999 CFO
250–499 50,000–99,999 Ethics Officer
500–999 100,000 or more Attorney (in-house counsel)
1,000–2,499 Attorney (private practice)
2,500–4,999 Human Resources
Consultant
C. What is your total annual company revenue? Administration
Less than $20 million Other
$20–$49 million F. Gender
$50–$99 million
$100–$249 million Male
$250–$499 million Female
$500–$999 million
$1–$2 billion
More than $2 billion

CCEP-I Candidate Handbook: Individual Accreditation Application

Individual Accreditation Application
Complete this form if you participated in an event that was not pre-approved for CCB Continuing Education Units.
If approved, CCB CEUs may be used toward Certified in Healthcare Compliance (CHC)®, Certified in Healthcare
Compliance–Fellow (CHC-F)™, Certified in Healthcare Privacy Compliance (CHPC®), Certified in Healthcare Research
Compliance (CHRC)®, Certified Compliance & Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional–
Fellow (CCEP-F)®, Certified Compliance & Ethics Professional–International (CCEP-I)® certifications. See the appropriate
Candidate Handbook for more information. Following application review and approval, credits will be logged in your CCB
account and available to view online. Allow up to six weeks for a CCB certification specialist to review.
Complete the online Individual Accreditation form at www.compliancecertification.org, or send this completed Individual
Accreditation Application form to:
mail: Compliance Certification Board, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435
fax: 952-988-0146 | email: ccb@compliancecertification.org | phone: +1 952 933 4977 or 888 580 8373
PERSONAL INFORMATION
* First Name * Last Name Middle Name
PROGRAM INFORMATION
*Program Title
*Sponsoring Organization
*Date/Location of Program *DENOTES REQUIRED FIELD
TYPE OF EVENT
Live Non-Live/ Self Study Speaker Other

(Note: CEUs from “Live” events must constitute at least 50 percent of CCB CEUs toward certification and renewal. See the certification’s
Candidate Handbook for a list of suggested activities and their CEU values.)
TOTAL HOURS
Total hours (60 minutes/hour) spent in instructional activity in program above:
(Note: Only half-credits are granted for participating in a presentation during a meal. Speakers may earn a maximum of 2.0 live CCB CEUs
per presentation for the initial presentation date only.)
SUPPLEMENTAL MATERIALS
ttach a complete agenda that outlines session times, a sample of handouts that does not exceed ten pages, and/or a
A
certificate of attendance with total hours of participation included.
ATTENDANCE VERIFICATION
Sign and date below certifying that you were in attendance during the hours indicated above.
Signature Date
REQUEST FOR SPECIAL EXAMINATION ACCOMMODATIONS www.compliancecertification.org 39

CCEP-I Candidate Handbook: Individual Accreditation Application
CCEP-I Candidate Handbook: Renewal Extension Request

Renewal Extension Request
All CCB certification holders are given a 1 month grace period to submit their renewal documentation and
fees. However, if additional time is needed, certification holders can apply for an additional 1 or 2-month
extension using this form. CCB will process extension requests within five business days. Ensure the form is
completed accurately and completely to avoid delays.
Submit this form and requested materials to:
fax: +1 952 988 0146 | email: ccb@compliancecertification.org | phone: +1 952 933 4977 or 888 580 8373
PERSONAL INFORMATION
* First Name * Last Name * Middle Name
I would like to request a 1-month 2-month extension beyond my renewal date and 1 month grace period.
*DENOTES REQUIRED FIELD
CERTIFICATION
* Select the certification you are requesting an extension for:
CCEP CCEP-I CCEP-F CHC CHRC CHPC CHC-F
EXTENSION
Include all fees with your application. $50 (1-month) OR $100 (2-month)
All checks should be made payable to “Compliance
Certification Board.” Funds from international Payment Method:
countries should be submitted in U.S. dollars. For Check
wire transfer details, email I authorize CCB to charge my credit card (choose below):
ap@corporatecompliance.org. AmericanExpress MasterCard Visa Discover
Extensions will not be processed until payment has

Credit Card Account Number:
been received.
Refund Policy: No refunds will be issued to those Credit Card Expiration Date:
requesting a renewal extension even when the
requested time is not used. Billing Postal/Zip Code:
Due to PCI Compliance, please do not provide any credit card informa-
tion via email. You may email this form (without credit card informa- Cardholder’s Name:
tion to ccb@ compliancecertification.org) and CCB will contact you
for payment using the telephone number listed within this application.
Cardholder’s Signature:
ACKNOWLEDGMENTS
By signing below, I understand that by using an extension, my original renewal expiration date will remain the
same for my next renewal period. I also understand that there are no refunds on extension fees, and there is a
2-month maximum for the extension.
Signature Date
DOCUMENTATION OF DISABILITY-RELATED NEEDS www.compliancecertification.org 41

CCEP-I Candidate Handbook: Renewal Extension Request
CCEP-I Candidate Handbook: Request for Special Examination Accommodations
Request for Special Examination Accommodations

Please complete this form and the Documentation of Disability-Related Needs so your accommodations for
testing can be processed efficiently. The information you provide and any documentation regarding your
disability and your need for accommodation in testing will be treated with strict confidentiality.
Return this form with your Examination Application, the exam fee, and the Documentation of
Disability‑Related Needs form at least 45 days prior to the examination date. Send to:
CANDIDATE INFORMATION
*First Name *Last Name *Middle Initial
*Mailing Address *City *State/Province *Zip/Postal Code
*Telephone *Email
SPECIAL ACCOMMODATIONS
I request special accommodations for the exam.
Please provide (check all that apply):
Reader Extended test time (check one below)

Reduced-distraction environment 25% extended test time
Other special accommodations 50% extended test time
(specify below) 100% extended test time
Other amount (specify amount_____)
Other special accomodation(s):
Candidate comments regarding need for above specified accomodation(s):
Signature Date
CCEP-I Candidate Handbook: Request for Special Examination Accommodations
CCEP-I Candidate Handbook: Documentation of Disability-Related Needs
Documentation of Disability-Related Needs

Please have this section completed by the appropriate professional (educator, physician, psychologist, or
psychiatrist) to ensure that AMP and/or CCB is able to provide the necessary examination accommodations.
If you have questions, please call CCB at 888-850-8373 or +1 952 933 4977.
Return this form with your Examination Application, exam fee, and Request for Special Accomodation
form at least 45 days prior to the examination date:
Send to: mail: Compliance Certification Board, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, U.S.
PROFESSIONAL DOCUMENTATION
I have known since / /

Examination Candidate Month Day Year
in my capacity as a .
Professional Title
The candidate discussed with me the nature of the exam to be administered. It is my opinion that, because of
this candidate’s disability described below.
Disability:
They should be accommodated by providing the following requested special arrangements.
Arrangements:
PROFESSIONAL’S CONTACT INFORMATION
*Printed Name
*Title
*Mailing A
ddress *Daytime phone number
*License Number (if applicable)
*Signature *Date
CCEP-I Candidate Handbook: Documentation of Disability-Related Needs
Compliance Certification Board
6500 Barrie Road, Suite 250
Minneapolis, MN 55435, USA
phone: +1 952 933 4977 or 888 277 4977

fax: +1 952 988 0146
email: ccb@compliancecertification.org
Copyright © 2016 Compliance Certification Board (CCB). All rights reserved. www.compliancecertification.org

Candidate Handbook: Ccep-I Certification

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Candidate Handbook: Ccep-I Certification

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Candidate Certified Compliance

Handbook & Ethics Professional-

Scan the QR code at left with your mobile phone

The 2016 CCB Board of Directors:

Debbie Troklus, CCEP‑F, CCEP‑I, CHC-F, CHPC, CHRC,

Al Josephs, CHC, Tenet Healthcare Corporation

Louis Perold, CCEP, CCEP-I, Global Compliance Manager, Jabil

R. Brett Short, CHC, CHPC, Chief Compliance Officer, UK HealthCare/Univ. of Kentucky

What it means to become CCEP-I certified........................................................................ 2

Five steps to CCEP-I certification......................................................................................... 3

Gain work experience................................................................................................... 3

Review your score report.....................................................................................................10

Renew your certification in three steps.............................................................................11

Keep track of your renewal date................................................................................11

Candidates’ frequently asked questions.............................................................................13

Certification policies and legal disclaimers......................................................................16

Examination and renewal fees............................................................................................18

Join a certification candidate group...................................................................................19

Exam sample questions..............................................................................................21

Detailed Content Outline....................................................................................................22

Certification made easy........................................................................................................25

Code of Professional Ethics for Compliance and Ethics Professionals.........................27

CCEP-I Examination Application......................................................................................33

Individual Accreditation Application................................................................................39

Renewal Extension Request.................................................................................................41

Request for Special Examination Accommodations........................................................43

Documentation of Disability-Related Needs....................................................................45

Manage your certifications online

Your CCB certification information is accessible anytime online.

Online at www.compliancecertification.org you can:

·· Add CEUs from CCB-hosted and accredited activities

·· Submit CEUs from outside organizations for CCB approval

·· Apply to sit for a certification exam

·· Renew your certification

What it means to become CCEP-I certified

CCB has contracted with Applied Measurement

Five steps to CCEP-I certification

Qualifying CCB CEU Activities

The Complete Compliance and Ethics Manual, an SCCE product 10 No

Compliance 101 book, an SCCE product 2 No

How to request your CCB CEUs How to submit CEUs to CCB

If you attended an event that was not CCB

·· Candidates will receive a confirma-

Acceptable forms of current photo iden- Examination rules

Be sure to abide by all examination rules:

·· Personal pens, pencils, or other writing

Review your score report

If you pass the examination

You may want to use it in professional commu-

Renew your certification in three steps

1 Keep track of your

2 Earn and submit

3 Submit the renewal fee

Retesting to renew certification

·· Earn 20 CCB approved CEUs within your

·· Submit the $250/$350 exam application

·· Pass the current form of the exam.

Candidates’ frequently asked questions

What is “live” training? Is there a study guide for the exam?

Certification policies and legal disclaimers

The hearing will determine the facts related to

Examination and renewal fees

Acceptable payment methods AMP Corporate Headquarters

City/Town State/Province Country Zip/Postal Code

Date/Location of Program DENOTES REQUIRED FIELD

countries should be submitted in U.S. dollars. For Check

First Name Last Name *Middle Initial

Mailing Address City State/Province Zip/Postal Code