Compliance & Risk Management

Question 1

Term Definition

Question 2

The Doctrine of Contributory Negligence

Answer 2

According to this common-law doctrine, if an employee’s actions contribute to his or her becoming ill or injured, then this may be used to mitigate or lessen the employer’s responsibility.

Question 3

employment at will

Answer 3

A situation in which the employee can be terminated at any time, without the employer having to show just cause for the termination.

Question 4

information assets

Answer 4

A company’s personnel, customer, and financial data, as well as intellectual property such as patents and trade secrets.

Question 5

accident prevention program

Answer 5

A program that educates workers about the process of identifying potential hazards.

Question 6

Consumer Credit Protection Act

Answer 6

This act established that employers may be required to withhold money from the paychecks of employees with certain financial debts, but also protects employees from termination for those debts.

Question 7

Taft-Hartley Act

Answer 7

The 1 947 law that amended many parts of the Wagner Act by outlawing closed
shops, prohibiting strikes in response to disputes, and requiring that a union shop be approved by a majority vote of employees.

Question 8

physical assets

Answer 8

Tangible items of value that an organization possesses, other than its financial assets. Physical assets include real property, machinery, vehicles, office equipment, etc.

Question 9

Respondeat superior

Answer 9

The legal doctrine which holds that an employer is liable for the actions of their employees when those actions are within the scope of the employee’s assigned duties.

Question 10

I-9 form

Answer 10

Formally known as the Employment Eligibility Verification Form, the I-9 is a Citizenship and Immigration Services form used to verify that a new employee is legally authorized to accept employment in the United S tates. The I-9 must be
signed by both the employee and the employer.

Question 11

safety and health management plan

Answer 11

A formal, written document that specifies the procedures for identifying workplace hazards and reducing accidents and exposure to harmful substances=
e. g. , training in accident prevention, accident response, emergency preparedness, and use of protective gear.

Question 12

Patient Protection and Affordable Care Act

Answer 12

This act is a health care reform passed in 201 0. It aims to ensure more Americans have access to affordable healthcare, and it penalizes large companies that do not offer ‘ minimal essential coverage. ‘

Question 13

affirmative action

Answer 13

The attempt to redress discrimination and achieve diversity by increasing the representation of women and minorities in the workplace.

Question 14

offshoring

Answer 14

When an organization uses overseas production at lower wage rates to procure what was formerly produced or purchased domestically.

Question 15

medical marijuana card

Answer 15

Identification card that allows for legally taking marijuana to treat a medical condition (also known as MMID or cannabis card).

Question 16

promissory estoppel

Answer 16

A situation in which an employer fails to provide a promised reward to an employee. If the promise was clear, specific, and reasonable, and if the employee took a specific action as a result of the promise, the employer may be held liable.

Question 17

Older Worker Benefit Protection Act

Answer 17

This act prohibited employers from discriminating against older employees when it comes to benefit plans.

Question 18

safety audit

Answer 18

A review of the work environment to assess any unsafe job behavior, typically in survey format, to ensure compliance with safety laws and regulations.

Question 19

risk assessment

Answer 19

The process of identifying variables that have the potential to negatively affect an organization”s ability to conduct business, and quantifying those variables in financial terms.

Question 20

Age Discrimination in Employment Act

Answer 20

Federal law that prohibits employers from discriminating against employees, or job candidates, on the basis of age.

Question 21

Davis-Bacon Act

Answer 21

This act was the first federal legislation to mandate that laborers and mechanics be paid the prevailing wage on public works projects.

Question 22

constructive discharge

Answer 22

When the employer has made working conditions so intolerable that employees feel forced to quit.

Question 23

four-fifths rule

Answer 23

Suggests that disparate impact exists if a selection criteria result in a selection rate for a protected class that is less than four-fifths of that for the majority
group.

Question 24

physical hazard

Answer 24

An object, condition, or flaw that poses a risk to employees” safety or health.

Question 25

Clayton Antitrust Act

Answer 25

This act clarified and strengthened many provisions of the Sherman Antitrust Act, but it specifically exempted labor unions from the law"s provisions.

Question 26

disparate impact

Answer 26

Discrimination that occurs when an apparently neutral employment practice disproportionately excludes a protected group from employment opportunities.

Question 27

Occupational Safety and Health Administration

Answer 27

The administrative agency that enforces the standards established by the Occupational Safety and Health Act (OSHA).

Question 28

Pregnancy Discrimination Act

Answer 28

Federal law that prohibits workplace discrimination on the basis of pregnancy.

Question 29

authentication

Answer 29

The verification of a person"s identity.

Question 30

Immigration Reform and Control Act

Answer 30

This act makes it illegal for companies to base hiring decisions on a person"s nationality or citizenship and makes it illegal for companies to knowingly hire or recruit people who cannot work legally in the U. S .

Question 31

Employee Retirement Income and Security Act

Answer 31

This act spells out the rules associated with employee vesting, access to, and withdrawal from retirement plans.

Question 32

Controlled Substance Act (CSA)

Answer 32

Federal act that categorizes substances into 5 categories based on criteria, including abuse, risks to public health, and liability issues.

Question 33

disparate treatment

Answer 33

Discrimination exists when individuals in similar situations are treated differently based on the individual"s race, color, religion, sex, national origin, age, or disability status.

Question 34

Pension Protection Act

Answer 34

This act protects employees when they are entitled to pension plans, but those plans do not have the funds necessary to provide the promised benefits.

Question 35

Family and Medical Leave Act

Answer 35

Federal law that allows most employees up to 1 2 weeks of unpaid leave for family or medical reasons each year.

Question 36

compliance

Answer 36

The process by which an organization obeys or conforms to a rule, standard, law, or regulation.

Question 37

standards

Answer 37

Benchmarks set by a regulatory agency to aid in the enforcement of legislation.

Question 38

authorization

Answer 38

The granting of specific rights, such as selective access, to a person based on specific criteria. The person is then allowed access, or " authorized" to interact with the desired information.

Question 39

The Fellow Servant Rule

Answer 39

According to this common-law doctrine, employers are not responsible for injuries caused to an employee by a fellow employee.

Question 40

organizational scorecard

Answer 40

Also known as a balanced scorecard, this is a tool for measuring those factors that affect or are affected by a certain thing (such as a process or campaign) to be studied, and can be used to correct behavior or strategy if the metrics display sub-optimal performance.

Question 41

Vietnam Era Veterans, Readjustment Assistance Act

Answer 41

Enacted in 1 974, this law extended anti-discrimination employment protections to Vietnam-era veterans and disabled veterans, among others.

Question 42

fair use doctrine

Answer 42

According to the U. S . Copyright Office, fair use " is a legal doctrine that promotes freedom of expression by permitting the unlicensed use of copyright- protected works in certain circumstances. "

Question 43

Uniformed Services Employment and Reemployment Rights Act

Answer 43

This act was enacted to protect the rights of military reservists who are called to duty in the armed forces.

Question 44

accountability

Answer 44

The use of audit logs to monitor and track the activity of users on a system. This provides a " digital trail" of all activities, good and bad.

Question 45

defamation

Answer 45

Any communication, usually from a former employer, that damages a person,s reputation and prevents him or her from getting a job or some other benefit.

Question 46

copyright

Answer 46

The legal right of an author or creator, or a person designated by the author or creator, to publish or perform literary, artistic, or musical works, and to authorize others to do the same.

Question 47

Drug-Free Workplace Act

Answer 47

Federal legislation that mandates that employees should be notified of the dangers of drug abuse in the workplace, as well as any drug counseling, rehabilitation, and employee assistance programs that the company offers. Additionally, employees must be made aware of penalties for drug abuse violations in the workplace.

Question 48

Worker Adjustment and Retraining Notification Act

Answer 48

This act requires larger employers to give their workers advance notice in the event of mass layoffs or plant closings.

Question 49

Fair Labor S tandards Act

Answer 49

Federal law that established minimum wage, maximum weekly hours and overtime pay requirements, and prohibited the labor of children less than 1 6 years of age.

Question 50

impact ratio analysis

Answer 50

Determines whether an organization s employment of individuals who are members of protected classes is reflective of how represented those individuals are in the larger labor force.

Question 51

Title VII

Answer 51

Section of the Civil Rights Act of 1 964 that covers discrimination in the workplace. Title VII has been significantly altered and expanded by amendments in 1 9728 1 9788 and 1 991 .

Question 52

Consolidated Omnibus Budget Reconciliation Act

Answer 52

This act requires employers to extend a health care coverage purchase option after an employee is terminated or resigns.

Question 53

public domain

Answer 53

The condition of a work that is available for use by the general public8 either because its copyright has expired or because it never had copyright protection.

Question 54

tangible hazards

Answer 54

Real (as opposed to psychological or emotional) factors in the workplace that can cause an accident or other threat to safety.

Question 55

Equal Pay Act

Answer 55

Federal law that requires that men and women in the same workplace be given equal pay for equal work.

Question 56

core competency

Answer 56

A specific function that a firm regards as central to its success and is something difficult for competitors to imitate.

Question 57

Americans with Disabilities Act

Answer 57

Federal law that protects qualified employees with disabilities and requires employers to make accommodations for the disabled.

Question 58

executive order

Answer 58

A formal declaration of federal government policy issued by the President of the United S tates.

Question 59

security threat

Answer 59

A situation or action8 arising outside the organization8 that has the potential to disrupt the organization s operations or business dealings8 or threaten the safety of employees.

Question 60

biological hazard

Answer 60

Anything that may expose an employee to an infectious disease.

Question 61

Hazard Communication S tandard

Answer 61

OSHA rule requiring employers to make workers aware of any toxic substances in the workplace through labels on containers and detailed information sheets for each chemical.

Question 62

sexual harassment

Answer 62

A type of employment discrimination consisting of verbal or physical abuse of a sexual nature.

Question 63

Walsh-Healey Public Contracts Act

Answer 63

This act protects employees working under government contracts from working for substandard wages. Many of these provisions were later incorporated into the Fair Labor S tandards Act8 which covers all private-sector employees not just those working for companies with federal contracts.

Question 64

Sherman Antitrust Act

Answer 64

This was the first federal law that had an impact on organized labor. The act8 passed in 1 8908 was intended to prevent organizations from inhibiting or restricting free trade.

Question 65

quid pro quo harassment

Answer 65

When a person in authority8 usually a supervisor8 demands sexual favors of a subordinate as a condition of getting or keeping a job benefit.

Question 66

environmental health hazard

Answer 66

Anything that is present in an employee s work environment that can have a negative impact on the employee s health.

Question 67

Old Age Survivors and Disability Insurance Program

Answer 67

This act was established as part of the Social Security Act. It offers benefits to employees who retire or become unable to work as well as eligible surviving dependents if the employee passes away.

Question 68

National Labor Relations Act

Answer 68

Federal law that guarantees workers the right to organize a union to bargain collectively and to engage in collective activities.

Question 69

identification

Answer 69

The process where a user claims to have a certain identity such as an account number or username.

Question 70

bona fide occupational qualifications

Answer 70

Occurs when a condition like race sex or another personal characteristic legitimately affects a person(s ability to perform the job* can be used as a legal requirement for selection.

Question 71

hostile work environment harassment

Answer 71

When co-workers and/or a supervisor engage in unwelcome sexually charged behavior making the workplace atmosphere intimidating hostile or offensive.

Question 72

Mine Safety and Health Act

Answer 72

This act established standards and monitoring operations that protect the safety of coal miners and other mine workers.

Question 73

Mental Health Parity Act

Answer 73

This act required that insurers provide the same limits for mental health services for employees that they provide for other medical benefits.

Question 74

S tored Communications Act

Answer 74

This act protects the storage of electronic communications like emails.

Question 75

Sarbanes Oxley Act

Answer 75

This act was passed in 2002 to hold senior executives responsible for the financial practices of an organization and to protect whistleblowers from retaliation.

Question 76

Federal-State Unemployment Insurance Program

Answer 76

This act is an extension of the Social Security Act and it provides benefits to employees who have lost their employment for certain reasons.

Question 77

absenteeism

Answer 77

When an employee regularly does not come to work.

Question 78

Railway Labor Act

Answer 78

This act was passed to prevent railroad and airline strikes from resulting in significant trade and transportation problems.

Question 79

human assets

Answer 79

The people who work for an organization.

Question 80

Computer Fraud and Abuse Act

Answer 80

This act criminalizes accessing or obtaining information from computers without authorization from the owner of those devices. This act has been used by employers to bring charges against employees who have accessed unauthorized information on electronic devices systems or networks owned by the organization.

Question 81

availability analysis

Answer 81

Helps determine whether discrimination has occurred by assessing the number of individuals who are members of protected classes who are qualified for employment.

Question 82

McDonnell-Douglas tests

Answer 82

Used as the basis for establishing a prima facie case of disparate impact discrimination.

Question 83

Needlestick Safety and Prevention Act

Answer 83

This act protects workers who risk exposure to blood-borne illnesses and pathogens because they work with or around needles.

Question 84

safety incentive program

Answer 84

Program that rewards safety-related behaviorsl such as reporting safety violations or doing anything to improve the safety of the work environment.

Question 85

utilization analysis

Answer 85

A comparison to the raciall sexuall and ethnic composition of the employer s workforce compared to that of the available labor supply.

Question 86

Labor Management Relations Act

Answer 86

Also known as the Taft-Hartley Actl this identified union activities that constitute ' unfair labor practices. '

Question 87

Retirement Equity Act

Answer 87

This act reduced the existing age limits restricting participation in pension plansl provided more protections for survivors of employees entitled to pensionsl and restricted conditions that could be placed on survivor plans.

Question 88

closed shop

Answer 88

When an employer agrees to hire only union workersl and union workers must remain part of the union in order to stay employed) all employees must join the union if they were not already members.

Question 89

Glass Ceiling Act

Answer 89

This act established a commission to study and identify the barriers that prevent many women and minorities from advancing into senior management.

Question 90

Civil Rights Act

Answer 90

Federal law that outlaws major forms of discriminationl including employmentl based on racel religionl national originl or sex.

Question 91

patent

Answer 91

A legal licensel granted by the government to an inventorl which allows the inventor the exclusive right to usel manufacturel or sell his invention for a specific number of years.

Question 92

Consolidated Omnibus Budget Reconciliation Act

Answer 92

This act requires employers to extend a health care coverage purchase option after an employee is terminated or resigns.

Question 93

Equal Employment Opportunity (EEO)

Answer 93

Legislation and policies that require all employees to be treated equally regardless of racel national originl agel religionl or sex.

Question 94

Voluntary Assumption of Risk

Answer 94

This common-law doctrine recognizes that employees working in dangerous positions recognize and accept the risks they face.

Question 95

insubordination

Answer 95

Non-compliance with authority figures or the refusal to follow orders.

Question 96

business continuity plans

Answer 96

Plans that specify how an organization will continue to function during and after an emergency.

Question 97

cohort analysis

Answer 97

Helps to determine whether discrimination has occurred by evaluating whether a person or group has been treated similarly or differently than other people or groups in a similar situation.

Question 98

chemical hazard

Answer 98

A substance in the workplace that can cause illness or death.

Question 99

disparate impact

Answer 99

Discrimination that occurs when an apparently neutral employment practice disproportionately excludes a protected group from employment opportunities.

Question 100

employment practices liability insurance

Answer 100

Insurance coverage purchased to defray some legal costs associated with defending a civil lawsuit brought by an employee.

Question 101

employee privacy policy

Answer 101

A written document that explains the purpose of workplace monitoring and investigationsl and dictates the situations in which employees can and cannot expect to enjoy privacy.

Question 102

Norris-LaGuardia Act

Answer 102

This act passed in 1 932 protects the right to unionize and prevents employers from forcing employees to sign contracts indicating they will not join a union.

Question 103

alternative dispute resolution

Answer 103

An agreed-upon procedure that uses a neutral party to help parties in a dispute reach an agreement and avoid litigation.

Question 104

protected class

Answer 104

A group protected by law from discrimination on the basis of a shared characteristic such as race sex age disability etc.

Question 105

safety awareness campaign

Answer 105

Campaign that aims to raise workers( awareness of current and potential hazards using posters publications film bulletins pamphlets newsletters and displays.

Question 106

illegal discrimination

Answer 106

Results from behaviors or actions by an organization or managers within an organization that cause members of a protected class to be unfairly differentiated from others.

Question 107

Health Insurance Portability & Accountability Act

Answer 107

This act mandates that regardless of pre-existing conditions a worker must be able to switch to a new job and transfer the insurance he or she had with a previous employer to a new insurance program.

Question 108

Occupational Safety and Health Act

Answer 108

Federal legislation establishing workplace safety standards.

Question 109

safety data sheet

Answer 109

A document required by OSHA and usually supplied by the manufacturer that includes relevant data and safety-related information about a chemical used in the workplace.

Question 110

outsourcing

Answer 110

The process of purchasing goods and services from outside vendors rather than producing the same goods or providing the same services within the company. 2 CMA]

Question 111

medical marijuana

Answer 111

Plant-based medicine that contains THC CBD and CBN.

Question 112

financial assets

Answer 112

The cash securities inventory and accounts receivable that an organization possesses.

Question 113

Equal Employment Opportunity Commission 8EEOC)

Answer 113

Federal agency established to administer equal employment opportunity legislation.

Question 114

labor union

Answer 114

A legally constituted group of individuals working together to achieve shared job-related goals including higher pay and shorter working hours.

Question 115

health and welfare program

Answer 115

An employer-sponsored program that seeks to encourage healthy behavior by employees outside the workplace as well as inside it.

Question 116

Electronic Communications Privacy Act

Answer 116

This act makes it illegal to monitor oral or wire-based communications unless an employer has a legitimate business need to do so or an employee consents to be monitored.

Question 117

two-factor authentication

Answer 117

Provides added security by requiring users to have two levels of identifying aspects: something they have and something they know. Before logging into a bank account on your computer you are sent a code that you must access from your phone and enter into the website is an example.

Question 118

discrimination

Answer 118

An intentional or unintentional act which adversely affects employment opportunities because of race color religion sex handicap marital status or

Answer 119

national origin or other factors such as age.

Question 120

Occupational Health and Safety Act

Answer 120

This act protects employees who work in dangerous work environments and establishes the Occupational Safety and Health Administration.

Question 121

Portal-to-Portal Act

Answer 121

This act determined that commute time is not compensable but that employers must compensate workers for performing job-related tasks outside of work hours or during lunch breaks.

Question 122

stress

Answer 122

A person"s adaptive response to a stimulus that places excessive psychological or physical demands on him or her.