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SHRM-CP Certification Exam Questions 2023 - Day 7
1. How is a written code of conduct used in today's work environment?
A) As a decision-making tool to guide employees and their actions
B) To highlight cultural differences that need to be addressed
C) To eliminate the need for performance standards
D) To protect an organization against lawsuits from shareholders
2. An organization is sending salespeople into a new territory where bribery is common. How can HR support the code of ethics in this environment?
A) By requiring salespeople to report bribery income and factor it into compensation
B) By suspending the code of ethics, because bribery is part of the culture
C) By instructing salespeople to refuse service and leave when bribery is attempted
D) By reviewing current ethical guidelines and creating specific guidelines on bribery if necessary
3. Refer to the following scenario for the next 4 questions. A mid-sized company has a strict attendance policy stating that any absence of three days or more without contact from the employee is considered job abandonment and the employee is subject to termination. The organization has experienced significant growth over the years, and the increase in the employee population has prompted stricter policies, which some staff view as unnecessarily controlling. One manager's best employee has been absent without contact for four days and calls in. The employee indicates he had some unexpected personal problems involving his teenage child. The employee did not call earlier due to being distraught, occupied with the situation, and also a bit embarrassed. According to the policy, the employee must be terminated, but the manager is reluctant to do so because this is the department's best employee. This is the first violation, and the serious family issues could escalate if the employee is terminated. Senior leadership has recently taken a tough stance on consistently adhering to company policies and practices due to complaints of favoritism. The manager is hesitant to go to HR for fear they will recommend termination. Instead the manager seeks counsel from a member of the senior leadership team who is a relative and who supports the decision to not terminate the employee. When the employee is not terminated, an anonymous complaint is filed via the employee hotline system. It alleges discrimination and favoritism; there is also a comment about too many new policies. The employee is named, and the complainant demands that other employees terminated under the no-call, no-show policy be reinstated. The protocol requires that HR review all discrimination complaints. Which is the first course of action HR should take?
A) A. HR should inform the president of the issue and partner with her on the next steps for corrective action.
B) B. HR should immediately suspend the employee without pay due to the violation of the company's attendance policy.
C) C. HR should review the employee's performance records and use the ratings to determine the outcome.
D) D. HR should immediately terminate the employee due to the violation of the company's attendance policy.
4. Which next step should HR take to address the allegations that a member of senior leadership advised against following a company policy?
A) A. Send an e-mail to the manager and the employee informing them that they violated the policy so they are not surprised by a potential investigation.
B) B. Meet jointly with the manager and the employee, and terminate both for policy violations.
C) C. As a member of the leadership team, HR should seek counsel from another leadership team member and ask that person to have the conversation.
D) D. Discuss the claim directly with the president and provide an overview of the incident, with a recommendation for holding both the manager and the senior leader accountable.
5. Which is the appropriate outcome for the attendance policy violation?
A) A. Immediately terminate both the manager and the employee for violating company policy to reinforce leadership's focus on consistency.
B) B. The employee should be suspended without pay to take time to think about his behavior.
C) C. HR should factor in the circumstances in this particular situation and recommend that the employee contact the company's employee assistance program for counseling.
D) D. The employee should be terminated per the company policy, to reinforce a consistent focus on policies that have been adopted and put in place.
6. Which would be the best way for HR to address the anonymous complaint?
A) A. Identify the author who made the anonymous complaint, and then send an e-mail to the author with an update on the situation.
B) B. Inform the employee and the manager that a complaint has been lodged and that there will be an internal investigation.
C) C. Contact the training department to launch new training on the attendance policy for all employees to attend.
D) D. Determine that the senior leader made the best decision due to the mitigating circumstances, and inform all staff via the employee intranet.
7. What document is a formal statement describing a company’s principles and the business practices that support those principles?
A) Mission statement
B) Code of conduct
C) Employee handbook
D) Strategic plan
8. An organization developed a new code of conduct 18 months ago but recently discovered that employees are still not following its guidelines. What should the organization do to ensure that employees are following the guidelines?
A) Distribute written copies of the code of conduct to all employees and make them accessible in common areas such as break rooms.
B) Review key points of the code of conduct and ensure that employees understand it, and incorporate code of conduct training into new employee orientation.
C) Begin strictly enforcing the code of conduct and punishing employees who refuse to take the time to understand and comply with it.
D) Rewrite the code of conduct to bring it into closer alignment with the actions and views of the employees, so they do not violate it as often.
9. Refer to the following scenario for the next 3 questions. A recently promoted HR manager is transferred to a remote facility, due to several complaints of inappropriate behavior and favoritism between the plant manager and the former HR manager. The complaints range from allegations of an affair between the two to poor performance and stealing company property. The head office leaders are highly sensitive to creating an ethical culture and have asked that the new HR manager report back on any discovered issues with the plant manager. This makes the HR manager uncomfortable, because she is trying her best to balance developing a relationship with the plant manager with trying to complete the investigation. The new HR manager begins an investigation and learns that the plant manager believes two female employees in the accounting department reported the theft and the affair. When the HR manager speaks with these employees, they share the belief that they are being retaliated against. Although they were rated as above-average performers, they have been given only minimal wage increases. The investigation identified theft of a number of items by the plant manager. The items are not expensive, but their value is not minor. Additionally, it was learned that the plant manager is actively undermining the new HR manager's authority by telling all managers to ignore any HR recommendations. What action should the HR manager take in regard to the theft of the items by the plant manager?
A) A. Report this offense to head office leaders.
B) B. Ask the plant manager to return the items.
C) C. Immediately terminate the plant manager.
D) D. Ignore the incident given the low value of the stolen items.
10. The HR manager studies the performance reviews and wage increases for all employees and finds inconsistencies that support the accounting employees' claims of retaliation. Given the HR manager's knowledge of the plant manager's behavior, what is the appropriate next step for the HR manager to take?
A) A. Talk to the plant manager and recommend an immediate adjustment to the wages of the two people affected to avoid further problems.
B) B. Given the more serious issues with the plant manager, choose to treat the complaint as a lower priority and not deal with it immediately.
C) C. Inform the plant manager of the allegations and ask him to meet with HR and the employees to respond their statements
D) D. Review the process for setting wage increases for the accounting department with the company's controller.
A) As a decision-making tool to guide employees and their actions
B) To highlight cultural differences that need to be addressed
C) To eliminate the need for performance standards
D) To protect an organization against lawsuits from shareholders
2. An organization is sending salespeople into a new territory where bribery is common. How can HR support the code of ethics in this environment?
A) By requiring salespeople to report bribery income and factor it into compensation
B) By suspending the code of ethics, because bribery is part of the culture
C) By instructing salespeople to refuse service and leave when bribery is attempted
D) By reviewing current ethical guidelines and creating specific guidelines on bribery if necessary
3. Refer to the following scenario for the next 4 questions. A mid-sized company has a strict attendance policy stating that any absence of three days or more without contact from the employee is considered job abandonment and the employee is subject to termination. The organization has experienced significant growth over the years, and the increase in the employee population has prompted stricter policies, which some staff view as unnecessarily controlling. One manager's best employee has been absent without contact for four days and calls in. The employee indicates he had some unexpected personal problems involving his teenage child. The employee did not call earlier due to being distraught, occupied with the situation, and also a bit embarrassed. According to the policy, the employee must be terminated, but the manager is reluctant to do so because this is the department's best employee. This is the first violation, and the serious family issues could escalate if the employee is terminated. Senior leadership has recently taken a tough stance on consistently adhering to company policies and practices due to complaints of favoritism. The manager is hesitant to go to HR for fear they will recommend termination. Instead the manager seeks counsel from a member of the senior leadership team who is a relative and who supports the decision to not terminate the employee. When the employee is not terminated, an anonymous complaint is filed via the employee hotline system. It alleges discrimination and favoritism; there is also a comment about too many new policies. The employee is named, and the complainant demands that other employees terminated under the no-call, no-show policy be reinstated. The protocol requires that HR review all discrimination complaints. Which is the first course of action HR should take?
A) A. HR should inform the president of the issue and partner with her on the next steps for corrective action.
B) B. HR should immediately suspend the employee without pay due to the violation of the company's attendance policy.
C) C. HR should review the employee's performance records and use the ratings to determine the outcome.
D) D. HR should immediately terminate the employee due to the violation of the company's attendance policy.
4. Which next step should HR take to address the allegations that a member of senior leadership advised against following a company policy?
A) A. Send an e-mail to the manager and the employee informing them that they violated the policy so they are not surprised by a potential investigation.
B) B. Meet jointly with the manager and the employee, and terminate both for policy violations.
C) C. As a member of the leadership team, HR should seek counsel from another leadership team member and ask that person to have the conversation.
D) D. Discuss the claim directly with the president and provide an overview of the incident, with a recommendation for holding both the manager and the senior leader accountable.
5. Which is the appropriate outcome for the attendance policy violation?
A) A. Immediately terminate both the manager and the employee for violating company policy to reinforce leadership's focus on consistency.
B) B. The employee should be suspended without pay to take time to think about his behavior.
C) C. HR should factor in the circumstances in this particular situation and recommend that the employee contact the company's employee assistance program for counseling.
D) D. The employee should be terminated per the company policy, to reinforce a consistent focus on policies that have been adopted and put in place.
6. Which would be the best way for HR to address the anonymous complaint?
A) A. Identify the author who made the anonymous complaint, and then send an e-mail to the author with an update on the situation.
B) B. Inform the employee and the manager that a complaint has been lodged and that there will be an internal investigation.
C) C. Contact the training department to launch new training on the attendance policy for all employees to attend.
D) D. Determine that the senior leader made the best decision due to the mitigating circumstances, and inform all staff via the employee intranet.
7. What document is a formal statement describing a company’s principles and the business practices that support those principles?
A) Mission statement
B) Code of conduct
C) Employee handbook
D) Strategic plan
8. An organization developed a new code of conduct 18 months ago but recently discovered that employees are still not following its guidelines. What should the organization do to ensure that employees are following the guidelines?
A) Distribute written copies of the code of conduct to all employees and make them accessible in common areas such as break rooms.
B) Review key points of the code of conduct and ensure that employees understand it, and incorporate code of conduct training into new employee orientation.
C) Begin strictly enforcing the code of conduct and punishing employees who refuse to take the time to understand and comply with it.
D) Rewrite the code of conduct to bring it into closer alignment with the actions and views of the employees, so they do not violate it as often.
9. Refer to the following scenario for the next 3 questions. A recently promoted HR manager is transferred to a remote facility, due to several complaints of inappropriate behavior and favoritism between the plant manager and the former HR manager. The complaints range from allegations of an affair between the two to poor performance and stealing company property. The head office leaders are highly sensitive to creating an ethical culture and have asked that the new HR manager report back on any discovered issues with the plant manager. This makes the HR manager uncomfortable, because she is trying her best to balance developing a relationship with the plant manager with trying to complete the investigation. The new HR manager begins an investigation and learns that the plant manager believes two female employees in the accounting department reported the theft and the affair. When the HR manager speaks with these employees, they share the belief that they are being retaliated against. Although they were rated as above-average performers, they have been given only minimal wage increases. The investigation identified theft of a number of items by the plant manager. The items are not expensive, but their value is not minor. Additionally, it was learned that the plant manager is actively undermining the new HR manager's authority by telling all managers to ignore any HR recommendations. What action should the HR manager take in regard to the theft of the items by the plant manager?
A) A. Report this offense to head office leaders.
B) B. Ask the plant manager to return the items.
C) C. Immediately terminate the plant manager.
D) D. Ignore the incident given the low value of the stolen items.
10. The HR manager studies the performance reviews and wage increases for all employees and finds inconsistencies that support the accounting employees' claims of retaliation. Given the HR manager's knowledge of the plant manager's behavior, what is the appropriate next step for the HR manager to take?
A) A. Talk to the plant manager and recommend an immediate adjustment to the wages of the two people affected to avoid further problems.
B) B. Given the more serious issues with the plant manager, choose to treat the complaint as a lower priority and not deal with it immediately.
C) C. Inform the plant manager of the allegations and ask him to meet with HR and the employees to respond their statements
D) D. Review the process for setting wage increases for the accounting department with the company's controller.
1. Right Answer: A
Explanation: A written code of conduct covers conduct issues in a broader sense than a rule or regulation. Value-based guidelines help employees self-apply benchmarks and standards in many different situations, including those that have not yet occurred.
2. Right Answer: D
Explanation: Since bribery is common, it is best to anticipate it and create guidelines for handling it ethically. A code of ethics is not situational and cannot be arbitrarily suspended. Factoring bribery into compensation does not support the code of ethics. Since the salespeople are there to sell and bribery is a known challenge, HR must help the salespeople prepare to overcome it.
3. Right Answer: A
Explanation: A is the best response. It is wise for HR to communicate difficult and potentially sensitive information regarding another senior leader to leadership and collaborate on resolution for complex issues. B is incorrect. Suspending an employee without pay prior to getting any details could result in another employment action, requiring reinstatement and back pay. At very least HR should gather data from the employee prior to immediate suspension. C is incorrect. Previous performance ratings alone would not provide a thorough review of the facts in this particular situation. D is incorrect. Terminating an employee without first getting any details could result in another employment action, requiring reinstatement and back pay.
4. Right Answer: D
Explanation: D is the best response. Early involvement of the president is key, since one of her direct reports is involved in the situation. A is incorrect. If HR determines that the allegations are valid, then the manager and the employee should be informed separately, in formal meetings, and not via e-mail. B is incorrect. Termination meetings should always be treated with respect and privacy, with only the essential staff, even when the incident requires multiple meetings. C is incorrect. HR should not involve another member of the leadership team to hold this conversation and should have the capacity to manage internal conflict.
5. Right Answer: D
Explanation: D is the best answer. The fact that the employee is a good performer does not exempt that person from being held accountable for adhering to company policy. Part of HR's role is to make the business case to managers for consistently applying the policy to all employees. A is incorrect. It has not been determined that the manager's behavior was a policy violation. B is incorrect. Per the company's policy, the employee should be terminated, not suspended. C is incorrect. If an exception is made, there is no point in having a strict policy, because employees will not take it seriously.
6. Right Answer: B
Explanation: B is the best response. Informing the involved parties of the pending investigation is appropriate and eliminates the potential perception of being surprised, while allowing HR to share some of the salient investigation protocol and the need for ongoing confidentiality. A is incorrect. It would be unethical to try to identify the anonymous employee. C is incorrect. Launching new training on the attendance policy prior to determining the value and effectiveness of the procedure is premature. D is incorrect. Communicating sensitive information is best done in the open and in person.
7. Right Answer: B
Explanation: A corporate code of conduct is a formal statement that describes a firm’s principles and the business practices that support those principles.
8. Right Answer: B
Explanation: It is not enough to simply create a code of conduct; the organization must ensure that employees understand key points. A good way to do this over a long-term period is to incorporate training on the code of conduct into new hire orientation. Rewriting the code to come into closer alignment with the employees' current actions may not sufficiently achieve the goals of the code. Strictly enforcing the code of conduct may not ensure that employees understand the code well enough to follow it. Distributing written copies of the code of conduct and making them accessible in break rooms may be too passive to address the problem.
9. Right Answer: A
Explanation: A is the best response. An ethical culture does not condone theft of any amount. The corporate head office has rightfully asked the HR manager to report issues to them as they arise. B is incorrect. The HR manager has been asked by corporate to report the illegal behaviors. C is incorrect. No decisions should be made until a conversation occurs with corporate and a proper investigation takes place. D is incorrect. Ignoring the incident is not an acceptable response. If the theft is not addressed, the plant manager has no reason to change behavior and violations of policy will continue.
10. Right Answer: D
Explanation: D is the best response. The HR manager is conducting a fact-based investigation to determine if there is validity to the claim before taking any action. A is incorrect. No changes should be made until an investigation is conducted. B is incorrect. These allegations cannot be dismissed. It is the HR manager's duty to investigate all claims of unfair treatment and retaliation. If the company does not respond appropriately, the accounting employees are more likely to take their complaint to an outside agency. C is incorrect. No comments such as this should be made until the results of the investigation are finalized.
Explanation: A written code of conduct covers conduct issues in a broader sense than a rule or regulation. Value-based guidelines help employees self-apply benchmarks and standards in many different situations, including those that have not yet occurred.
2. Right Answer: D
Explanation: Since bribery is common, it is best to anticipate it and create guidelines for handling it ethically. A code of ethics is not situational and cannot be arbitrarily suspended. Factoring bribery into compensation does not support the code of ethics. Since the salespeople are there to sell and bribery is a known challenge, HR must help the salespeople prepare to overcome it.
3. Right Answer: A
Explanation: A is the best response. It is wise for HR to communicate difficult and potentially sensitive information regarding another senior leader to leadership and collaborate on resolution for complex issues. B is incorrect. Suspending an employee without pay prior to getting any details could result in another employment action, requiring reinstatement and back pay. At very least HR should gather data from the employee prior to immediate suspension. C is incorrect. Previous performance ratings alone would not provide a thorough review of the facts in this particular situation. D is incorrect. Terminating an employee without first getting any details could result in another employment action, requiring reinstatement and back pay.
4. Right Answer: D
Explanation: D is the best response. Early involvement of the president is key, since one of her direct reports is involved in the situation. A is incorrect. If HR determines that the allegations are valid, then the manager and the employee should be informed separately, in formal meetings, and not via e-mail. B is incorrect. Termination meetings should always be treated with respect and privacy, with only the essential staff, even when the incident requires multiple meetings. C is incorrect. HR should not involve another member of the leadership team to hold this conversation and should have the capacity to manage internal conflict.
5. Right Answer: D
Explanation: D is the best answer. The fact that the employee is a good performer does not exempt that person from being held accountable for adhering to company policy. Part of HR's role is to make the business case to managers for consistently applying the policy to all employees. A is incorrect. It has not been determined that the manager's behavior was a policy violation. B is incorrect. Per the company's policy, the employee should be terminated, not suspended. C is incorrect. If an exception is made, there is no point in having a strict policy, because employees will not take it seriously.
6. Right Answer: B
Explanation: B is the best response. Informing the involved parties of the pending investigation is appropriate and eliminates the potential perception of being surprised, while allowing HR to share some of the salient investigation protocol and the need for ongoing confidentiality. A is incorrect. It would be unethical to try to identify the anonymous employee. C is incorrect. Launching new training on the attendance policy prior to determining the value and effectiveness of the procedure is premature. D is incorrect. Communicating sensitive information is best done in the open and in person.
7. Right Answer: B
Explanation: A corporate code of conduct is a formal statement that describes a firm’s principles and the business practices that support those principles.
8. Right Answer: B
Explanation: It is not enough to simply create a code of conduct; the organization must ensure that employees understand key points. A good way to do this over a long-term period is to incorporate training on the code of conduct into new hire orientation. Rewriting the code to come into closer alignment with the employees' current actions may not sufficiently achieve the goals of the code. Strictly enforcing the code of conduct may not ensure that employees understand the code well enough to follow it. Distributing written copies of the code of conduct and making them accessible in break rooms may be too passive to address the problem.
9. Right Answer: A
Explanation: A is the best response. An ethical culture does not condone theft of any amount. The corporate head office has rightfully asked the HR manager to report issues to them as they arise. B is incorrect. The HR manager has been asked by corporate to report the illegal behaviors. C is incorrect. No decisions should be made until a conversation occurs with corporate and a proper investigation takes place. D is incorrect. Ignoring the incident is not an acceptable response. If the theft is not addressed, the plant manager has no reason to change behavior and violations of policy will continue.
10. Right Answer: D
Explanation: D is the best response. The HR manager is conducting a fact-based investigation to determine if there is validity to the claim before taking any action. A is incorrect. No changes should be made until an investigation is conducted. B is incorrect. These allegations cannot be dismissed. It is the HR manager's duty to investigate all claims of unfair treatment and retaliation. If the company does not respond appropriately, the accounting employees are more likely to take their complaint to an outside agency. C is incorrect. No comments such as this should be made until the results of the investigation are finalized.
80% DISCOUNT: SHRM-CP PRACTICE EXAMS Questions with detailed explanation 2023 - UPDATED
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