Candidate Handbook. CCEP certification. Certified Compliance & Ethics Professional (CCEP) Enhances your credibility. Develops professional standards

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1 Candidate Handbook Certified Compliance & Ethics Professional (CCEP) Enhances your credibility CCEP certification Develops professional standards Demonstrates knowledge & Dedication Scan the QR code at left with your mobile phone to visit the CCEP section of the CCB website

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3 The Certified Compliance & Ethics Professional (CCEP) 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 phone: or fax: ccb@compliancecertification.org The material in this printed handbook is current as of April 2016 and is subject to change without notice. Please visit CCEP for the most up-to-date CCEP 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.

4 Contents Manage your CCB certifications online... 1 What it means to become CCEP certified... 2 Five steps to CCEP 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 Examination Application...33 Individual Accreditation Application...39 Renewal Extension Request...41 Request for Special Examination Accommodations...43 Documentation of Disability-Related Needs

5 CCEP 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 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 Go to 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 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 or 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. 1

6 CCEP Candidate Handbook: What it means to become CCEP certified What it means to become CCEP certified The corporate world can be a high-risk and challenging environment that demands a proactive compliance approach. Being certified in this dynamic, changing profession can help mitigate compliance-related risks. The Certified Compliance & Ethics Professional (CCEP) is someone with knowledge of relevant regulations and expertise in compliance processes sufficient to assist organizations in understanding and addressing legal obligations, and promote organizational integrity through the operation of effective compliance programs. The CCEP examination was developed through a combined effort of qualified content experts and testing professionals. It tests a well-defined body of knowledge representative of professional practice in the discipline. Content experts and testing professionals review test items to ensure they are accurate in content, relevant to practice, and representative of good testing procedures. The CCEP certification program is managed by the Compliance Certification Board (CCB), established in CCB certifies over 1900 compliance professionals annually through its seven compliance certification programs. CCB s mission is to develop criteria for the determination of competence in the practice of compliance at a variety of levels, and to recognize individuals meeting these criteria. CCB has contracted with Applied Measurement Professionals, Inc. (AMP), a PSI business to assist in the development, administration, scoring, and analysis of its examinations. Additionally, AMP reports examination scores to individuals who take the examination. CCB and AMP do not discriminate among candidates on the basis of age, gender, race, color, religion, national origin, disability, marital status sexual orientation, physical or mental disability, veteran status or any other protected characteristic. AMP assessment centers are wheelchair accessible and equipped with Telecommunications Devices for deaf or hearing impaired candidates. Benefits of becoming CCEP certified The rigorous standards and professional conduct required for certification demonstrate a diligent effort on the part of the compliance practitioner, and verifies broad-based knowledge in the discipline being tested. Becoming CCEP certified can: Enhance your credibility within your organization, among peers and enhance the credibility of the compliance programs you develop, implement and maintain within your organization. Arm you with the broad-base knowledge necessary to perform compliance functions. Help establish professional standards and status for compliance professionals. Give you and your compliance-related work an advantage when interacting with other professionals in the industry, like attorneys. Demonstrate the hard work and dedication necessary to perform the compliance task. About this handbook This handbook provides information you will need to apply, prepare for, and take the CCEP examination. It includes eligibility requirements, frequently asked questions, exam content and outline, exam policies, and exam application information. The handbook also includes information on how to renew the two-year certification. 2

7 CCEP Candidate Handbook: Five steps to CCEP certification Five steps to CCEP certification Individuals who meet the eligibility requirements and who successfully pass the examination attain the two-year CCEP designation. SCCE members and non-members alike can become CCEP certified. An SCCE/HCCA membership is not necessary to attain, maintain, or renew a CCEP certification. 1 Gain work experience In order to apply to sit for a CCB exam, candidates must gain the necessary work experience. Candidates must be a Compliance Professional. Compliance Professional means (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 = Students who have successfully completed a certificate program from a CCB-accredited university within the last two years are exempt from the work experience requirement, and can apply to sit for a CCB certification exam, provided the exam is taken within 12 months of successfully completing the CCB-accredited university program. Please see a list of approved programs at All candidates must complete the Work Experience section of the CCEP application, and indicate they do meet the Compliance Professional work experience. CCB staff is unable to determine this for you. Total CEUs needed Including this many from live training TO SIT FOR THE EXAM Content Time-frame 20 CEUs 10 CEUs One or more of the 10 subject areas Earned within 12 months prior to the scheduled exam date 2Earn and submit the required CEUs Candidates must earn and submit 20 CCB approved continuing education units in order to apply to sit for a CCB examination. CEUs must: Include a minimum of 10 earned from live training events, which include face-to-face training events or real-time web conferences. Be earned within the 12-month period preceding the date of the exam. How to accumulate CCB CEUs CCB accepts relevant CEUs from any organization or event sponsor. Candidates are not required to attend SCCE training or events to accrue CCB CEUs. Content submitted for CCB CEUs must meet at least one of the 10 subject areas identified by CCB as relevant to compliance certification. Those subject areas include: Application of management practices for the compliance professional, application of personal and business ethics in compliance, written compliance policies and procedures, designation of compliance officers and committees, compliance training and education, communication and reporting mechanisms in compliance, enforcement of compliance standards and discipline, auditing and monitoring for compliance, response to compliance violations and corrective actions, and complying with government regulators. 3

8 CCEP Candidate Handbook: Five steps to CCEP certification Qualifying CCB CEU Activities Attend SCCE events Method SCCE hosts more than 30 events annually. See the event s brochure for specific CEUs awarded at each event. Attend outside events Submit CEUs for any outside event that, at least in part, relates to compliance. Submit university courses that, at least in part, relate to compliance Guest commentate Commentate on SCCE s social network, SCCEnet, for one week. Mentor and network at SCCE events Attend SpeedMentoring and/or SpeedNetworking events at SCCE s Compliance and Ethics Institute. Participate in a live SCCE web conference SCCE hosts numerous web conferences annually. Participate in a live web conference hosted by another organization Attend any organization s web conference that, at least in part, relates to compliance and ethics. Participate in a recorded SCCE web conference Listen to an SCCE recorded web conference Pass quizzes No. of CEUs earned 1 per 50-minute hour 1 per 50-minute hour 3 per 1 academic credit 2 per day or 10 total "Live" training Yes Yes Yes** No 1.5 max Yes 1.2 per 90-minutes 1 per 50-minutes 1.2 per 90-minutes Yes Yes No The Complete Compliance and Ethics Manual, an SCCE product 10 No Compliance 101 book, an SCCE product 2 No Monthly Compliance & Ethics Professional magazine (Quizzes expire 12 months after issue date) 1 per issue No Present or teach on a compliance-related topic 2 per Present at an SCCE event or one hosted by another organization. presentation Yes Teach a university course that, at least in part, relates to compliance 10 per university course Yes Publish an article or blog post Publish an article in SCCE s Compliance and Ethics Professional magazine or in any organization s educational publication. Publish a compliance related educational blog post (minimum 400 words). Blog in compliance Publish a compliance related educational blog post (minimum 400 words) 2 per article 2 per blog post No No * Self-study Complete any self-study activity such as online training modules that relate 1 per to compliance and ethics. Self-study submissions require proof of timing or 50-minute hour No 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. 4

9 CCEP Candidate Handbook: Five steps to CCEP certification How to request your CCB CEUs Whether you participate in an SCCE activity or one sponsored by another organization, you will need to claim your CEUs and submit them to CCB so they are available to be used toward certification or renewal. If you are attending an SCCE event, request and complete the proper application for continuing education credits from SCCE or CCB staff. Submit the completed CEU form to CCB for processing certificates of credit or attendance via within four weeks after the event. Certificates for all events will be available in your online account within four weeks after the event. = This step is especially important if you plan on taking the exam as part of an SCCE event and intend to use CEUs earned at the event to be eligible to sit for the exam. The completed event CEU form is proof that you attended the events and should be awarded CEUs. Be sure to give the completed form to SCCE or CCB staff prior to taking the exam. If you attended an event hosted by another organization and pre-approved by CCB, you 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 application and program information, and determine whether the content meets CCB requirements for continuing education credit. For more information on this topic, see page 14. How to submit CEUs to CCB You have attended compliance training or events and now want to have those CEUs added to your CCB CEU account so that you can apply to sit for the CCEP examination. Here s how to submit CEUs to CCB. If you participated in an SCCE activity, or an event that was CCB pre-approved for CEU credits, you can easily log your credits online through the CEU account portal at My CEU Account. Select which certification you are sitting for and then login. Then select Add CEUs. Once on the Add CEUs screen, you can select the category of CEUs you would like to add and then complete the easy online form for the category. To submit CEUs earned at an event that was not CCB pre-approved, you can complete an Individual Accreditation Application either online or by using the paper form on page 39. If you are submitting CEUs for the Pre Approved Events (Non-SCCE Events) section, you will need the program code at the bottom of the official certificate of credit that was previously given to that organization. Add your CCB CEUs through the easy-to-use online portal at or 5

10 CCEP Candidate Handbook: Five steps to CCEP certification 3 Apply to take the examination Once you have satisfied candidacy requirements, complete and submit the Examination Application and the appropriate testing fee. There are two formats to choose from when applying for the exam If you are taking the Computer Based (CBT) exam offered at an Applied Measurement Professionals (AMP) testing center, you can complete the Examination Application online or you can use the paper form included on pages If you are taking the exam offered at an SCCE event, you can complete the Examination Application online or you can use the Event Exam Application form associated with the event at Only complete and legible applications will be accepted. Be sure the form includes documentation of 20 CCB CEUs, if not already on file with CCB, and include the examination application fee. Applications that do not include the necessary application fee will be held for five business days to wait for payment. After five business days, the application will be discarded. = Candidates who have a disability as defined by the ADA as a person who has a physical or mental impairment that substantially limits one or more major life activities, a person who has a history or record of such an impairment, or a person who is perceived by others as having such an impairment and is deprived of the opportunity to take the examination solely by reason of that disability should complete the Request for Special Examination Accommodations form (page 43) and the Documentation of Disability-Related Needs form (page 45) along with the Examination Application at least 45 business days prior to the desired testing date. If applying online, go to under About CCB click on My CEU account Click 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. Any individual who has previously participated in an SCCE or HCCA activity has a free password-protected online account already set up. If you don t remember your login information, click Forgot Login? If your application is accepted If your application is accepted, you will receive an confirmation from CCB within five business days. If you do not receive a confirmation notice, contact CCB at or If CCB has accepted a candidate s exam application to later find the candidate did not meet the necessary eligibility requirements, the candidate forfeits all submitted fees, if applicable, will have their exam score voided, and must submit a new exam application with full fees. If your application is not accepted If your application is not accepted because it is incomplete or illegible, you will receive a call or an within five business days from CCB certification specialists who will attempt to obtain the required information. If the information is not obtained within five business days, the application will be discarded. You can re-apply for the examination by completing a new Examination Application ensuring that it is complete, accurate and legible and including the full examination fee. 4 Schedule your examination Once your application has been accepted, you will receive an examination eligibility confirmation from CCB which includes your eligiblity end date. For Paper-and-pencil candidates testing at an SCCE event, your confirmation will include the location, date and time of your testing. Please 6

11 CCEP Candidate Handbook: Five steps to CCEP certification print, and bring this confirmation with you on the day of your exam administration. If you are taking the exam Computer Based (CBT) at a local AMP testing center, your confirmation includes the correct information needed to schedule an exam appointment with Applied Measurement Professionals. AMP will reach out separately as well to notify you of their receipt of your exam eligibility status and to contact them for scheduling. AMP administers the two-hour computer-based examination by appointment only. Please make note of your AMP appointment time because you will only receive a confirmation of the appointment if you provided an address. AMP examination appointments are: Scheduled as early as five business days after receiving AMP s confirmation, depending on site availability, or can be scheduled weeks ahead to accommodate your schedule. Just be sure to submit the exam application as well as sit for the examination within your current exam eligibility end date as determined by the CEUs you submitted, and on file with CCB. (Please note: Allow five business days to process exam applications.) Made Monday through Saturday at 9:00 a.m. and 1:30 p.m. You can only take the exam at the time it was scheduled. Not offered on most federally-recognized U.S. holidays, as well as Christmas Eve and New Year s Eve. Located at AMP assessment centers. Go to to find a testing location nearest you. If a candidate s CEUs are set to expire before the candidate is able to sit for the exam, he or she may submit additional earned CEUs to extend the eligibility window. The additional earned CEUs must be submitted prior to the candidates current eligibility end date. If the eligibility window expires, the candidate must submit a new application showing valid CEUs and must pay full examination fees. Candidates who are absent from a scheduled exam, or those who fail the exam, must contact CCB for rescheduling. Applicable testing fees will apply. Note that exam fees previously paid with the original exam application are non-refundable. For more information, see the Certification policies and legal disclaimers section on page Take the exam Examination day has arrived! You will have two hours to complete the 115-question examination. Only 100 questions will be scored. Be sure to answer each question before ending the examination. The exam is only given in English. Examination entrance rules Whether taking the computerized (CBT) exam at an AMP assessment center, or the paper-andpencil exam at an SCCE event, candidates must: Leave all personal belongings including: beverages, digital watches, books, papers and electronic devices in a vehicle if testing at an AMP center, or in the designated area of the testing room at an SCCE event. Present two forms of current identification to gain admission into the testing center. One form of identification must include a current photograph. Both forms must be current and include your current name and signature. Acceptable forms of current photo identification include: driver s license, state identification card, passport, or military identification card. Any type of temporary identification is not acceptable as the primary form of identification. 7

12 CCEP Candidate Handbook: Five steps to CCEP certification You MUST bring one of the following: driver s license with photograph; state identification card with photograph; passport; military identification card with photograph. No forms of temporary identification will be accepted. The second form of identification must display your name and signature for signature verification (e.g., credit card with signature, social security card with signature, employment/student ID card with signature). If your name on these documents is different than it appears on your identification, you must bring proof of your name change (e.g., marriage license, divorce decree or court order). If you are taking a CBT exam arrive no later than your scheduled testing time. If you arrive more than 15 minutes after the the scheduled exam start time you will not be admitted. If you are taking a paper-and-pencil exam at an SCCE event, you will receive an notification from CCB reguarding your approval to sit for the exam. Please print and bring a copy of this notification with you. Note that you must arrive by the time specified in the notification. Candidates who arrive late will not be admitted. Candidates are prohibited from misrepresenting their identities or falsifying information to obtain admission to the examination. You will be required to sign a roster for verification of identity to gain admission to the examination. Examination rules After you have provided sufficient identification to enter the examination center, you will be directed to a seat. For those taking the paper-and-pencil exam at an SCCE event, the proctor will begin the exam session with a reading of the exam rules. For those taking the computerized exam at an AMP assessment center, candidates will take their own photo. This photo will remain on your computer screen throughout the examination and will print on your score report. AMP testing locations may also use metal detector wanding as one of several security measures candidates may encounter. Metal detector wanding procedures maintain comfort and dignity for the candidates while monitoring for hidden devices candidates may not have surrendered prior to entering the testing room. Candidates wishing not to be wanded will be allowed to test, but will be closely watched by both the on-site proctor and remotely via video surveillance. Candidates with hidden devices that are uncovered during wanding must lock their devices away during testing, but will also be allowed to test. Next, a practice exam is offered prior to attempting the actual computer-based exam. C A E B D F 1. Use the Time button to view the time remaining to complete the exam. The program will terminate if you exceed the two-hour time limit. 2. Only one exam question and its four options appear on each screen. The question number appears in the lower right portion of the screen. 8

13 CCEP Candidate Handbook: Five steps to CCEP certification 3. Indicate your choice by entering the letter of the option in the bar at the bottom of the screen, or by selecting the option with your mouse. 4. Click on the forward arrow (>) in the lower right portion of the screen or select the Next key to move to the next question. 5. An examination question may be left unanswered to return later in the testing session. Questions may also be bookmarked for later review by clicking the blank box to the right of the Time button. room. All computer screens, questions, papers, and written materials are the property of AMP and may not be reproduced in any form. The proctor may dismiss a candidate from the examination at any time and at their discretion. See the full list of reasons on page 17. At the conclusion of the examination, you will be asked to complete a short evaluation of your testing experience. 6. Repeatedly click on the double arrows (>>) to identify all unanswered and bookmarked questions. When you are comfortable with the computer examination process, you may quit the practice session and begin the timed exam. The time used for the practice exam is not counted as part of your examination time. 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. Electronic devices of any kind are not allowed in the testing center. Questions concerning the content of the examination may not be asked during the test. Eating, drinking or smoking are not permitted in the testing center. You will be given scratch paper to use during the exam. This paper must be returned to the proctor at the exam completion or you will not receive a score report. No documents or notes of any kind may be removed from the examination 9

14 CCEP Candidate Handbook: Review your score report Review your score report Review your Score Report to determine whether you passed the examination. If you took the computerized exam at an AMP assessment center, in most instances, you will receive results immediately after completing the exam along with a more detailed Score Report. If you do not receive your score report immediately following completion of the exam, a score will be mailed to you directly from AMP s main testing facility. If you took the examination via paperand-pencil, you will receive a letter from AMP with your results within four weeks. Your Score Report will indicate a pass or fail. Additionally, it includes raw scores by major content categories. A raw score, which determines your pass/fail status, is the number of questions you answered correctly. Your score is based on 100 of the 115 question exam. The methodology used to set the minimum passing score is the Angoff method, where expert psychometricians estimate the passing probability of each item on the examination. These ratings are averaged to determine the minimum passing score. If you pass the examination Congratulations! Your certification is valid for two years. You now can use the Certified Compliance & Ethics Professional (CCEP) designation. You may want to use it in professional communication items such as business cards, letters, or in your signature, among others. See image to right of proper logo and title usage. If you d like to use the CCEP logo, download it at and scroll down to the quick links located on the CCB home page. Additionally, CCB will mail you an official certificate and other documents within four weeks of your examination. CCB reserves the right to publicly recognize any candidate who has successfully completed a CCEP certification examination. If you did not pass the examination If you do not pass the examination, re-apply by submitting the Reapplication section included on your Score Report and include the rescheduling fee. In order to retest, you will need 20 CCB CEUs that have been earned within 12 months of the rescheduled retesting date. Candidates who fail the second examination attempt must wait 180 days from their most recent exam date before reapplying to take the exam. The fee to retake is based on your submitted CEUs. Keeping these CEUs (20 CCB CEUs earned within 12 months) current and submitting additional CEUs prior to expiration will keep you from having to pay the full exam fee upon retesting. Proper logo and title usage Certified Compliance & Ethics Professional (CCEP) 10

15 CCEP Candidate Handbook: Renew your certification in three steps Renew your certification in three steps Attaining a certification is a verification of broad-based knowledge in the discipline being tested at that point in time. Therefore, certification renewal is required every two years. Attendance at SCCE events or renewing your SCCE membership is not the same as renewing your CCB certification. See page 13 for more information about the differences. 1Keep track of your renewal date It is your responsibility to keep track of your renewal date and submit the CEUs and renewal fee prior to your certification expiration which is every two years from the month you originally passed the certification exam. You may receive courtesy reminders from CCB certification staff; however failure to receive these reminders does not constitute a right to petition CCB s Board of Directors for an extension. CCEP certification holders have a 1-month grace period beyond the renewal month. If 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 form on page 41 and paying the monthly extension fee. Individuals who need to use the grace or extension periods should note that their next renewal date will then be fewer than 24 months away, which will require accumulation of 40 CCB CEUs in a reduced time. 2Earn and submit the required CEUs Certification holders must earn and submit 40 CCB approved continuing education units within their renewal/extension period in order to renew the certification. CEUs must: Include a minimum of 20 earned from live training events, which include face-to-face events or real-time web conferences. Be earned within the two-year renewal period preceding the date of certification renewal. CCB accepts relevant CEUs from any organization or event sponsor. Certification holders are not required to attend SCCE training or events to accrue CCB CEUs. Content submitted for CCB CEUs must meet at least one of the 10 subject areas identified by CCB as relevant to compliance certification. For more information on those areas and ways to accumulate CCB CEUs, see page 4. = CEUs used to qualify for the initial certification cannot be used to qualify for renewal. You will need to obtain 40 CCB CEUs after passing the CCEP exam and becoming a certificate holder. CERTIFICATION RENEWAL Total CEUs needed Including this many from live training Content Time-frame # # # # 40 CEUs 20 CEUs One or more of the 10 subject areas Within 24 months of renewal date 11

16 CCEP Candidate Handbook: Renew your certification in three steps 3 Submit the renewal fee Once CCB has documentation of your 40 CCB CEUs, submit the renewal fee to complete the renewal process. See page 18 for fee information. You will receive a letter within two weeks confirming your renewal. The certification is valid for another two years. If the 40 CEU requirement is met and documented by CCB, but payment for the renewal fee has not yet been submitted by your renewal date, your certification will go inactive. However, you will have until your next renewal date (two years) to submit payment to activate your certification. Please note that CCB will not be able to verify credentials if your certification is inactive. After two years, retesting will be your only option to regain the certification and you will not receive renewal reminders. = If you have not submitted or reported your CEUs 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 CCEP Forms Retake the CCEP 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, the only other option is to retake the CCEP exam. You must meet the eligibility requirements to take the CCEP examination, schedule the exam, and pay the full application fee, just as you did to originally obtain the certification. You will have a new certification renewal date based on the month that you sit for and pass this exam. For more information on eligibility requirements, see page 3. Failure to renew certification If you fail to renew your certification, you are no longer considered CCEP certified and may not use the credential in professional communications such as on letterhead, stationary, business cards, in directory listings, or in signature. 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 extension fees may apply) Submit the $250/$350 exam application fee, as well as Pass the current form of the exam. 12

17 CCEP Candidate Handbook: Candidates frequently asked questions Candidates frequently asked questions Do I need to be an SCCE member to become CCEP certified? SCCE members and non-members alike can become CCEP certified. An SCCE or HCCA membership is not necessary to attain, maintain or renew a CCEP certification. Do my SCCE membership dues include the exam or renewal cost? SCCE membership dues do not include the cost of becoming CCEP certified or renewing a certification. Likewise, CCB certification does not include SCCE membership. SCCE and/or HCCA membership dues are paid annually for access to member services such as web and print content specialized for compliance and ethics professionals, among others. CCEP certification fees are paid prior to the initial certification and every two years for certification renewal. See page 18 for current certification fees. Does my event fee also apply toward the exam or renewal fee? The cost of attending an SCCE Academy or other event does not apply toward the cost of initial certification or certification renewal. Certification costs are in addition to the event fees, even when you are planning to take the certification exam at the end of the event, such as at an Academy. See the event materials for event costs at See page 18 for fees associated with certification. 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. What is the cost to take the exam and to renew my certification? The cost to apply for and take the exam is $250 for SCCE or HCCA members and $350 for non-members. The cost to renew a certification is $100 for SCCE or HCCA members and $200 for non-members. See page 18 for more information on fees. Should I become CCEP or CCEP-I certified? CCB offers two similar compliance and ethics programs: Certified Compliance & Ethics Professional (CCEP) Certified Compliance & Ethics Professional International (CCEP-I) CCEP certification is geared toward compliance and ethics laws in the United States and is primarily for individuals who work within the U.S. CCEP-I certification focuses on international compliance and ethics laws and is primarily for individuals who work outside the U.S. or those who have international affiliates. CCB recommends certification in both programs if you have a work presence in the United States and internationally. Can my professional experience waive the continuing education requirement? No, there are no exceptions to the continuing education requirements. All candidates and certification holders must fulfill the CEU requirements. 13

18 CCEP Candidate Handbook: Candidates frequently asked questions How can I earn CCB-accredited Continuing Education Units (CEUs)? CCB accreditation is based on the content of the activity. The content must be relevant to compliance by meeting at least one of the 10 major subject areas set forth by the CCB. CCB accepts relevant CEUs from any organization or event sponsor. Candidates and certification holders are not required to attend SCCE training or events to accrue CCB CEUs. SCCE events and activities provide an avenue to accrue CCB CEUs. CCB CEUs cannot be awarded for networking, social activities, breaks, meals, or time spent in non-instructional activities like question-and-answer sessions. The list of CCB CEU values on page 4 is a guideline for you to use in helping to determine your annual training needs for certification or renewal. However, actual values of submitted CEUs may be adjusted once a CCB certification specialist has reviewed your application. If you have a specific question, contact a CCB certification specialist for guidance. What is a CCB pre-approved event or activity? It is any activity that has been pre-approved by CCB to offer CCB CEUs to participants. The event s sponsor submitted the content to CCB prior to the event for CCB CEU consideration, and the CCB certification specialist determined that CCB CEUs should be awarded for the activity. Activities may include conferences, workshops, web conferences, articles, books, and presentations, among others. At the end of the event, the event s sponsor will distribute a certificate of attendance or certificate of completion to all participants. The certificate lists the number of CCB CEUs earned for that activity. Are CEUs awarded for an activity that wasn t CCB pre-approved? You still can submit CEUs for activities and events that weren t pre-approved for CCB CEUs but are, at least in part, relevant to compliance. After the event, submit an Individual Accreditation Application either online or use the form on page 39. See page 5 for more information on completing the online form, including the documentation you will need to provide along with your application. Because a CCB certification specialist will need to review your submission, including program content, it s best to allow six weeks for review before needing these CEUs for certification or renewal. To receive CEUs for speaking, instructing or facilitating an event, or for publishing an article, you must submit an Individual Accreditation Application and a copy of your presentation or article. Does SCCE apply to other organizations for CEU qualification? SCCE regularly applies to outside organizations for pre-approval of continuing education for its events. In addition to being CCB pre-approved, SCCE events are often pre-approved for CLE (AL, CA, PA, RI, and TX), and NASBA/CPE credits. Continuing education details are listed in the event brochure and on the Certification tab of the event page on the SCCE website. Go to I m in a master s program and some of my classes are compliance related. Do these qualify for CCB CEUs? CCB partners with several colleges, universities, and law schools across the United States to offer CCB CEUs for compliance accredited courses and certification programs. There are some nuances with this question, though, so it would be best to speak with a certification specialist. 14

19 CCEP Candidate Handbook: Candidates frequently asked questions What is live training? For purposes of continuing education, the term live training is any training that was conducted in real-time/interactive and allows for presenter interaction. Examples of live training include a face-to-face conference or a real-time audio or web conference. Where can I find how many CCB CEUs I have? You can view and easily track your CEUs online at CCEP or My Account My CEUs. You will need to log into the password-protected area of the websites in order to access your CEU account. You do not need to be an SCCE member in order to access this information. See page 1 for more information about your free online account. If you do not have internet access, call CCB at or to find out how many CEUs you have. Can I use the CEUs I earned to sit for the exam toward my CCEP renewal? The continuing education units that candidates accumulate in order to qualify for the examination do not carry forward toward the 40 CEUs needed for renewal. You will need to accrue 40 new continuing education units within the two-year certification period in order to renew your CCEP certification. Can I carry extra CEUs over to the next 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. Is there a study guide for the exam? The exam is largely based on compliance work experience and therefore an official study guide is not available for this exam. However, CCB recommends candidates review the Examination resources on page 20, the Detailed Content Outline on pages 22 24, and review the reference materials on its website, CCEP. How soon after an activity should I submit my CEUs to the CCB? CEU credits should be submitted to the CCB as soon as possible, preferably within 30 days of the activity. Can I obtain an extension on my renewal period? Certification holders automatically receive a 1 month grace period. If additional time is needed beyond the grace period, you may request up to an additional 2-month extension for an additional fee. See page 11, or contact CCB. What if I cannot take the exam at an SCCE event or the event is too far away from my location? Candidates do not need to attend an SCCE event to take the exam. Candidates can take a computerized examination at AMP assessment centers. For more information about how to schedule these computerized exams and find an AMP assessment center near you, see page 6. For more Frequently Asked Questions, go to the CCB website, About CCB Candidates FAQs. 15

20 CCEP Candidate Handbook: Certification policies and legal disclaimers Certification policies and legal disclaimers Please read and understand CCB s policies regarding applying for, attaining, and renewing a CCEP certification. Auditing CEU submissions CCB reserves the right to audit continuing education submissions at any time. The scope of these audits will be limited to verification of attendance and compliance with content area requirements. Fraudulent submission of continuing education for certification, or certification renewal, is grounds for prohibition from testing or revocation of certification. Confidentiality policy Information about candidates for testing or renewal of certification and their examination results are considered confidential. However, CCB, SCCE, and HCCA reserve the right to use information supplied by or on behalf of a candidate for research and publicity. Studies and reports concerning candidates will not contain information identifiable with any candidate, unless authorized by the candidate. Examination appointment changes No refunds will be issued to eligible candidates who need to cancel an exam. Candidates must notify CCB at least five business days prior to the scheduled test date, if they are unable to attend the scheduled exam on that date. If candidates fail to give five business days notice, or if candidates need to reschedule the exam more than once, a $50 rescheduling fee will be imposed. Candidates have 90 days from the date of the cancelled exam to contact CCB and re-register for the exam, or their initial exam application and fee(s) will be forfeited. Candidates who fail to contact CCB within 90 days to reschedule the exam will need to complete a new Examination Application and submit a new exam fee to re-apply for the exam. Late arrival for examination Candidates who arrive after the scheduled exam check-in time for a paper-and-pencil administration may not be admitted per onsite proctor instruction. Candidates who arrive more than 15 minutes after the scheduled testing time for a computer based exam administration will not be admitted into the testing center. Candidates not admitted due to late arrival have the remainder of their exam eligibility period to remit the rescheduling fee and contact CCB to schedule a new examination appointment, or the exam application and fees are forfeited. Inclement weather or emergency Every attempt is made to administer examinations as scheduled, however inclement weather or an unforeseen emergency may require CCB or AMP to cancel an examination. If an examination is cancelled, all scheduled candidates will receive notification after the cancelled examination and information on how to reschedule or re-apply for the exam. Candidates are encouraged to contact AMP s Weather Hotline at prior to the examination to inquire about a testing center closing. Candidates who experience a personal or medical emergency on examination day may request consideration of rescheduling the exam without an additional fee. The request must be sent to CCB in writing within 30 days of the scheduled exam session. The request must include a description of the emergency and supporting documentation. Considerations for rescheduling without additional fees are made on a case-by-case basis. 16

21 CCEP Candidate Handbook: Certification policies and legal disclaimers AMP examination security CCB and AMP maintain examination administration and security standards that are designed to assure that all candidates are provided the same opportunity to demonstrate their ability. The assessment center is continuously monitored audio and video surveillance equipment for security purposes. Proctor dismissals from the exam Testing proctors may dismiss a candidate from the examination if the candidate: Is unauthorized to be admitted into the exam. Creates a disturbance or is abusive or otherwise uncooperative. Gives or receives help or is suspected of doing so. Attempts to take the examination materials or notes from the testing room. Attempts to take the examination for someone else. Is observed with notes. Violation of any of the above provisions results in dismissal from the examination session. The candidate s examination score is voided and the exam fees are forfeited. Evidence of misconduct is reviewed by CCB s Ethics Committee to determine whether the candidate will be allowed to re-apply for the exam. If re-examination is granted, a complete application and examination fee are required to re-apply. Scores cancelled by AMP or CCB CCB and AMP are responsible for the integrity of scores they report. On occasion, occurrences such as computer malfunction or misconduct by a candidate may cause a score to be suspect. CCB and AMP are committed to rectifying such discrepancies as quickly as possible. CCB may void examination results if, upon investigation, violation of its regulations or exam in-eligibility is discovered. CCB hearing and appeal process Upon report to CCB of a candidate or certification-holder s action by an individual, government agency or other investigating authority, a hearing before the full CCB Ethics Review Committee will be convened. The hearing will determine the facts related to the charge against the accused. The accused and all appropriate witnesses will be called before the hearing for a presentation of all relevant information needed to determine the facts. Upon satisfactory determination of the facts as recorded by unanimous vote of the full committee, the committee will conduct a closed session to determine the action to be taken as a result of the charge. The decision of the committee may be appealed with or without cause by the accused to CCB Board of Directors. CCB Board of Directors will review the facts as determined by the Ethics Review Committee and may, at its discretion, convene a second hearing before the Board for the determination of fact. Upon a vote of unanimous consent to accept the facts as presented, the Board will convene in closed session to determine the final action to be taken in the matter of the charge before them. Revocation of certification Grounds for prohibition from examination or revocation of certification may include: Intentional misrepresentation of information provided on a CCEP application. Fraudulent submission of CEUs. Admission to or conviction that was not previously disclosed of any felony or misdemeanor directly related to the candidate or certification-holder s role as a compliance and ethics professional. 17