Which of the following is an example of a compliance violation indicator?

• A. Contact with a recruit outside the allowed window
• B. Documentation of all contact
• C. Not maintaining records of contact with recruits
• D. Contact with a recruit via email during the allowed window

Answer: (C)

In compliance, indicators are signs that the program’s controls aren’t being followed and that potential violations may be occurring. Not maintaining records of contact with recruits stands out because proper documentation is a foundational control that lets you verify what happened, when, and under what rules. If there are no records, you can’t prove that communications fell within allowed windows or met policy guidelines, which flags a serious lapse in the compliance process.

The other scenarios either describe actions that are itself compliant (documenting all contact, or contacting within the allowed window) or describe a clear violation rather than an indicator of one (contact outside the allowed window). So this lack of documentation is the clearest signal that compliance processes aren’t being administered properly.