The Complete Compliance and Ethics Manual 2021

Human Resources personnel

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Employee Relations personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Security personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Auditors/

Legal personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Ethics and Compliance personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Forensics/IT personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Persons responsible for corporate travel and expenses

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Safety/occupational health personnel

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct

Other

☐ None;

☐ Conducted 1-5 investigations in the past year;

☐ Conducted 5-10 investigations in the past year; or

☐ Conducted more than 10 investigations in the past year

☐ harassment;

☐ discrimination;

☐ retaliation;

☐ general employee misconduct;

☐ safety violation;

☐ theft (company or employee property, improper use of company credit card, theft of confidential information or trade secrets);

☐ violence or threats of violence;

☐ books and records irregularities;

☐ wage and hour matters;

☐ policy or Standard Operating Procedure violations;

☐ retaliation;

☐ conflicts of interest;

☐ bribery/corruption, including Foreign Corrupt Practices Act;

☐ fraud and abuse;

☐ website hacking or other external threat;

☐ substance abuse;

☐ other misconduct