Personnel |
Select Level of Experience |
Subject Matter Expertise |
---|---|---|
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 |
APPENDIX 3-R: Checklist for Assessing Investigation Capabilities
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