Chapter 4: Evaluation Processes, Investigations, and Noncompliance Response

Resource: Sample Checklist for Assessing Investigation Capabilities


(select one)

Level of Experience

(select one)

Subject Matter Expertise

(select all that apply)

Human Resources personnel

Employee Relations personnel

Security personnel


Legal personnel

Ethics and Compliance personnel

Forensics/IT personnel

Persons responsible for corporate travel and expenses

Safety/occupational health personnel

Other ___________


__Conducted 1-5 investigations in the past year

__ Conducted 5-10 investigations in the past year

__ 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

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