The primary review tasks are:

  • determining the category of the violation according to the nature of the event;

  • defining priority of the message according to the severity of the violation;

  • preparing the message for the next triage action.


The following triage steps require that the message have enough information to:

  • understand the essence of the incident - what happened?

  • correctly identify the location of the incident or at least the division to which the information relates;

  • find out the time period of the event.


The Analyst, Coordinator, or Case manager can classify violations.



Identify the category of violation according to the explanations in the table:


Categories of violations


1

Health and safety violations or the environmental damage


1

Environmental protection, human health and safety

Conduct, actions or policy decisions that do not comply with local, state or federal environmental, health or safety laws or regulations, or could result in potentially dangerous circumstances that adversely affect the environment, health or safety of employees, customers or others.

2

Threats and physical violence

Statements or actions threatening physical violence or possession of weapons, firearms, ammunition, explosives or incendiary devices in the workplace, on organizational premises or in official vehicles.

3

Alcohol and drugs

The unlawful use, possession, trade, transfer to others, distribution, concealment, transportation or manufacture of illegal drugs, toxic or narcotic substances, or items used for the purpose of using drugs, in the workplace or in the performance of work duties.

2

Abuse, corruption, or misappropriation of assets

4

Conflict of interest.

Any financial interest, any business or professional activity, prior or current employment, or any obligation that may interfere with the faithful performance of job duties or undermine independence and objectivity.

5

Theft

The unauthorized removal or misappropriation of inventory, furniture, real property, cash, merchandise, or other tangible property.

6

Embezzlement

Inappropriate, unauthorized or unlicensed use of property or funds unrelated to or for improper purposes, including misuse of systems and time.

7

Gifts, bribes and kickbacks

Payments, in-kind payments, gifts, bribes, lending or receiving credit or favours from customers, employees, suppliers, vendors, competitors, directors and other officers, auditors, government officials or entities, or other parties, for improper purposes or with the intent to influence business decisions or policy processes.

8

Insider dealings and disclosures

Buying or selling stocks or other securities using inside information or data obtained during or as a result of work, or providing such information to another person buying or selling stocks or other securities using such information.

9

Forgery


Statements or actions intended to or result in the unlawful, untimely, erroneous or intentional misrepresentation, concealment or destruction of information with the intent to deceive or mislead.

10

Espionage and sabotage.


Acts that result in collecting or obtaining inside information or trade secrets of a competitor in order to gain an advantage or competitive advantage, or intentionally destroying, disabling or otherwise damaging a competitor's equipment or other property in order to gain a competitive advantage or benefit.

3

Injustices, harassment or discrimination 



11

Misconduct


Statements or actions that are not harassing in nature, but that may be considered inappropriate in the workplace.

12

Unfair treatment of employees


Decisions, actions or disciplinary actions that are deemed unfair, whether as a result of established work performance or changes in the business necessity, or other work-related decisions.

13

Discrimination

Statements or actions interpreted as discrimination based on age, race, colour, national origin, sexual orientation, gender, physical disability or religion and are carried out in decision-making procedures for employment, promotion or wage determinations.

14

Bullying



Repeated remarks, behaviour or actions that are unwelcome, demeaning, offensive or intimidating and create an unpleasant or hostile environment.

15

Sexual harassment

Statements or actions that are in the nature of unwelcome sexual advances, requests for sexual relations, unmotivated physical contact or suggestions by the victim, unwelcome flirting, offensive verbal or visual cues, or physical contact of a sexual nature.

4

Revenge and retaliation of whistleblowers


16

Revenge

Statements or actions made for the purpose of relieving, demoting, suspending or threatening, harassing or discriminatory in nature, against an employee for any lawful act committed by such employee, to report a violation of a law or policy, a complaint to assist an investigation or a legal proceeding.



5

Other violations

17

Improper maintenance of accounting records or accounting fraud, distortion of any other important reports

Statements or actions that violate or conflict with an organization's internal policies, procedures or accepted business practices or governmental regulations for maintaining detailed accounts of the financial condition or financial transactions of the organization or examining, auditing or amending the organization's financial records.

18

Consumer rights violations

Statements or actions that negatively affect or interfere with customers, customer communications or customer contracts.

19

Disclosure of confidential information

Unauthorized or unlawful disclosure, copying, duplication, misuse or release of confidential or personal information, including but not limited to employment, financial, medical and health information, customer lists, contracts, business plans, personnel files or other property noticed or generally recognized as confidential or trade secrets.

20

Antitrust or unfair business practices

Negotiating or entering into agreements with competitors about prices or terms of credit, submitting bids or commercial proposals, allocating market shares or customers, restricting production or distribution, or boycotting suppliers or customers that would result in monopolizing the market or reducing competition in the market.

21

Quality control

Complaints about the quality or efficiency of products or services; allegations of product spoilage; violations of production management policies and regulations; allegations of noncompliance with product or service specifications.

22

Other

Statements, actions or implementation of policies that concern the person making the allegation but have not yet resulted in harm, injury or corporate liability and do not belong to any of the other categories.

6

Ask a question or request additional information

23

Request for additional information

A request for advice, explanation, or other information about law, regulation, or policy.



To select or change the violation category:

  • Open;

  • On the left side navigation menu, go to Reports;

  • In the attributes part of the case, click on the category area and select the correct category.




  • For easy selection - use the contextual search option by entering the first letters of the keywords.




Warning. You can classify violations an unlimited number of times, but only before the investigation begins.



Prioritisation:

  • Open;

  • In the left-side navigation menu, go to "Report";

  • In the message management part, click on the category area and select the correct priority.




By default, the following priorities are available in the system:

  • Emergent;

  • High;

  • Important;

  • Normal;

  • Undefined.



When assigning priority, it is wise to consider:

  1. The nature of the threat or category of violation.

  2. The size of the threat, loss or other adverse consequences.

  3. The likelihood that the negative consequences will occur.

  4. The rate at which the risk or threat develops.

  5. The desired speed of response.



Selection of priority depending on risk


Priority

Degree of risk impact

Speed of response

Response time
Emergent

A direct threat to the life and health of people

Threat to the existence of the business or assets

Immediately

< 24 hours

High

Directly affects the company's top management

Financial losses run into the millions

Significant market loss

Negative coverage in national and international media

Affects the interests of the staff

Urgent. As soon as possible

<15 days

Important

Financial losses run into the hundreds of thousands

Threat to local reputation

Problems with the regulator

Indirect threat to people's health

Affects a large number of employees

Promptly

<20 days

Normal

Financial losses unknown or less than 300,000

Minor reputational risks

No relation to the regulator

No threat to the life and health of people

Affects only some of its employees

Within reasonable limits.

<30 days

Undefined





Depending on the selected priority, the system automatically applies a scheduled response period and calculates how many days are left before the deadline.


Response time


Status

Regulatory period (days)

Maximum cumulative term 

Normal

Emergent

High

Important

New / Unreviewed

5

1

3

5

5

Need details from the reporter

10


10

10

15

Open / Under review

10


5

5

15

Reopened

3


1

1

5

Waiting final closing

5


2

5

10

Closed - without actions






On remediation

10

2

5

5

10

Closed - Measures taken







43

3

26

31

60



If necessary, the Analyst or Coordinator can change the location of the incident.