Manager Referral Checklist
A manager referral checklist helps managers report concerning patterns, policy issues, access concerns, or workplace-risk indicators through the right channels without making unsupported conclusions.
Primary Audience & Scope
Managers, HR, Ethics, insider risk program managers
When to Use
- •Building or reviewing the related program activity.
- •Preparing a repeatable workflow.
- •Creating site-downloadable working content.
Interactive Work Area
Fill or track items interactively and copy out to your Clipboard
Template Table Structure
| Field | Working prompt | Template field | Reader input |
|---|---|---|---|
| Resource owner | — | Review date | — |
| Scope | — | Relevant system/data/process | — |
| Business owner | — | Control or procedure link | — |
| Evidence location | — | Action owner | — |
| Status | Not started / in progress / complete / exception | — | — |
Checklist Audit List
Record observable facts only.
Include date, time, location, business context, and witnesses if known.
Identify immediate safety concerns.
Identify assets, systems, data, or access involved.
Describe prior coaching or management action.
Avoid labels such as malicious, unstable, criminal, or disgruntled unless formally determined through appropriate process.
Route HR, Legal, Security, Ethics, or emergency escalation as appropriate.
Respect confidentiality and anti-retaliation requirements.
What Completion Looks Like
- 1Required inputs complete.
- 2Action owners assigned.
- 3Evidence retained.
- 4Related risk/control/procedure linked.
- 5Review cadence established.
Insider Risk Capability Framework™ (IRCF™) Alignment
Operationalize This Template in RiskTKO®
Use RiskTKO® or request ITMG® support to adapt this template, align it to the Insider Risk Capability Framework™, and connect the output to measurable exposure reduction. Insider Risk Policy Review Checklist