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Intake Process
2
Intake Process
Assets
Option 1
2.
4.
Contact Methods
INTAKE
1. DETERMINE POSSIBILITY OF CONTACT WITH COMPLAINANT
MISCONDUCT IDENTIFIED
- Allegations Form
- Mail to ETH inbox
- Mail directly to a team member
- Walk-in
- Phone
- Referral (from another Bank unit)
ESTABLISH CONTACT WITHIN 2BD
GOAL
Was the allegation made anonymously?
CREATE CASE
Unify criteria for intake assessment to ensure consistency and fairness.
IDB EMPLOYEE IDENTIFIED
WILLINGNESS
TO REPORT
OBJECTIVES
Comment
PURPOSE
3.
1.
- Register every matter received.
- Eliminate duplicates.
- Identify gaps.
Can the complainant be contacted?
- Confirm reception of complaint from INV Team.
- If additional information is needed to create a case, schedule an interview
CONTACT COMPLAINANT WITHIN 2 BUSINESS DAYS
Option 2
2.
4.
NO
MISCONDUCT IDENTIFIED
CHECK IF COMPLAINANT CAN BE CONTACTED
Next Steps
Create MATTER
Determine CASE after interviewing complainant and getting
IDB EMPLOYEE IDENTIFIED
WILLINGNESS
TO REPORT
PRELIMINARY DETERMINATION OF CASE CREATION
BASED ON
3.
1.
1. WILLINGNESS TO REPORT
2. INVOLVES A POTENTIAL MISCONDUCT
3. INVOLVES AN IDB EMPLOYEE/FORMER IDB EMPLOYEE
Create CASE
Determine missing jurisdictional elements in ASSESSMENT
Option 3
2.
4.
MISCONDUCT IDENTIFIED
CHECK IF COMPLAINANT CAN BE CONTACTED
Create MATTER
Determine CASE after interviewing complainant and getting
OBSERVATIONS
NO IDB EMPLOYEE IDENTIFIED
WILLINGNESS
TO REPORT
3.
1.
Create MATTER
Determine CASE after interviewing complainant and getting
Option 4
2.
4.
NO
MISCONDUCT IDENTIFIED
CHECK IF COMPLAINANT CAN BE CONTACTED
- If the answer to (2) or (3) are "maybe", a CASE should be created and the final decision regarding jurisdiction will be done in assessment.
- If the answer to (1) is not clear, the complainant should be contacted to get confirmation.
NO CASE AT THIS POINT > CREATE MATTER
- DATE OF RECEPTION OF A CASE = Date in which all the information needed to CREATE a case is obtained.
- IF A CASE IS CREATED, AFTER A MATTER ON THE SAME SUBJECT WAS CREATED FIRST > ELIMINATE MATTER (avoid duplicates).
Create CASE
Determine missing jurisdictional elements in ASSESSMENT
IDB EMPLOYEE IDENTIFIED
NO
WILLINGNESS
TO REPORT
3.
1.