“Know Your Staff” effectively, part 2
Below is a guide to implementing KYS policy. Every new employee must be required to complete the “new employee form.” This document is invaluable for investigators.
Below is the minimum information HR must collect from each staff. It is recommended that a new form is completed by every staff every three years, and also updated on the automated HR management system. Error on having all your top managers and staff in charge of critical or high risky processes. It will go a long way in reducing fraud incidents.
The explanations in italics are to give you insights on how to use the information collected from staff.
1) Full Name: __________________
2) Id #: _______________________
[Ideally, all 18+ staff should have at least a voter’s card, driving permit or student ID]. Get this information. A student ID, for example, is critical as it would provide you good leads when investigating the background of your employee from OBs or OGs.
3) First Name:
4) Residential address: ____________________.
You need to know where your staff leave. Experience has shown that staff feel ‘exposed’ when they know employers can find their homes. Most people don’t want to be reported to their partners or parents/ village mates as fraudsters.
5) Postal address: ________________________.
Later, you can always find out the exact owner of the post office address. All these people can give you great leads. Encourage staff to give you private Postal addresses, as it increases your ability to know more about them.
6) Tel #: _________________________
Encourage staff to indicate as many mobile numbers as possible on the form. In future, you will need this information. Once, during an investigation, I wanted to make a link between a known suspect (external supplier) and our internal staff. We got a phone print out of their mobile numbers – both official and the known private # in vain. We were almost giving up, and recalled we could check out the personal records kept in HR. Unfortunately, the staff profile in the HR system did not have all the information we needed.
We hit the archives and got the employees personnel file.
We were able to find a mobile number on the form. When we got a printout, it showed a good connection to the suspect. And that was all we needed to solve the case!
7) Date of birth:
8) Place of birth:
Very critical to cross-check and confirm. In case staff stole from you, you can easily trace them in the village from their place of birth.
9) Marital status:
If someone indicates that they are married, why pay them peanuts and expect them to deliver without cheating from you. Ensure that you pay well your employees so that they can live decent lives based on their responsibilities.
Type of employment required (permanent or temporary): ______________
For going concern, you need an employee for permanent employment.
When can you start work: __________________________
If someone indicates they are working somewhere, and then they indicate they are readily available, it is a sign of mistrust. You want an employee who observes minimum notice period.
To be continued.
Copyright Mustapha Mugisa, CFE. 2013 All rights reserved.