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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
21st of March 2016
©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Share largest benchmarkingdata set in the Compliance andEthics community and discussbest practices to strengthenyour own practices in ourrespective companies andteams.
Open and informal discussionsharing practical tactics, toolsand case studies to overcomecritical challenges in yourethics and complianceprogrammes.
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Introduction
Setting the Scene
Benchmark Results
Open Q&A and discussion throughout
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Employee Awareness
Standard & Ad Hoc Reporting
Expa
nded
Intake
INTEGRATED COMPLIANCE DATAINTEGRATED COMPLIANCE DATA
ADVISO
RYSERV
ICES
NAVEX GLOBAL GATEWAY
PROFESSIO
NAL
SERVICES
Case
Man
agem
ent
PolicyMan
agem
ent
Third
PartyRisk
Mgm
t.
Hotline
OnlineTraining
Annu
alCe
rtificatio
ns
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
3. Increasing Operational Complexity:
Company growth depends on newproducts, technologies, increasingnumber of partner companies, andexpanded geographic reach
85% of your peers expect thecomplexity to increase
4. Intense Pressure from Stakeholders:
Senior executives are faced with—and exert— increased pressure forgreater risk assurances.
83% of your peers expect thepressure to increase.
1. Busier Regulators:
83% of your peers expect moreregulations in more regions aroundthe world
86% of your peers expect an increasein the scope of regulatoryenforcement
2. Higher Employee Exposure:
Greater access to sensitive companydata and more channels throughwhich that data might leak
72% of your peers expect thesetrends to increase
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
• Fear of retaliation
• Fear of non anonymity
• Belief that report will be ignored
• Belief that someone elsewill report it
• Unsure of who to contact
• Lack of clarity on what can/should bereported
• Many other reasons…
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source: Inside the Mind of a Whistleblower, 2012 – Ethics Resource Center
79%
75%
63%
49%
59%
46%
39%
24%
Don't report Report
Had an anonymousreporting option
Felt supportedbymanagement
Believed correctiveaction would occur
Felt that no one elsewould report incident
Believednothing would
occur
Fearedretaliation
Could not reportincident anonymously
Believed someone elsewould report the
incident
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Corporate Culture
Risk Management
LowerComplianceMisconduct:
Improved RiskDetection:
Business Performance
Higher EmployeeProductivity:
Better StrategicManagement:
ImprovedBusinessPerformance:
Source: CEB
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
74% 73%Organisational
Justice
26% 27%
Definition
•
•
•••••
Drivers ofa Culture
ofIntegrity
2008 2009
©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
• So much data, but notalways clear what it means
• Need to demonstrateprogramme effectiveness
• Reportingmeaningful andactionable data toleadership
• Comparing yourperformance to peers andothers
• Finding context
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
N AV E X G l o b a l B e n c hm a r k i n g
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
• Report Volume
• Report Categories
• Repeat Reporters
• Anonymous vs. Named reporters
• Follow up Rate
• Substantiation Rate
• Anonymous Substantiationpercentage
• Case Closure Time
• Reporting Intake Method
• Retaliation Reports
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
2010 Benchmark 2011 Benchmark 2012 Benchmark 2013 Benchmark 2014 Benchmark
Call Volume Per 100Annually
Call Volume Per 100Annually
Call Volume Per 100Annually
Call Volume per 100Annually
Call Volume per 100Annually
Median 0.9 Median 1.1 Median 1.2 Median 1.2 Median 1.3
Range 0.2 3.9 Range 0.3 6.0 Range .4 4.9 Range .5 4.0 Range 0.3 8.3
The 2014 median rate represents a 44 percent increase in the Report Volume per 100Employees over the previous five years.
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
Too many calls isnot good news…
Too few isn’tgood either
The 2015 median rate remained flat at 1.3 reports per annum per 100 Employees
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Allegation Categories 2010 Median 2011 Median 2012 Median 2013 Median 2014 Median
Accounting, Auditing &Financial Reporting
3% 3% 3% 3% 2%
Business Integrity 17% 16% 17% 18% 17%
HR, Diversity andWorkplace Respect
69% 68% 69% 73% 69%
Environment, Health andSafety
7% 9% 7% 7% 6%
Misuse, Misappropriationof Corporate Assets
5% 7% 6% 6% 6%
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
There has been a significant increase of inquiries over a five year period.
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
100%
40%
60%10%
Source
CEB Compliance and Ethics Leadership Council
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
Source of frustration for ethicsofficers and senior leadershipbecause of missing data andinability to talk directly with thereporter
Senior leaders often push back onaccepting anonymous calls due to:
Fear of malicious calls
Fear of inability to resolve case
Strong belief that reporters withreal issues should be willing to givetheir name
E.U. requirements re: handling ofanonymous reports
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©2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
Anonymous report rates drop below 60% for the first time.
© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
2010 Benchmark 2011 Benchmark 2012 Benchmark 2013 Benchmark 2014 Benchmark
Repeat Reporters Repeat Reporters Repeat Reporters Repeat Reporters Repeat ReportersRepeat 24% Repeat 27% Repeat 27% Repeat 31% Repeat 32%
Substantiated Rate 2013 2014
First Time Reporters 35% 40%
Repeat Reporters 38% 42%
Caller Type
Accounting,Auditing &FinancialReporting
BusinessIntegrity
HR, Diversity &WorkplaceRespect
Environment,Health& Safety
Misuse,Misappropriation
of CorporateAssets
First TimeReporter 2014
1% 13% 76% 7% 3%
Repeat Reporter2014
3% 10% 81% 4% 3%
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com© 2015 NAVEX Global, Inc.All Rights Reserved.
www.navexglobal.com
Source: NAVEX Global's 2015 Ethics and Compliance Hotline Benchmark Report
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
N AV E X G l o b a l R o u n d t a b l e
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
• Training and communication initiatives
• Published (or rumors of) internal cases and disciplinary actions
• Internal restructuring/management changes/layoffs
• Policy changes: Code or HR
• Mergers, acquisitions, changes in lines of business
• Regulatory changes
• News articles re: industry, competitors, or the latest compliancescandal
• A real problem
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
1. Discouraging callers with questions or requests for advice
2. Investigations missteps:Investigations that take too long
Poorly trained investigators
Maintaining objectivity and professionalism
Not vigorously protecting confidentiality
3. Not publishing sanitised outcomes to employees
4. Not looking for trends and related variables
5. Call data to Board and senior management without context
©2014 NAVEX GLOBAL ALL RIGHTS RESERVED.
© 2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
• Use a robust case management system
• Run your data different ways
• Research anomalies
• Drill down to locations and businesses, issue types and topics,anonymous calls, substantiated allegations
• Sometimes you “don’t know it until you see it”
• Follow your gut instincts on brewing problems
• Track and report on quality of case management and investigations
• Track disciplinary actions by offense, level of employee, or group…
©2014 NAVEX GLOBAL ALL RIGHTS RESERVED.
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©2014 NAVEX Global, Inc. www.navexglobal.comAll Rights Reserved.
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