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DATASHEET

Today’s ethics and compliance (E&C) environment is more complex than ever. To best protect your organization, you need guidance from experts with deep expertise who have been in your shoes. Experts specifically devoted to helping leaders solve their most difficult E&C challenges. You need NAVEX Global’s Advisory Services team.

The Most Experienced E&C Experts in the World: No other organization can offer the depth and breadth of expertise

in E&C as NAVEX Global’s Advisory Services team. With more than 100 years of combined experience, the team includes

practitioners who have served as corporate ethics and compliance officers for public, private and non-profit organizations,

as well as a former Department of Justice attorney and an author of the 2004 amendments to the U.S. Federal Sentencing

Guidelines.

Unmatched Industry Knowledge: The team’s deep industry expertise is embedded in all of NAVEX Global’s solutions.

They’ve helped hundreds of organizations in more than 40 countries and in every major industry advance their E&C program

performance.

Trusted By Organizations of All Sizes Across All Industries: Clients rely on our team to deliver practical guidance,

assessments and advice—as well as to interface with their C-suite and board to help truly move the needle on

E&C initiatives.

NAVEX Global Advisory Services TeamUnmatched Expertise To Transform Your Organization

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Our Advisory Services team helps clients with program, culture and risk assessments, live executive and board training, code

of conduct services and other consulting engagements to strengthen a client’s compliance program. One size does not fit all:

our team adapts their work to each organization they serve.

» Code of Conduct and Policies—Writing, Review & Distribution: A code of conduct is the foundational policy of every company’s E&C program. It is critical for the code to be aligned to an organization’s mission, values and risks. The experts on our Advisory Services team can work with you to write or modify your code and create a plan for effective distribution and training. Further, the team can help you create and update key policies to help you ensure they align with your code.

» Program Assessments: NAVEX Global’s Advisory Services team provides critical third-party assessments to help ensure your E&C program is meeting its goals—and mitigating your risks. The team has been refining their assessment approach since 1993. It has been tested and stood up to the scrutiny of both boards of directors and regulatory agencies. There are three main types of assessments: program, culture and risk.

• An ethics and compliance program assessment reviews the elements of an organization’s E&C program in light of standards and best practices. It enables the organization to identify programmatic vulnerabilities and develop an action plan to address them. It also provides oversight information and assurance for the board of directors.

• An ethics and compliance culture assessment measures employee perceptions of an organization’s program and culture and enables organizations to identify cultural norms that support or undermine ethical behavior. Perhaps most importantly, it provides leadership and the board insights into whether the program is effective as seen through the eyes of employees.

• A compliance and reputational risk assessment identifies and evaluates risks that an organization faces based on its business structure and operations, competitor practices and countries in which it does business. In their risk assessment process, the team inventories and evaluates your organization’s mitigation efforts for each risk area and provides a roadmap for prioritization and execution.

”NAVEX Globals’s Advisory Team came to the table with the expertise that we needed to complete the task at hand. The project was far too important to trust anyone else. Their analysis of our culture got management’s attention. The numbers were a wakeup call, but the ‘color’ provided by the focus group insights made the need to improve our game real. Integrity is now one of our target management objectives.

Ethics and Compliance Officer,Fortune 500 Utility Company

Our Service Offerings from Abstract to Actionable

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» Ethics & Compliance Framework Review: Organizations starting to build their programs often aren’t sure exactly where to start, or what materials they need to build a program that effectively protects their organization from legal and regulatory risk. Our Framework Review provides guidance in how best to move forward, and helps organizations quickly identify and inventory how well their program aligns with current regulatory requirements and industry practices. Deliverables from this review include recommendations for changes to strengthen the program and prioritize action items.

» In-Person Training: Blended learning, where online training is supplemented or replaced by other kinds of collaborative in-person learning, is a best practice in the E&C world. Provide critical stakeholders—particularly senior executives and boards—with an unforgettable live training experience. Our training is customized to fit the culture and industry of the client and can include a “train-the-trainer” component so the organization can continue to leverage best-practice training strategies.

» Investigation Services: One of the most important actions an organization can take in managing its E&C program is to properly investigate allegations of wrongdoing.

• Investigations Training: Train your investigators how to conduct fair, ethical, legal and confidential investigations of alleged employee misconduct with our world-class online or in-person investigations training.

• Confidential Investigations: Many organizations have the resources to conduct investigations but sometimes they need help from a third party, especially when the investigation involves high-level personnel.

» On-Demand Expertise: Organizations often benefit from an infusion of ethics and compliance expertise to handle a particular challenge or provide very specific guidance and strategic advice. Whether it’s a meeting with your board or an extra set of hands in implementing a key initiative, the team is available to assist.

» Custom Benchmarking: Integrity Diagnostics™: A custom benchmarking option for your compliance data, our Advisory Services team uses NAVEX Global’s proprietary, advanced diagnostic tool and compliance data center to help you understand your program’s historical patterns. After benchmarking your data against peers in your industry, the team provides you with actionable analysis and reporting to improve your E&C program.

Our Advisory ExperienceOur consultants are trusted as some of the best ethics and compliance experts in the world. Our consultants have:

• Started and managed ethics and compliance programs for major corporations

• Served as U.S. Department of Justice attorneys

• Served on the U.S. Sentencing Commission’s Advisory Panel

• Acted as corporate monitors on behalf of the U.S. government

• Conducted assessments on behalf of the U.S. Department of Defense

• Led the Ethics and Compliance Officer Association

• Been chief compliance officers of Fortune 100 companies

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ABOUT NAVEX GLOBAL

NAVEX Global’s comprehensive suite of ethics and compliance software, content and services helps organizations protect their people, reputation and bottom line. Trusted by 95 of the FORTUNE 100 and more than 12,500 clients, our solutions are informed by the largest ethics and compliance community in the world.

Carrie Penman: Chief Compliance Officer and Senior Vice President, Advisory Services  

Carrie Penman has been with the NAVEX Global since 2003 after four years as deputy director

of the Ethics and Compliance Officer Association (ECOA). Carrie was one of the earliest ethics

officers in America—a scientist who developed and directed the first corporate-wide global

ethics program at Westinghouse Electric Corporation.

Mary Bennett: Vice President, Advisory Services 

Mary Bennett, R.Ph. is vice president of Advisory Services and a pharmacist by training. She

previously served as vice president in the Compliance and Integrity office at Caremark, where

she implemented the requirements of one of the first government agreements in healthcare.

Andrew Foose: Vice President, Advisory Services

Andrew Foose, J.D. is a former senior trial attorney in the U.S. Department of Justice’s Civil

Rights Division. Andy is recognized among the country’s leading experts on conducting lawful

and effective internal investigations. He has trained thousands of attorneys, compliance

officers, auditors and human resource professionals on investigative techniques and writing

effective, comprehensive investigative reports.

Ed Petry: Vice President, Advisory Services 

Ed Petry joined NAVEX Global in 2004 after almost ten years as executive director of the

Ethics and Compliance Officer Association (ECOA). Ed served on the Advisory Panel to the

U.S. Sentencing Commission. While others may claim to know best practices, Ed’s work with

the ECOA and the Sentencing Commission actually helped establish those practices, as well

as the standards by which they are measured.

Randy Stephens: Vice President, Advisory Services 

Randy Stephens, J.D., is a lawyer and compliance specialist who has worked in roles with legal

and compliance responsibility for over 30 years, including operations in Mexico, China and

Canada. Randy has significant in-house experience leading compliance programs and working

for some of the largest and most diverse public and private corporations in the United States,

including Home Depot, Family Dollar and US Foods.

Our Advisory Services Team