the navex global ecosystem: next generation ethics and compliance management
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VIRTUAL CONFERENCE
Bob Conlin
The NAVEX Global Ecosystem: Next Generation Ethics and Compliance
Management
VIRTUAL CONFERENCE
VIRTUAL CONFERENCE
Proactive compliance programs improve performance, employee relations,
brand equity and shareholder value.
Superior governance practices generate 20% greater profit.
P R O F I T A B I L I T Y
Strong sense of cultural integrity boosts shareholder return by 16%.
P E R F O R M A N C E
Organizations in compliance avoid up to 95% of fines and penalties.
L I M I T E X P O S U R E
Every $1 spent saves $5.21 in liability, brand damage & lost productivity.
M E A S U R A B L E R O I
- MIT Sloan School of Management - Corporate Executive Board - General Counsel Round Table - Federal Sentencing Guidelines
Compliance Impacts ROI
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NAVEX Global supports the ethics & compliance programs of more than 8,000 organizations worldwide, helping protect their people, reputation and bottom line. Our scalable ecosystem provides customers with the only integrated platform for managing compliance programs; mitigate risks and communicate with employees and partners the standards for operating a strong, ethical organization.
Fully-integrated GRC Systems
Ethics & Compliance Platform
ACCESS PORTAL
Analytics & Reporting
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Advisory Services
Ethical Leadership Group
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Advisory Services
Recognized by ethics and compliance officers worldwide for their experience and expertise, the ELG team provides program and risk assessments, in-person training, code of conduct authoring and consulting services to help companies strengthen their compliance programs.
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Ethical Leadership Group
Started in 1993 with the mission to help companies promote
cultures of integrity.
10 consultants – More than 150 years of ethics & compliance
expertise on staff
Former CCOs, JDs, research specialists, industry specialists with
in-house experience at:
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ELG Services Assessments and benchmarking
In-person Training
Code of conduct and policy writing
Other expert advisory services:
• Compliance work plans
• Communications and training
plans
• External monitor and ethics
advisor
• Program strategy & integration
• Executive & leadership coaching
4/2/2013 8
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Ethics & Compliance Lifecycle
Investigate, Address, Remediate
Periodically analyze your incident /
allegation data to identify any
trends and patterns
1. Prevent violations 2. Avoid liability 3. Minimize fines
Data Analysis
Legal & Reputational
Risk Assessment
Policies & standards
Communication
/ training
Organizational structure,
Leadership responsibilities
HR integration
Culture / Behavior Informs
Shape/ influence
Audit / Ethics Line
Monitored by
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Policy Management
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Policy & Procedure Management
NAVEX Global’s PolicyTech policy management solution automates the process of authoring, approving and distributing policies and capturing policy attestation.
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Draft Review Approval Pending Publish/Archive
Policy Management Lifecycle
document owner
policy draft
Later
Now
PUBLISH
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Publish policies to employees & partners
Create: Author, review, edit and approve new and existing policies
Manage and monitor attestations
Maintain, update, retire and archive
THE PM LIFECYCLE
e
Automating the Policy Management Lifecycle
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Manage
Publish
Manage
Publish
Automating the Policy Management Lifecycle
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Train + educate
Communicate policies + expectations
Track and report results
Read and acknowledge Consistent Processes = Reduced Risk
Manage
Publish
Automating the Policy Management Lifecycle
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AHA Endorsement
Selection Finalized March 2008
28 vendors evaluated; RFP based
on the following:
Product feature/function
Marketshare
Customer service
Financial stability
Onsite demonstrations
Interviews with customers
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Training Solutions
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Online Training
Offering both full length courses and short, interactive burst learning vignettes, NAVEX Global’s ethics and compliance course library supports learning and retention across all critical ethics and compliance topics and delivery channels.
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Long-term Collaboration with Premier Labor Experts
The World’s Largest Labor &
Employment Law Firm
Created by Littler
Mendelson in 1997
15+ Years of Real World Experience
Changing Behavior, Protecting the Bottom Line
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Exclusively Endorsed by SHRM
In partnership with the world’s largest organization devoted to HR management
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Our Unique Approach
More than just training Behavior Change & Risk Management
Legally Engineered™ to provide the best
legal defense possible
Engaging story-based design promotes
completion, learning and respect
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Expanded Course Offerings from NAVEX Global
RESPECTFUL WORKPLACE TRAINING
• Diversity & Inclusion
• Violence & Bullying Prevention
• Positive Employee Relations & Union
Awareness
EMPLOYMENT LAW ESSENTIALS
• Wage & Hour
• FMLA
• Drug Free Workplace
• Lawful Hiring/Lawful Terminations
• Complaints & Investigations
HR SUITE
• Workplace Harassment
• International Workplace Harassment
DISCRIMINATION-FREE WORKPLACE TRAINING
• Discrimination-Free Workplace (EEO)
• Religious Discrimination &
Accommodation
• Sex & Gender Discrimination
• Race & National Origin
• Disability Discrimination &
Accommodation
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Expanded Course Offerings from NAVEX Global
Extended Code of Conduct Training
• Avoiding & Preventing Insider Trading
• Protecting Intellectual Property
• Global Data Privacy
• Financial Integrity
• Records Management
• Avoiding Conflicts of Interest
• Careful Business Communications
• Social Media and the Workplace
• Technology Use & Security
• Workplace Privacy
Business Compliance Essentials
• Ethics & Code of Conduct
• Whistleblowing, Reporting & Retaliation
• Global Anti-Bribery & Corruption Suite (featuring FCPA and UK Bribery Act Courses)
• Third Party Corruption Compliance
• U.S. Export Controls/Anti-Boycotting
• Global Antitrust
• Anti-Money Laundering/OFAC
• HIPAA
• Government Contracting
• Competition Law 23
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Burst Learning: 2 Powerful Training Options
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T O P I C A R E A
Modular foundation course (30-60 min)
Interactive simulation Burst format
(5-8 min)
Short burst (3-5 min)
The Right Content at the Right Time
Improving the learning experience with modular content
delivered in varying lengths and frequency.
Ethics Street
Ethically Speaking
OTS Course
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Burst Training Courses
Ethics Street (Awareness Modules)
• Antitrust and Competition Law: An Interesting Offer
• Asset Protection: The Old Laptop
• Bribery and Corruption: An Important Visitor
• Confidential Information: The Memo
• Conflicts of Interest: The Side Job
• Gift Giving & Receiving: The Hottest Ticket in Town
• Harassment: A Funny Joke
• Honesty and Integrity: An Important Decision
• Privacy: Should I Share?
• Reporting & Retaliation: Let Me Deal With It
• The Perils of Social Media: Should We Post It?
• Workplace Bullying: She's Harmless
Ethically Speaking (Awareness Modules)
• Ethics Matter
• Giving & Accepting Gifts
• Hypocrisy at Work
• Reporting
• Spotting Misconduct
• What is a Code of Conduct?
• What is Integrity?
• Workplace Harassment
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Smart Design Makes Tracking Simple
• Assign one course to all of your learners
• Learners self-select their language from inside the course
• You run one report and capture completions – regardless of language
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Hotline & Case Management
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NAVEX Global provides more employee hotlines, and more advanced incident reporting methods than any other vendor in the world.
Integrated Telephony & Web-based Hotline
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Case Management
NAVEX Global’s case management solution consolidates hotline, open-door, mobile and web-based incident reports into a single location for secure review, investigation, resolution, reporting and analysis.
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Your GRC Program
The National Business Ethics
Survey reveals that 49% of all
employees have personally
witnessed conduct that violates
their company’s ethics
standards, or local, state or
national law.
That figure goes as high as 96%
in companies with perceived
weak or no programs in place.
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Risk Data Being Lost or Siloed
Observed
100%
50%
Unreported and lost
30%
Siloed or trapped
Actual risk being addressed
20% SOU
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Creating Enterprise Visibility
Consistent data collection » « from multiple sources
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2
4
6
8
10
RELIABLE ANALYTICS and BUSINESS INTELLIGENCE
Region 3 Region 1 Region 2 Corporate Security
Location Managers
HR Other Teams
CONSISTENT PROCESSES
and WORKFLOW
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Multiple Points for Report Collection
Create convenient, efficient
ways for your employees
and partners to report
allegations of issues or
incidents – all collected and
managed within a single
case management solution.
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Options for Report Intake
Global toll-free telephony
Branded web intake sites
Customized report forms
Integration with existing applications
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Global Toll-free Telephony
• Call Center operates 24x7x365
• Professional Call Specialists
• Collaborative interview techniques; customized call scripts
• International dialing with interpretation for 180+ languages
SERVICE LEVEL METRIC
WARRANTED
PERFORMANCE ACTUAL: 30 DAYS ACTUAL: 90 DAYS ACTUAL: YTD
Call answer time 00:00:25 00:00:17.83 00:00:16.86 00:00:16.05
Abandonment rate 4.0% 2.8% 2.4% 2.3%
Report dispatch time 12:00:00 01:10:51 01:28:06 01:35:48
Website Uptime 99.5% 99.93% 99.93% 99.84%
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Branded Web Intake Site
• Secure anonymous or
confidential reporting
• Localization and global
privacy support
• Provides tone for
program and key
resources
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Customized Report Forms
Proactively track and manage
early warnings
Easy to use collection, available
to a targeted audience
Feed directly into central
database
• Assignment
• Investigation
• Analysis
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Integration with Existing Applications
Internet Customer
App
Case Management
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Custom awareness programs/campaigns
Awareness materials - custom and template options
Employee Awareness Programs
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Employee Awareness Programs
Demonstrate a commitment to ethics & compliance by promoting internal programs with innovative, compelling multi-channel awareness materials.
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Repetition and Art of Being Memorable
Your employees and vendors
need frequent, consistent
reinforcement regarding your
compliance expectations and
report handling.
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The Role of Awareness Communications
• Emphasize important topics or
messages that may get lost in a
larger training program
• Can go into more detail on topics
or new info between trainings
• Coordinate awareness updates to
land with other relevant events
(e.g. gift policy reminder) to add
weight
• Reinforce messages between
training sessions to strengthen
learning
• Highlight the company’s
commitment to doing the right
thing
• Build trust within organization
and with person or team delivering
the message
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Find the Perfect Balance
The experts at NAVEX Global
have developed multiple
packages aimed at providing
the right amount of help where
you need it.
Tier I: Communications Essentials
Poster
Brochure
Wallet Card
Tier II: Communicator Pro Elements
Example of online storefront interface
Tier III: Surround Sound Program
Awareness Center
Certification
e-Counselor
Intranet Site
Educational Videos
Training
Web Reporting Portal
Ethics in Action Commitment to our Core Values
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Introduction
Third Party Risk Management Solutions
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Third Party Risk Management
Our Third Party Risk Management solution provides an automated and affordable platform to asses, mitigate and monitor vendors and agents across key risk categories.
Source: Compliance and Ethics Leadership Council
SUPPLIERS IN
EMERGING
MARKETS TEMPORARY
EMPLOYEES
SUBCONTRACTORS
INT’L
INTERMEDIARIES
DOMESTIC
AGENCIES
OFFSHORE
SERVICE
PROVIDERS
DATA
VENDORS
FOREIGN
DISTRIBUTORS
DEALERS /
RESELLERS
LOBBYISTS
AUDITORS
INT’L JOINT
VENTURES
PARTNERSHIPS
SUPPLIERS’
SUPPLIERS
CONTRACTORS
VENDORS DISTRIBUTORS
CONSULTANTS
JOINT
VENTURES
SUPPLIERS
AGENTS
YOUR
CORPORATION
A High Level of
Complexity
Corporations need to manage
divergent legal relationships
across a multitude of partners,
and struggle to gain visibility
into often-hidden risks.
Third Party Risk: A Complex Network of Relationships
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• Risk Assessment
• Top Level Commitment
• Due Diligence of all Business Relationships
• Clear, practical and accessible policies and procedures
• Effective implementation of these policies and procedures
• Effective monitoring and auditing of these policies and procedures
Building Blocks of ‘Adequate Procedures’
Third Party Due Diligence
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1. Pre-Screen Understand and assess the inherent operational and jurisdictional risk to your organization prior to performing due diligence.
2. Risk Assessment Best-in-class screening process that provides a comprehensive view into complete enterprise risk—financial, regulatory, reputational, and governance.
3. Risk Mitigation & Action Steps Dictates mitigation activities that must be taken by both the third party and you.
4. Ongoing Monitoring Periodic re-screening process that identifies change in enterprise risk, ensures information is kept current, and continued compliance to client policies.
4. Monitor 3. Mitigate 2. Assess 1. Pre-Screen
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Globally-Deployable SaaS Platform
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Delivers Different Levels of Reports Based on Risk
Level One: Low Risk • Adverse media
• Sanctions list
• Identity check
• Internal watch list
Level Two:
Moderate Risk • Questionnaire
• Document collection
• Credit check
• External database check
Level Three
High Risk • Local language check
• Local search engine
• Site visit
• External investigation
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Automates Analysis and Risk Assessment
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Sample
Automates Report Generation
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1. A script accesses a list of vendors and submits them for screening automatically
2. The platform automatically completes research and prepares reports 3 at a time
3. User accesses reports via the platform
Batch Processing
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Key Benefits
• On-demand snapshot of all activity
and status; view by region, category,
risk rating, status or date
• Automated data collection, analysis
and report creation
• Scalable by third party type, size
and geography
• Data/analyses are both insightful
and actionable
• Eliminates paperwork; moves your
process out of email into a single,
centralized location
• Easy to integrate with existing
processes and standardizes ethics
and compliance practices across
business units and geographies
• Establishes a permanent audit trail
of all activity
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Introduction
Advanced Analytics
Ethics & Compliance Platform
Analytics & Reporting
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Thank You
Questions & Answers
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