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Bob Conlin

The NAVEX Global Ecosystem: Next Generation Ethics and Compliance

Management

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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

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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

0

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

Email

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