The Navex Global Ecosystem: Next Generation Ethics and Compliance Management


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In this presentation, you will learn how the integration of key elements of your ethics and compliance program can deliver greater insight into program health – providing clients with invaluable data and predictive intelligence.

Bob Conlin, NAVEX Global’s Chief Products Officer, provides an overview of our product line – including policy management, online ethics and compliance training, case/incident management, hotline services, third-party risk solutions and expert advisory services – and how they integrate to provide data and analytics that drive ongoing program improvement.

Presented by:
Bob Conlin, Chief Products Officer, NAVEX Global

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The Navex Global Ecosystem: Next Generation Ethics and Compliance Management

  1. 1. VIRTUAL CONFERENCEBob ConlinThe NAVEX Global Ecosystem:Next Generation Ethics and ComplianceManagementVIRTUAL CONFERENCE
  2. 2. VIRTUAL CONFERENCEProactive compliance programs improve performance, employee relations,brand equity and shareholder value.Superiorgovernancepracticesgenerate 20%greater profit.PROFITABI L I T YStrong senseof culturalintegrity boostsshareholderreturn by 16%.PERFORM ANC EOrganizationsin complianceavoid up to95% of finesand penalties.LIMIT EXPOS UR EEvery $1 spentsaves $5.21 inliability, branddamage & lostproductivity.MEASURAB L E ROI- MIT Sloan School of Management - Corporate Executive Board - General Counsel Round Table- Federal Sentencing GuidelinesCompliance Impacts ROI
  3. 3. VIRTUAL CONFERENCENAVEX Global supports the ethics &compliance programs of more than8,000 organizations worldwide,helping protect their people,reputation and bottom line.Our scalable ecosystem providescustomers with the only integratedplatform for managing complianceprograms; mitigate risks andcommunicate with employees andpartners the standards for operatinga strong, ethical organization.Fully-integrated GRC Systems
  4. 4. Ethics & Compliance PlatformACCESS PORTALAnalytics & ReportingThirdPartyRiskMgt.FutureApplicationPolicyManagementCertificationsCaseManagementExpandedIntakeEmployeeAwarenessOnlineTrainingHotlineFutureApplicationUNIFIED COMPLIANCE DATAADVISORYSERVICESPROFESSIONALSERVICES
  5. 5. VIRTUAL CONFERENCEAdvisory ServicesEthical Leadership Group
  6. 6. VIRTUAL CONFERENCEAdvisory ServicesRecognized by ethics andcompliance officers worldwidefor their experience andexpertise, the ELG teamprovides program and riskassessments, in-persontraining, code of conductauthoring and consultingservices to help companiesstrengthen their complianceprograms.
  7. 7. VIRTUAL CONFERENCEEthical Leadership Group Started in 1993 with the mission to help companies promotecultures of integrity. 10 consultants – More than 150 years of ethics & complianceexpertise on staff Former CCOs, JDs, research specialists, industry specialists within-house experience at:
  8. 8. VIRTUAL CONFERENCEELG ServicesAssessments and benchmarkingIn-person TrainingCode of conduct and policy writingOther expert advisory services:• Compliance work plans• Communications and trainingplans• External monitor and ethicsadvisor• Program strategy & integration• Executive & leadership coaching4/2/2013 8
  9. 9. VIRTUAL CONFERENCEEthics & Compliance LifecycleInvestigate, Address,RemediatePeriodically analyze your incident /allegation data to identify anytrends and patterns1. Prevent violations 2. Avoid liability3. Minimize finesData AnalysisLegal &ReputationalRisk AssessmentPolicies &standardsCommunication/ trainingOrganizationalstructure,LeadershipresponsibilitiesHR integrationCulture / BehaviorInformsShape/influenceAudit / Ethics LineMonitored by
  10. 10. VIRTUAL CONFERENCEPolicy Management
  11. 11. VIRTUAL CONFERENCEPolicy & Procedure ManagementNAVEX Global’s PolicyTechpolicy management solutionautomates the process ofauthoring, approving anddistributing policies andcapturing policy attestation.
  12. 12. VIRTUAL CONFERENCEDraft Review Approval Pending Publish/ArchivePolicy Management Lifecycledocument ownerpolicy draftLaterNowPUBLISH
  13. 13. VIRTUAL CONFERENCEPublish policies toemployees & partnersCreate: Author, review, edit and approvenew and existing policiesManage and monitor attestationsMaintain, update,retire and archiveTHE PMLIFECYCLEeAutomating the Policy Management Lifecycle
  14. 14. VIRTUAL CONFERENCEManagePublishManagePublishAutomating the Policy Management Lifecycle
  15. 15. VIRTUAL CONFERENCETrain + educateCommunicate policies+ expectationsTrack andreport resultsRead andacknowledgeConsistent Processes = Reduced RiskManagePublishAutomating the Policy Management Lifecycle
  16. 16. VIRTUAL CONFERENCEAHA EndorsementSelection Finalized March 200828 vendors evaluated; RFP basedon the following:Product feature/functionMarketshareCustomer serviceFinancial stabilityOnsite demonstrationsInterviews with customers4/2/2013 16
  17. 17. VIRTUAL CONFERENCETraining Solutions
  18. 18. VIRTUAL CONFERENCEOnline TrainingOffering both full lengthcourses and short, interactiveburst learning vignettes,NAVEX Global’s ethics andcompliance course librarysupports learning andretention across all criticalethics and compliancetopics and delivery channels.
  19. 19. VIRTUAL CONFERENCELong-termCollaborationwith PremierLabor ExpertsThe World’sLargest Labor &Employment LawFirmCreated by LittlerMendelson in199715+ Years of Real World ExperienceChanging Behavior, Protecting the Bottom Line
  20. 20. VIRTUAL CONFERENCEExclusively Endorsed by SHRMIn partnership with theworld’s largest organizationdevoted to HR management
  21. 21. VIRTUAL CONFERENCEOur Unique ApproachMore than just trainingBehavior Change & Risk ManagementLegally Engineered™to provide the bestlegal defense possibleEngaging story-baseddesign promotescompletion, learningand respect
  22. 22. VIRTUAL CONFERENCEExpanded Course Offerings from NAVEX Global RESPECTFUL WORKPLACE TRAINING• Diversity & Inclusion• Violence & Bullying Prevention• Positive Employee Relations & UnionAwareness EMPLOYMENT LAW ESSENTIALS• Wage & Hour• FMLA• Drug Free Workplace• Lawful Hiring/Lawful Terminations• Complaints & Investigations HR SUITE• Workplace Harassment• International Workplace Harassment DISCRIMINATION-FREE WORKPLACETRAINING• Discrimination-Free Workplace (EEO)• Religious Discrimination &Accommodation• Sex & Gender Discrimination• Race & National Origin• Disability Discrimination &Accommodation
  23. 23. VIRTUAL CONFERENCEExpanded 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 Law23
  24. 24. VIRTUAL CONFERENCEBurst Learning: 2 Powerful Training Options
  25. 25. VIRTUAL CONFERENCET O P I C A R E AModular foundation course(30-60 min)Interactive simulationBurst format(5-8 min)Short burst(3-5 min)The Right Content at the Right TimeImproving the learningexperience withmodular contentdelivered in varyinglengths and frequency.EthicsStreetEthicallySpeakingOTSCourse25
  26. 26. VIRTUAL CONFERENCEBurst Training CoursesEthics 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: Shes HarmlessEthically 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
  27. 27. VIRTUAL CONFERENCESmart Design Makes Tracking Simple• Assign one course to all ofyour learners• Learners self-select theirlanguage from inside thecourse• You run one report and capturecompletions – regardless oflanguage
  28. 28. VIRTUAL CONFERENCEHotline & Case Management
  29. 29. VIRTUAL CONFERENCENAVEX Global provides moreemployee hotlines, and moreadvanced incident reportingmethods than any othervendor in the world.Integrated Telephony & Web-based Hotline
  30. 30. VIRTUAL CONFERENCECase ManagementNAVEX Global’s casemanagement solutionconsolidates hotline, open-door, mobile and web-basedincident reports into a singlelocation for secure review,investigation, resolution,reporting and analysis.
  31. 31. VIRTUAL CONFERENCEYour GRC ProgramThe National Business EthicsSurvey reveals that 49% of allemployees have personallywitnessed conduct that violatestheir company’s ethicsstandards, or local, state ornational law.That figure goes as high as 96%in companies with perceivedweak or no programs in place.4/2/2013 31
  32. 32. VIRTUAL CONFERENCERisk Data BeingLost or SiloedObserved100%50%Unreportedand lost30%Siloed ortrappedActual riskbeing addressed20%SOURCE:COMPLIANCEANDETHICSLEADERSHIPCOUNCIL
  33. 33. VIRTUAL CONFERENCECreating Enterprise VisibilityConsistent data collection » « from multiple sources0246810RELIABLE ANALYTICS andBUSINESS INTELLIGENCERegion 3Region 1 Region 2CorporateSecurityLocationManagersHROtherTeamsCONSISTENT PROCESSESand WORKFLOW
  34. 34. VIRTUAL CONFERENCEMultiple Points forReport CollectionCreate convenient, efficientways for your employeesand partners to reportallegations of issues orincidents – all collected andmanaged within a singlecase management solution.4/2/2013 34
  35. 35. VIRTUAL CONFERENCEOptions for Report IntakeGlobal toll-free telephonyBranded web intake sitesCustomized report formsIntegration withexisting applications
  36. 36. VIRTUAL CONFERENCEGlobal Toll-free Telephony• Call Center operates 24x7x365• Professional Call Specialists• Collaborative interview techniques; customized call scripts• International dialing with interpretation for 180+ languagesSERVICE LEVEL METRICWARRANTEDPERFORMANCE ACTUAL: 30 DAYS ACTUAL: 90 DAYS ACTUAL: YTDCall answer time 00:00:25 00:00:17.83 00:00:16.86 00:00:16.05Abandonment rate 4.0% 2.8% 2.4% 2.3%Report dispatch time 12:00:00 01:10:51 01:28:06 01:35:48Website Uptime 99.5% 99.93% 99.93% 99.84%
  37. 37. VIRTUAL CONFERENCEBrandedWeb Intake Site• Secure anonymous orconfidential reporting• Localization and globalprivacy support• Provides tone forprogram and keyresources4/2/2013 37
  38. 38. VIRTUAL CONFERENCECustomizedReport FormsProactively track and manageearly warningsEasy to use collection, availableto a targeted audienceFeed directly into centraldatabase• Assignment• Investigation• Analysis4/2/2013 38
  39. 39. VIRTUAL CONFERENCEIntegration with Existing ApplicationsInternetCustomerAppCaseManagement
  40. 40. VIRTUAL CONFERENCECustom awarenessprograms/campaignsAwareness materials - customand template optionsEmployee Awareness Programs
  41. 41. VIRTUAL CONFERENCEEmployee Awareness ProgramsDemonstrate a commitment toethics & compliance bypromoting internal programswith innovative, compellingmulti-channel awarenessmaterials.
  42. 42. VIRTUAL CONFERENCERepetition and Art of Being MemorableYour employees and vendorsneed frequent, consistentreinforcement regarding yourcompliance expectations andreport handling.
  43. 43. VIRTUAL CONFERENCEThe Role of Awareness Communications• Emphasize important topics ormessages that may get lost in alarger training program• Can go into more detail on topicsor new info between trainings• Coordinate awareness updates toland with other relevant events(e.g. gift policy reminder) to addweight• Reinforce messages betweentraining sessions to strengthenlearning• Highlight the company’scommitment to doing the rightthing• Build trust within organizationand with person or team deliveringthe message
  44. 44. VIRTUAL CONFERENCEFind thePerfect BalanceThe experts at NAVEX Globalhave developed multiplepackages aimed at providingthe right amount of help whereyou need it.
  45. 45. Tier I: Communications EssentialsPosterBrochureWallet Card
  46. 46. Tier II: Communicator Pro ElementsExample of online storefront interface
  47. 47. Tier III: Surround Sound ProgramAwareness CenterCertificatione-CounselorIntranetSiteEmailEducational VideosTrainingWeb Reporting PortalEthics in ActionCommitment to our Core Values
  48. 48. VIRTUAL CONFERENCEIntroductionThird Party Risk Management Solutions
  49. 49. VIRTUAL CONFERENCEThird Party Risk ManagementOur Third Party Risk Managementsolution provides an automatedand affordable platform to asses,mitigate and monitor vendorsand agents across key riskcategories.
  51. 51. VIRTUAL CONFERENCE• 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 proceduresBuilding Blocks of ‘Adequate Procedures’
  52. 52. Third Party Due Diligence521. Pre-ScreenUnderstand and assess the inherent operational andjurisdictional risk to your organization prior to performingdue diligence.2. Risk AssessmentBest-in-class screening process that provides acomprehensive view into complete enterprise risk—financial, regulatory, reputational, and governance.3. Risk Mitigation & Action StepsDictates mitigation activities that must be taken by boththe third party and you.4. Ongoing MonitoringPeriodic re-screening process that identifies change inenterprise risk, ensures information is kept current, andcontinued compliance to client policies.4. Monitor3. Mitigate2. Assess1. Pre-Screen
  53. 53. VIRTUAL CONFERENCEGlobally-Deployable SaaS Platform
  54. 54. VIRTUAL CONFERENCEDelivers Different Levels of Reports Based on RiskLevel One:Low Risk• Adverse media• Sanctions list• Identity check• Internal watch listLevel Two:Moderate Risk• Questionnaire• Document collection• Credit check• External database checkLevel ThreeHigh Risk• Local language check• Local search engine• Site visit• External investigation
  55. 55. VIRTUAL CONFERENCEAutomates Analysis and Risk Assessment
  56. 56. VIRTUAL CONFERENCESampleAutomates Report Generation
  57. 57. VIRTUAL CONFERENCE1. A script accesses a list ofvendors and submits themfor screening automatically2. The platform automaticallycompletes research andprepares reports 3 at a time3. User accesses reportsvia the platformBatch Processing
  58. 58. VIRTUAL CONFERENCEKey Benefits• On-demand snapshot of all activityand status; view by region, category,risk rating, status or date• Automated data collection, analysisand report creation• Scalable by third party type, sizeand geography• Data/analyses are both insightfuland actionable• Eliminates paperwork; moves yourprocess out of email into a single,centralized location• Easy to integrate with existingprocesses and standardizes ethicsand compliance practices acrossbusiness units and geographies• Establishes a permanent audit trailof all activity
  59. 59. VIRTUAL CONFERENCEIntroductionAdvanced Analytics
  60. 60. Ethics & Compliance PlatformAnalytics & ReportingThirdPartyRiskMgt.FutureApplicationPolicyManagementCertificationsCaseManagementExpandedIntakeEmployeeAwarenessOnlineTrainingHotlineFutureApplicationUNIFIED COMPLIANCE DATAACCESS PORTALADVISORYSERVICESPROFESSIONALSERVICES
  61. 61. VIRTUAL CONFERENCEThank YouQuestions & Answers