Effective Case Management: Using Reports & Data to Make a Compliance Difference


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An effective case management system can be an organization’s canary in the coal mine. To ensure that warning signs are recognized and allegation and incident reports are used to improve and assess compliance efforts, this session reviews the critical steps and best practices. We explore the best ways to capture, organize, plan, investigate, respond and analyze the reports from case management systems.

Among other topics, we discuss:

What reports belongs in the case management system
Creating awareness and proper use of case management
Roles and responsibilities of case managers
How to analyze, report against and use the data you have collected to spot trends, successes and failures
Attendees can expect to gain the tools and best practices to apply to their own case management systems, including how to increase the value their case management system provides to their organization.

Presented by:
Randy Stephens, Vice President, Ethical Leadership Group

Published in: Business, Technology
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Effective Case Management: Using Reports & Data to Make a Compliance Difference

  1. 1. CLIENT CONFERENCEUsing Reports and Data to Make a Real Compliance DifferenceEffective Case ManagementCLIENT CONFERENCE
  2. 2. CLIENT CONFERENCEAgenda Why you need a Case Management system Maximizing the Case Management systemo Captureo Organizeo Plano Investigateo Respondo Analyze Take awayso Creating Awarenesso Addressing Management Concernso Best Practices2
  3. 3. CLIENT CONFERENCEIt Supports and Enables anEffective Compliance ProgramWhy you need a Case ManagementSystem3
  4. 4. CLIENT CONFERENCEOrganizational Benefits of Case ManagementBenefits include: Provides an early warning of issues or problemlocations (some are 24/7/365) Meets standards set forth in USFSG and OECD Easy collection of all reported issues and events regardless of source (Helpline,website portal, or through other methods such as open door conversations, exitinterviews, etc.) Visibility into potential risk areas to your business via standard reporting androbust analyticso May suggest training or policy opportunities Mitigation of global risk through support for international data privacy regulations Process consistency via configurable workflow automation and process controls4
  5. 5. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem5
  6. 6. CLIENT CONFERENCEWhy is an Effective Intake/Management ProcessImportant to the Helpline Process? Helps address problems before they progress Increases employee trust in the process Drives closure to investigations so employees understand thatproblems are handled Protects the company (and employees) through its contribution toprevent, detect and correct misconduct Reduces fear of retaliation through ongoing monitoring and prompthandling of such allegations Helps to prevent legal action againstthe company for negligence6
  7. 7. CLIENT CONFERENCEWhy is an Effective Intake/Management ProcessImportant to the Helpline Process? Provides a confidential place for employees to clarify policy and discussor report concerns Provides a communications channel beyond the rumor mill Directs employee questions to the appropriate resource Is an opportunity to provide guidance before a poor decision is made Use of a third party provider may make employees more likely to calland provide identity and more details Is the last internal stop for whistleblowers!7
  8. 8. CLIENT CONFERENCEImportant Elements of the HelplineProcess Confidentiality and anti-retaliation Urgent Response or Escalationrequirements Seemingly Out of ScopeAllegations Requests for anonymity Documenting credible concerns Potential bad faith allegation Keeping the ReportingEmployee informed Managing and Closing the Case Interviewing witnesses Documenting interviews8
  9. 9. CLIENT CONFERENCEProtecting Confidentiality Absolute confidentiality is very difficult toguarantee. Confidence built over time, but can be destroyedby a single incident. Follow “need to know” rule The caller has a strict duty to keep the issueconfidential. Investigators and witnesses must also keepconfidentiality.9
  10. 10. CLIENT CONFERENCEProtecting Confidentiality Information obtained during intake, information from investigator and factthat employee reported an allegation is confidential May only share with designated officialso Investigatoro Corporate Compliance Headquarters officeo General Counsel’s office Exceptions to designated officialso Prior consent of CCO, local Organizational Unit Head and/or RegionalGeneral Counselo National laws require communication with government authorities,without time to consult CCOo Others who need to know10
  11. 11. CLIENT CONFERENCECapturing Initial Allegations Who can report?o Employee or ex-employee?o Contractor?o Supplier? In-person initial report - proper locations for receipto Conference room without windowso Somewhere away from other peopleo Place where you cannot be overheard Contact report from third party provider, e.g. GCSo Telephone or Web report transmitted Other Contacts Postal mail Inter-office E-mailFaxPhone callNote under the door11
  12. 12. CLIENT CONFERENCECapturing Initial Allegations Case Management Formato Ad hoco Excelo Specialized, Dedicated Case Management system and resources• In-house design• Third party provider, e.g. Navex Global’s “Issue and Event Manger” What’s in a name?• Helpline, Check-in line, Alertline, Integrity Line … Identified vs. Anonymous EU and regional differences12
  13. 13. CLIENT CONFERENCESeemingly Out of Scope Allegations The Helpline process is intended for intake of all kinds of misconduct Includes serious issues and those that seem less than serious, such asgeneral Human Resource issues You may ask if they have tried another resources before calling you Treat all callers with same professionalism Often a caller will contact the Helpline with a more minor issue to seehow you handle it before bringing a more serious concern13
  14. 14. CLIENT CONFERENCEOn a related matter… Your Code, Helplineand EU Privacy Concerns Beginning in 2007, several data protection and privacy laws andcases, especially in Europe, have had a significant impact onHelplines and what should and should not be said about them inCodes and policies. In light of these developments, it is necessary for organizationswith operations in the EU to add specific language to theirCodes, or provide supplemental material or links that includespecific guidance for employees in the EU.14
  15. 15. CLIENT CONFERENCERegional Approaches to Issue Handling Some countries have implemented rules regarding:o Notification of Helpline implementationo Third party operation of Helplineo Anonymityo Scope of reportable issueso Confidentiality of information• Permitting access to own information• Limiting international transfer of information• Local information storage and investigation of issues• Short documentation retention periodso Alleged violator’s right to due process15
  16. 16. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem16
  17. 17. CLIENT CONFERENCEOrganize Allegationso Make the categories meaningful and reportable• Conflicts of Interest – Financial• Privacy• Avoid “Miscellaneous” or “Other” Report Sourceso Telephoneo Webo Face to Face Districts/Regions Priority Anonymous vs. Identified17
  18. 18. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem18
  19. 19. CLIENT CONFERENCEPlan Define rollso Lead Case Managero Investigatoro View Only Assignment Protocolso Be consistento Address potential conflicts• i.e. No fact finding or investigations of direct reports Ensure handling by trained Case Managers and Investigatorso Avoid “on the job training” Have targets for timing of assignments, investigations and closing19
  20. 20. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem20
  21. 21. CLIENT CONFERENCEInvestigateIf time permits, please attend the session on Investigations delivered by AndyFoose for an in-depth discussion of:7 Steps to Investigate Alleged Employee MisconductStep 1: Decide Who Should InvestigateStep 2: Choose the Appropriate Investigator(s)Step 3: Examine Documentary, Electronic & Physical EvidenceStep 4: Conduct and Document Your InterviewsStep 5: Reach a Conclusion and Write the ReportStep 6: Take Prompt Corrective ActionStep 7: Wrap Up and Handle Challenges from the Complainant and the Accused21
  22. 22. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem22
  23. 23. CLIENT CONFERENCERespond One of the most critical elements of the Helpline and Case ManagementSystem Missteps at this juncture can undermine credibility in the program Responses should be:o Measuredo Consistento Timely• Studies show that reporters want to feel heard• May avoid external whistleblower contacts23
  24. 24. CLIENT CONFERENCEEnsure that the response is never retaliatoryRetaliation is a negativeaction taken towards anemployee as a result of anissue raised in good faith.Retaliation is not when anemployee is being heldappropriately accountable forperformance or behavior.24
  25. 25. CLIENT CONFERENCEWhat is “retaliation?” Employees say:o Not greeting a coworkero Poor work assignmentso Sudden changes in performancereviewso Lower than average raise or bonuso No longer socializing with a coworker that called the Helplineo Making derogatory comments about employees that reportedo Threats or verbal or physical abuse25
  26. 26. CLIENT CONFERENCESeptember 2012 Retaliation Survey ResultsNAVEX Global™, conducted a September 2012 workplace retaliationsurvey of ethics and compliance officers, human resources, internalauditors, legal counsel and other senior executives. (For completeresults and to download a copy, go to www.navexglobal.com)Highlights of the survey:1. Organizations lack transparency when it comes to sharing ethicsand compliance data.2. The definition of retaliation is maturing, both among seniorexecutives and employees.• No longer just firings or demotions3. Data is the key to improving ethics and compliance programs andimpacting the bottom line.26
  27. 27. CLIENT CONFERENCEPrevention: Develop Non-Retaliation Policy Written prohibition against retaliation Address sanctions for violators Apply evenly and consistently Included subtle and overt acts More than a statement in the Code ofConduct Train for managers and employees Communicate it! Demonstrate it!27
  28. 28. CLIENT CONFERENCEPrevention: Training and Communications Include a statement, or better, detaileddiscussion of retaliation in training courses Leadership statements and tone prohibitingretaliation and reinforcing seriousness of non-retaliation policy Publish sanitized case studies dealing withretaliation and describing actions taken Build trust within the organization28
  29. 29. CLIENT CONFERENCEMonitoring for Retaliation Assess likelihood of retaliationo Investigation team assesses likelihood of retaliation for each participant in aninvestigationo Periodically ask high likelihood employees if they have experienced retaliation Monitor key indicatorso Performance management documentationo Compensation adjustmentso Disciplinary actionso Performance improvement planso Demotions and transferso Planned terminationso Resignationso Job assignments and utilizationo Consider post report survey of reporter29
  30. 30. CLIENT CONFERENCECaptureOrganizePlanInvestigateRespondAnalyzeMaximizing the Case ManagementSystem30
  31. 31. CLIENT CONFERENCEThe Missing Step Is…Business AnalyticsPeriodically analyze your issue/event data to identify any trends and patterns1. Prevent violations 2. Avoid liability 3. Minimize finesDataAnalysis31
  32. 32. CLIENT CONFERENCEThe Missing Step Is…Business AnalyticsPeriodically analyzing your issue/event data to identify any trends and patternso Overlay employee engagement survey data pointso Are there allegation types that occur more frequently than you’d expect?o Is there an issue type that has increased since the prior period (quarter/year/rolling 12-month average)?o Are there locations or business units that have a disproportionate number of complaints?• Overall• Of a particular issue type• High or low (both can be problematic)o Do your investigations start promptly once an issue is received?• How long does it take for an issue to be assigned once it’s been received?• How long does it take for the investigator to open the assignment?• How long does it take for the investigator to complete the investigation?• Overall, by region, by issue type32
  33. 33. CLIENT CONFERENCEData Analysis Illustrated Periodically review incident data to identify trends or patterns Depending on findings, revise policies, adjust structure, improvetraining, make greater use of awareness materials and follow-uptraining, etc. to help your program improve its results. Data Analysis is far easier when all data is kept centrally and notdispersedo It’s even easier if you use a good case management system,since that system will allow you to track investigation progress,keep all relevant documentation, as well as analyze resultsquickly and easily33
  34. 34. CLIENT CONFERENCETrack All Sources34
  35. 35. CLIENT CONFERENCESource Summary35
  36. 36. CLIENT CONFERENCEIndustry Benchmarking Measures36
  37. 37. CLIENT CONFERENCEIncident Summary37
  38. 38. CLIENT CONFERENCETrending of Reports by Location38
  39. 39. CLIENT CONFERENCEAnonymity Over Time39
  40. 40. CLIENT CONFERENCECase Duration Tracking Example40
  41. 41. CLIENT CONFERENCESilos Avoid the silo trapo separate spreadsheets for each division because thedivisions do not want other divisions to see their data.• A good system will allow you to restrict access for each useroIndividuals who are only supposed to see particularlocations or allegations, will only see those locations andallegations Functionality like “Workgroups” allow you to groupindividuals together for the handling of particularissues (H.R., Legal etc.)41
  42. 42. CLIENT CONFERENCE• Assessing your Helplineand Case Management• Dealing with Management’sconcerns• Advice and Best PracticesTake Aways42
  43. 43. CLIENT CONFERENCESome Helpline Assessment Techniques Internal audits of process anddocumentation of random cases Third party evaluations Investigator statistics analysis “Secret Shopper” call to Helpline Helpline data analysis
  44. 44. CLIENT CONFERENCEDeal with Management’s Helpline Fears Anonymous calls Vindictive callers Personal agendas Bad news – now what? Answer shopping Bypassing themanagement chain Gossip Turf battles44
  45. 45. CLIENT CONFERENCESome Advice and Best Practices Use as a supplement to, not a substitute for, othercommunication channels Avoid the use of references to “Helpline” Offer advice and guidance as well as opportunity toreport Monitor for retaliation Protect the caller and theaccused equally45
  46. 46. CLIENT CONFERENCEMore Advice and Best Practices Commit to and conduct timely investigations Be responsive – initial call back/initial resolution/finalresolution Ensure training and investigation protocols in place Use matter tracking systems Don’t refuse any types of calls
  47. 47. CLIENT CONFERENCEFinal Advice Never assume anythingo “I know him and he is a good person” Don’t discount anythingo “He’s a disgruntled employee.”Remember, even a broken clock is right twice a day. Train Case Managers and Investigator to never editorializeo “Mr. X becomes angry easily. It will not take much to make him angry again.” Documentation is your saving graceo Accuracyo Detailso Recollection later It is difficult for most people to comeforward to share a concerno What’s important to one employee may seemtrivial to you Avoidance leads to escalation Zero calls is not a good thing Be vigilant about non-retaliation47
  48. 48. CLIENT CONFERENCEOther Virtual Conference Presentations ofInterest Unified Platforms and EcosystemsBob Conlin Effective Workplace InvestigationsAndy Foose Policy Management Deep Diveo Code of Conduct – Best Practices,Ed Petry
  49. 49. CLIENT CONFERENCEQuestions?Thank You49