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NAVEX Global's Benchmarking Your Hotline in 2016: What is your Data Telling You?

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In this slide deck, learn what our advisory services team discovered by researching the data from our incident management systems' reports from over 4,000 of our clients.

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NAVEX Global's Benchmarking Your Hotline in 2016: What is your Data Telling You?

  1. 1. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Benchmarking Your Hotline in 2016: What is Your Data Telling You? March 16, 2016
  2. 2. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. P R E S E N T E D B Y Operations Manager, Advisory Services NAVEX Global Carrie Penman Chief Compliance Officer & Senior Vice President, Advisory Services NAVEX Global Edwin O’Mara
  3. 3. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Agenda • Introductions • Our Benchmarking Methodology • Business Imperatives of Benchmarking • Key Findings • Key Takeaways & Best Practice Recommendations • Q&A • Additional Resources
  4. 4. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Our Ethics & Compliance Ecosystem
  5. 5. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Benchmarking Methodology & Business Imperatives
  6. 6. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Hotline Benchmark Statistical Snapshot • Our database starts with 12,500+ NAVEX Global clients • Of those 4,900+ received a report in 2015 through NAVEX Global’s Hotline and EthicsPoint Incident Management solutions • 2,300+ clients received 10 or more reports in 2015 (representing 34 million employees) • These 2,300+ clients received approximately 867,000 reports in 2015 • Data reflects all reports documented in clients’ EthicsPoint Incident Management system regardless of reporting channel (web, hotline, walk-in, mobile, email, mail, etc. ) • Data covers 26 industries, and an additional 45 sub-industries • We use medians (or midpoints) rather than averages to reduce the impact of outliers  Normal ranges identify extreme data points as potential areas of concern  Medians and ranges provide context for benchmarks
  7. 7. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Key Findings
  8. 8. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. K E Y F I N D I N G # 1 Report Volume per 100 Employees
  9. 9. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Significant Increase in Median Report Volume Rate Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  10. 10. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question: What do you think is the biggest driver of report volume increases?  E&C initiatives and training helping employees know when and what to report  Senior leaders encouraging a “speak-up” culture  Providing additional methods for employees to use to report  Departments outside of (HR, audit, security) documenting reports  Documenting reports received from all sources (not just hotline and web―including email, walk-ins, etc.)  A true increase in E&C issues we need to address  Other (please use the chat window to share specifics)
  11. 11. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Documenting More Reports Creates Significantly Greater Ability to Spot Trends, See Risks Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  12. 12. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question: What is your organization’s approach to documenting E&C reports?  Advanced: Document reports from all reporting channels (hotline, web, mail, email, in-person, etc.), in a centralized incident management system. Leverage advanced analytics.  Basic: Document reports from hotline and web forms only in an incident management system. Leverage basic analytics.  Maturing: No incident management system in place yet; still using manual approaches and spreadsheets.  Not a Priority: We do not have an incident management system in place, and do not feel we need one.
  13. 13. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Organizations that documented reports from all channels in their incident management systems captured 72% more reports. Don’t Miss Critical E&C Data Capture INTAKE METHODS Incident Management System Centralized Report Documentation, Workflow & Analytics MEDIAN NUMBER OF REPORTS CAPTURED = 1.9 Nearly 2x Visibility Into Organizational Culture and Trends INTAKE METHODS MEDIAN NUMBER OF REPORTS CAPTURED = 1.1
  14. 14. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Health Care Leads in Reporting Volume 1) Health Care 2) Not for Profit 3) Retail 4) Real Estate 5) Energy & Utilities 6) Business Support Services 7) Automotive Transportation 8) Arts & Entertainment 9) Finance & Insurance 10) Pharmaceuticals 11) Aerospace & Defense 12) Food Services 13) Mining 14) Professional, Scientific & Technical Services 15) Agriculture, Forestry, Fishing & Hunting 16) Construction 17) Government 18) Security 19) Consumer Manufacturing 20) Commercial Transportation 21) Education 22) Wholesale Trade 23) Industrial Manufacturing 24) Computer Services, Hardware & Software 25) Media 26) Electronics Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  15. 15. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Report Allegation Categories K E Y F I N D I N G # 2
  16. 16. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Categories of Reports Used Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  17. 17. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Allegation Categories 2011 Median 2012 Median 2013 Median 2014 Median 2015 Median Accounting, Auditing and Financial Reporting 3% 3% 3% 2% 2% Business Integrity 16% 17% 18% 17% 15% HR, Diversity and Workplace Respect 68% 69% 73% 69% 71% Environment, Health and Safety 9% 7% 7% 6% 5% Misuse, Misappropriation of Corporate Assets 7% 6% 6% 6% 7% Categories of Reports Remain Relatively Consistent Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  18. 18. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Industries with the Highest Median Reporting Rate by Allegation Category Allegation Categories 2015 Median Accounting, Auditing and Financial Reporting 2% Business Integrity 15% HR, Diversity and Workplace Respect 71% Environment, Health and Safety 5% Misuse, Misappropriation of Corporate Assets 7% Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  19. 19. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Anonymous vs. Named Reporters K E Y F I N D I N G # 4
  20. 20. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question: Is there a bias against anonymous reporting in your organization?  Yes. Senior leaders are reticent to accept and/or encourage anonymous reports for a variety of reasons (anonymous reporters not seen as credible; fear inability to resolve cases, etc.).  Somewhat. Named reporters are preferred, and may be generally seen as more credible.  No. The ability to report anonymously is seen as critical for maintaining a healthy organizational culture.  Not Sure. This issue hasn’t come up for us.
  21. 21. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Anonymous Reporting Rate Drops Below 60% For the First Time Since 2008 Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  22. 22. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Anonymous Substantiation Rate Holds Steady Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  23. 23. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. No Improvement in Anonymous Reporter Follow-Up Rate: More Education Needed Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  24. 24. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. 1) Education 2) Mining 3) Security 4) Industrial Manufacturing 5) Media 6) Consumer Manufacturing 7) Not for Profit 8) Real Estate 9) Wholesale Trade 10) Automotive Transportation 11) Electronics 12) Construction 13) Energy & Utilities 14) Finance & Insurance 15) Government 16) Retail 17) Health Care 18) Arts & Entertainment 19) Commercial Transportation 20) Computer Services, Hardware & Software 21) Professional, Scientific & Technical Services 22) Agriculture, Forestry, Fishing & Hunting 23) Business Support Services 24) Food Services 25) Aerospace & Defense 26) Pharmaceuticals Education Leads Anonymous Reporting by Industry Lowest Rate Highest Rate Overall Median Rate: 59% Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  25. 25. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Substantiated Reports K E Y F I N D I N G # 5
  26. 26. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Substantiation Rate Hits All-Time High Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  27. 27. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Business Integrity Substantiation Rate Down by 8% Overall Median Substantiation Rate in 2014 = 40% Overall Median Substantiate Rate in 2015 = 41% Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  28. 28. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. 1) Not for Profit 2) Real Estate 3) Consumer Manufacturing 4) Media 5) Health Care 6) Government 7) Retail 8) Finance & Insurance 9) Pharmaceuticals 10) Education 11) Aerospace & Defense 12) Arts & Entertainment 13) Energy & Utilities 14) Industrial Manufacturing 15) Professional, Scientific & Technical Services 16) Security 17) Construction 18) Electronics 19) Computer Services, Hardware & Software 20) Automotive Transportation 21) Agriculture, Forestry, Fishing & Hunting 22) Food Services 23) Mining 24) Wholesale Trade 25) Business Support Services 26) Commercial Transportation Not for Profit Leads in Substantiation Rate Lowest Rate Highest Rate Overall Median Rate: 41% Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  29. 29. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Case Closure Time K E Y F I N D I N G # 7
  30. 30. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Another Significant Case Closure Time Increase Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  31. 31. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question What do you think is the biggest factor in increasing case closure times?  Resource Constraints: Resources not keeping pace with volume; “less serious” cases get stalled.  Case Complexity: Cases are taking more time to resolve.  Inefficiencies: Processes and tools used to assign and execute investigations are not as streamlined as they should be, resulting in lag time.  Ownership Confusion: Not clear who owns resolution for cases.  Other: Please chat your reasons.
  32. 32. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Case Closure Time Increases in Three of the Five Allegation Categories Median Case Closure Days in 2014 = 39 days Median Case Closure Days in 2014 = 46 days Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  33. 33. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question: Do you follow up and have input on the outcomes of reported issues referred to HR or other departments for investigation?  Yes, informally.  Yes—and we don’t close a case in the system until we have reviewed and concurred with the findings and any actions taken.  No, once we make a referral, we close the case in our system.
  34. 34. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. 1) Mining 2) Government 3) Education 4) Computer Services, Hardware & Software 5) Automotive Transportation 6) Not for Profit 7) Real Estate 8) Consumer Manufacturing 9) Pharmaceuticals 10) Media 11) Electronics 12) Business Support Services 13) Commercial Transportation 14) Industrial Manufacturing 15) Construction 16) Professional, Scientific & Technical Services 17) Aerospace & Defense 18) Energy & Utilities 19) Security 20) Arts & Entertainment 21) Finance & Insurance 22) Food Services 23) Health Care 24) Wholesale Trade 25) Agriculture, Forestry, Fishing & Hunting 26) Retail Mining, Government, Education Have Highest Case Closure Times Lowest Rate Highest Rate Overall Median Rate: 46 Days Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  35. 35. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Report Intake Methods K E Y F I N D I N G # 8
  36. 36. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Web Reporting Continues to Trend Up Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  37. 37. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. K E Y F I N D I N G # 9 Reports of Retaliation
  38. 38. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Survey Question: Where does retaliation prevention fall on your list of E&C program priorities for 2016?  Top Priority: We are actively looking for new tools, resources, training and investigation approaches to move the needle on this issue.  Important, But Not in Top Three Priorities: Other issues are more pressing than retaliation for us this year.  Not a Focus Area for Us: Not a focus for our organization this year; measures we’ve already put in place are effective.
  39. 39. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Organizations Still Not Getting the Chance to Address Retaliation Allegations Internally Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  40. 40. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Retaliation Substantiation Rates Remain Elevated Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
  41. 41. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Moving Beyond the Basics: Advanced Incident Management & Benchmarking K E Y F I N D I N G # 1 0
  42. 42. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. • Nearly Double Risk Visibility: Documenting reports from all intake channels (not just web & hotline) in an incident management system creates nearly twice as much visibility into potential E&C risks • Work Smarter: Customized workflows standardize and simplify report management tasks, helping you capture, assign and resolve cases more effectively, efficiently and consistently • See Trends: Advanced analytics gives you the ability to see program gaps, measure program effectiveness, proactively spot trends and identify and address issues • Make it Easier to Document Issues: Custom web forms allow you to more efficiently capture and route reports—and make it easier for employees and managers to document issues • Better Protect Your Organization: More documentation also provides a stronger legal defense in the event of a lawsuit or regulatory action Incident Management Systems Create Exponential Visibility & Program Effectiveness
  43. 43. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Industry-Specific Benchmarking Provides More & Better Insight Into E&C Health • As our industry ranking slides showed, using accurate industry-specific benchmarking is critical, as there can be striking differences in benchmarks across industries. • Industry-specific benchmarking can help you, your board and your senior leadership understand critical issues such as:  Are our metrics consistent with or out of line with peers?  What E&C trends are prevalent or unique in our industry—and which ones should we focus on?  Are there opportunities to achieve a competitive advantage by adding focus or resources to an aspect of our E&C program that may be an issue for competitors?
  44. 44. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Integrity Diagnostics: Turning Metrics Into Action Source: Advisory Services: Integrity Diagnostics Sample Report
  45. 45. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. I’d Like To Speak With a NAVEX Global Solutions Expert About…  Implementing a uniform and consistent process for tracking and responding to incident reports  Consolidating reports from multiple channels and sources (hotline, open-door, mobile, web-based, email)  Scheduling a demo of EthicsPoint Incident Management Software  Assessing whether my current hotline/incident management solution is effective and utilized to its full potential  Getting expert advice on improving my compliance program (code of conduct review; program, risk or culture assessment, board training, etc.)  Other compliance program challenges (optimizing training, managing policies, third party due diligence, or other)
  46. 46. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Key Takeaways & Best Practice Recommendations
  47. 47. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. 1) Increase focus on anti-retaliation efforts 2) Work on getting case closure times back within best practice ranges 3) Get a more complete picture of your risks by documenting all reports in one centralized incident management system 4) Make the business case for matching your report volume with appropriate resources 5) Encourage employees to see your hotline as a resource for information, not just a channel for reporting 5 Key Takeaways
  48. 48. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Additional Resources NAVEX Global offers many valuable resources for helping you increase program effectiveness by leveraging your hotline and incident management data. Visit our website www.navexglobal.com to find these resources and more: White Papers: • Whistleblower Hotlines and Case Management Solutions—Major Challenges and Best Practice Recommendations • Key Elements for Effective Compliance Program Board Reporting • Maximizing the Benefits of Hotline Data: Analysis and Benchmarking On-Demand Webinars: • Whistleblowing & Retaliation: Legal Developments And Practical Advice • How Do I Prove My E&C Program is Effective? The Art & Science of Effectiveness Measurement Learn More About Our Solutions: • Hotline Solutions • EthicsPoint Incident Management • Integrity Diagnostics™ Custom Benchmarking • Strategic Consulting: The Advisory Services Team
  49. 49. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Please Submit Your Questions If we are unable to answer your questions now, we will be sure to follow up with you!
  50. 50. © 2016 NAVEX Global, Inc. All Rights Reserved. www.navexglobal.comwww.navexglobal.comwww.navexglobal.com© 2016 NAVEX Global, Inc. All Rights Reserved. Thank You for Your Participation Carrie Penman Chief Compliance Officer & Senior Vice President, Advisory Services cpenman@navexglobal.com Edwin O’Mara Operations Manager, Advisory Services eomara@navexglobal.com

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