NAVEX Global's Benchmarking Your Hotline in 2016: What is your Data Telling You?
Benchmarking Your Hotline in 2016: What is Your Data Telling You?
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Transcript of Benchmarking Your Hotline in 2016: What is Your Data Telling You?
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© 2016 NAVEX Global, Inc. All Rights Reserved.
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Benchmarking Your Hotline in 2016: What is Your Data Telling You?
March 16, 2016
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© 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 ServicesNAVEX Global
Edwin O’Mara
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© 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
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Our Ethics & Compliance Ecosystem
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© 2016 NAVEX Global, Inc. All Rights Reserved.
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Benchmarking Methodology & Business Imperatives
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© 2016 NAVEX Global, Inc. All Rights Reserved.
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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
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Key Findings
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K E Y F I N D I N G # 1
Report Volume per 100 Employees
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Median Report Volume Remains at All-Time High
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Webinar Survey: 656 VotesWhat do you think is the biggest driver of report volume increases?
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Documenting More Reports Creates Significantly Greater Ability to Spot Trends, See Risks
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Webinar Survey: 660 VotesWhat is your organization’s approach to documenting E&C reports?
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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
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Health Care Leads in Reporting Volume1) Health Care2) Not for Profit3) Retail4) Real Estate5) Energy & Utilities6) Business Support Services7) Automotive Transportation8) Arts & Entertainment9) Finance & Insurance10) Pharmaceuticals11) Aerospace & Defense12) Food Services13) Mining14) Professional, Scientific & Technical Services15) Agriculture, Forestry, Fishing & Hunting16) Construction17) Government18) Security19) Consumer Manufacturing20) Commercial Transportation21) Education22) Wholesale Trade23) Industrial Manufacturing24) Computer Services, Hardware & Software25) Media26) Electronics
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Report Allegation Categories
K E Y F I N D I N G # 2
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Categories of Reports Used
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Allegation Categories
2011Median
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
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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
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Anonymous vs. Named Reporters
K E Y F I N D I N G # 3
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Webinar Survey: 691 VotesIs there a bias against anonymous reporting in your organization?
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Anonymous Reporting Rate Drops Below 60% For the First Time Since 2008
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Anonymous Substantiation Rate Holds Steady
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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No Improvement in Anonymous Reporter Follow-Up Rate: More Education Needed
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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1) Education2) Mining3) Security4) Industrial Manufacturing5) Media6) Consumer Manufacturing7) Not for Profit8) Real Estate9) Wholesale Trade10) Automotive Transportation11) Electronics12) Construction13) Energy & Utilities14) Finance & Insurance15) Government16) Retail17) Health Care18) Arts & Entertainment19) Commercial Transportation20) Computer Services, Hardware & Software21) Professional, Scientific & Technical Services22) Agriculture, Forestry, Fishing & Hunting23) Business Support Services24) Food Services25) Aerospace & Defense26) 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
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Substantiated Reports
K E Y F I N D I N G # 4
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Substantiation Rate Hits All-Time High
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Business Integrity Substantiation Rate Drops 8 Points
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
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1) Not for Profit2) Real Estate3) Consumer Manufacturing4) Media5) Health Care6) Government7) Retail8) Finance & Insurance9) Pharmaceuticals10) Education11) Aerospace & Defense12) Arts & Entertainment13) Energy & Utilities14) Industrial Manufacturing15) Professional, Scientific & Technical Services16) Security17) Construction18) Electronics19) Computer Services, Hardware & Software20) Automotive Transportation21) Agriculture, Forestry, Fishing & Hunting22) Food Services23) Mining24) Wholesale Trade25) Business Support Services26) 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
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Case Closure Time
K E Y F I N D I N G # 5
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Another Significant Case Closure Time Increase
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Webinar Survey: 689 VotesWhat do you think is the biggest factor in increasing case closure times?
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Case Closure Time Increases in Three of the Five Allegation Categories
Median Case Closure Days in 2014 = 39 days Median Case Closure Days in 2015 = 46 days
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Webinar Survey: 579 Votes Do you follow up and have input on the outcomes of reported issues referred to HR or other departments for investigation?
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1) Mining2) Government3) Education4) Computer Services, Hardware & Software5) Automotive Transportation6) Not for Profit7) Real Estate8) Consumer Manufacturing9) Pharmaceuticals10) Media11) Electronics12) Business Support Services13) Commercial Transportation14) Industrial Manufacturing15) Construction16) Professional, Scientific & Technical Services17) Aerospace & Defense18) Energy & Utilities19) Security20) Arts & Entertainment21) Finance & Insurance22) Food Services23) Health Care24) Wholesale Trade25) Agriculture, Forestry, Fishing & Hunting26) 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
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Report Intake Methods
K E Y F I N D I N G # 6
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Web Reporting Continues to Trend Up
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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K E Y F I N D I N G # 7
Reports of Retaliation
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Webinar Survey: 643 VotesWhere does retaliation prevention fall on your list of E&C program priorities for 2016?
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Organizations Still Not Getting the Chance to Address Retaliation Allegations Internally
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Retaliation Substantiation Rates Remain Elevated
Source: NAVEX Global's 2016 Ethics and Compliance Hotline Benchmark Report
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Moving Beyond the Basics: Advanced Incident Management & Benchmarking
K E Y F I N D I N G # 8
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• 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
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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?
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Integrity Diagnostics: Turning Metrics Into Action
Source: Advisory Services: Integrity Diagnostics Sample Report
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© 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
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© 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
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© 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
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© 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 PenmanChief Compliance Officer & Senior Vice President, Advisory Services
Edwin O’MaraOperations Manager, Advisory Services