2019 Regional Whistleblowing Hotline Benchmark …...• Whistleblowing Hotlines & Reporting...

2019 Regional Whistleblowing Hotline

Benchmark Report WebinarPresented By

Carrie Penman | Chief Risk & Compliance OfficerIan Painter| Associate Marketing Director, EMEA

Raina Hathorne| Product Marketing Manager

Agenda

• Introductions

• Benchmarking Methodology

• Key Findings

• Best Practice Recommendations

• Additional Resources

• Q&A

Carrie Penman

Chief Risk & Compliance Officer

NAVEX Global

Presented By

Ian Painter

Associate Marketing Director, EMEA

NAVEX Global

Raina Hathorne

Hotline Product Marketing Manager

NAVEX Global

New Regional Benchmark Data

1 Million reports

NAVEX Global Integrated Risk and Compliance Platform

Benchmark Methodology

Hotline Benchmark Statistical Snapshot

Does your E&C programme include the following elements?

George Washington University’s Hotline Research

• The ROI of Compliance is real and for the

first time, statistically validated

• Increased usage of internal reporting

systems has a measurable impact on

business results

• The more a company uses their hotline

(more reports submitted) the greater the

impact on results

“Evidence on the Use and Efficacy of Internal Whistleblowing Systems” by: Kyle Welch https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3273589

New George Washington University Hotline Research

• Increased hotline

usage is associated

with fewer negative

news stories

• Secondhand reports are

more likely than firsthand

reports to be substantiated

by management

“Hotlines & Headlines: Examining the Relationship Between Hotline Reporting and Corporate Reputation”

Firsthand Reports Secondhand Reports

47%more likely

Key Findings

Report Volume per 100 Employees

Europe and APAC Lag Behind on Report Volume

• Lack of initiatives and training to help employees know when and what to report

• Tracking reports from a limited choice of channels, e.g. web only

• Fear of retaliation or lack of trust in the reporting process

• Lack of financial incentives to report

• Negative perceptions and cultural differences surrounding whistleblowing

• Restrictions on anonymous reporting

• Lack of whistleblower regulations

• Other - please chat your reasons

POLL QUESTION: Why do you think reporting levels are lowest in Europe?

Significant Impact of Tracking Reports from All Intake Sources

Organisations that Track Reports from Web & Telephone Only Organisations that Track Reports from All Sources

Substantiation Rates Lowest in North AmericaMedian Overall Substantiation Rate

Web Most Popular Channel in APAC & South AmericaReport Intake Method Comparison

Report Intake Substantiation Rates

Substantiation Rates by Report Intake

Anonymous Reporting Lowest in EuropeMedian Anonymous Reporting Rate

Named Substantiation Rates Higher across All RegionsComparison of Substantiation Rates Between Named vs Anonymous Reporters

Categories of Reports Used

Percentage of HR Reports Lower in Europe and APACMedian Percentage of Reports by Category

Percentage of HR Substantiation Lower in Europe and APAC

* Accounting, Auditing and Financial Reporting data set is too small to show a result for APAC

Median Substantiation Rate by Category

Median Case Closure Time in Days

Case Closure Times Significantly Lower in North America

POLL QUESTION: What do you think is the biggest contributingfactor for longer case closure times in Europe & APAC?

• A lack of resources to triage and investigation cases promptly

• Cases are taking longer to resolve

• A lack of processes and tools used to assign and manage investigations

• A lack of awareness at boardroom level on the impact of case closure time

• It is unclear who owns resolution for cases

• Other - please chat your reasons

Case Closure Time (in days) by Category

Environment, Health & Safety Reports Close in Fewest Days

APAC EuropeNorth

AmericaSouth

America

Accounting, Auditing and Financial Reporting 82 89 50 n/a

Business Integrity 85 79 40 76

HR, Diversity and Workplace Respect 82 69 38 42

Environment, Health and Safety

59 59 31 31

Misuse, Misappropriation of Corporate Assets

77 71 35 56

Reporter Allegations vs. Inquiries

Percentage of Inquiries Lower Outside North America

Percentage of Harassment vs. Discrimination Reports

Harassment and Discrimination Reports

Percentage of Retaliation Reports

Retaliation Reports

• Awareness around retaliation as a legitimate issue to report

• Compliance programme activities focused on retaliation

• The impact of #MeToo

• An increase in regulations protecting whistleblowers against retaliation

• An increase in retaliation cases occurring across Europe

• Improvements in organisational culture leading to speaking-up on retaliation

• Other – please chat your reasons

POLL QUESTION: Why do you think there’s been an increase of retaliation reporting in Europe?

Report Origination by Region

Geography

Region Reports

APAC 8,000+

Europe 35,000+

North America 943,000+

South America 6,000+

What E&C activities will you prioritise over the next 12 months?

Best Practice Recommendations & Available Resources

Key Takeaways for Organisations in Europe & APAC

1. Regularly review whistleblowing

training and awareness activities

2. Work to gain visible board level

commitment to whistleblowing

3. Track reports from multiple channels

4. Focus on decreasing case closure times

5. Encourage employees to see your

hotline as a resource for information,

not just a channel for reporting

GRC Insights: Industry-Level Benchmarking

• Amplify risk mitigation efforts

• Board-ready reports

• Empower programme leaders

• Stay informed

Increase your program effectiveness by leveraging these resources and visiting our website www.navexglobal.com

Additional Resources

Whistleblowing White Papers:

• Definitive Guide to Whistleblowing Hotlines and Incident Management

• Strength in Numbers: The ROI of Compliance Programme Hotline Reporting

• 2019 Hotline & Incident Management Benchmark Report

On-Demand Webinars:

• Responding to the Rise of Global Whistleblower Regulations

• Strength in Numbers: Ground Breaking Evidence Prove True Compliance ROI

Join the Conversation:

• Compliance Next

• Ethics & Compliance Matters™

Learn More About Our Solutions:

• Whistleblowing Hotline & Reporting Services

• EthicsPoint Hotline & Incident Management

Additional Board Reporting Resources

White Papers:

• Key Elements for Effective Compliance Programme Board Reporting

• Definitive Guide to Compliance Programme Assessment

On-Demand Webinars:

• Master Class: Herding Big Cats – Improving Executive & Board Engagement

• Master Class: A CCO, Board Member and Government Monitor Walk Into a Bar

POLL QUESTION: Please select the topics you would like further information on

• Whistleblowing Hotlines & Reporting Services

• Incident Management Solutions

• Benchmarking Services

• Awareness Programmes

• Ethics and Compliance On-Line Training

• Third Party Due Diligence Solutions

• Enterprise Risk Management Solutions

• Policy & Procedure Management Solutions

• No Information Required

Carrie Penman, CRCO

cpenman@navexglobal.comIan Painter, Asst. Director Marketing, EMEA

ipainter@navexglobal.comRaina Hathorne, Product Marketing Manager

rhathorne@navexglobal.com

Questions?

2019 Regional Whistleblowing Hotline Benchmark …...• Whistleblowing Hotlines & Reporting...

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