Encouraging, Managing, and Integrating Employee Reporting

1. Effective Communications for Encouraging Reporting across All Mediums - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • What are the right messages that encourage people to come forward?

   • The importance of building trust to encourage calls and reduce anonymous reporting

   • Are you doing too much or too little? When it's time to adjust your communication

2. Sitting across from Someone Reporting a Potential Issue - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • How to encourage the reporter to share more information without scaring him/her off

   • Ensuring confidentiality of face-to-face reports

   • Keeping the door open for follow-up conversations

3. Handling Reports That Aren't Really Compliance Related - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • Developing an effective triage method, including delegating some reports to other departments

   • Helping HR, internal audit, and others understand the importance of handling these reports

   • Ensuring that they are followed up on and the reporter is followed up with

4. How to Communicate with Reporters - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • Case status and the amount of information that can be disclosed to reporters

   • Frequency of communication

   • Appropriate personnel who should be communicating with reporters

5. Helplines and Other Contact Methods - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • Effective use of multiple contact vehicles

   • Internal vs. third-party helplines: Pros and cons

   • What to report to the board

   • How to build trust to reduce anonymous reporting

6. Integrating Reporting Data with Other Compliance-Related Data - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • Ensuring integration with the case management solution, training, conflict of interest, and other data collected

   • Ensuring the security of the system

   • Using the data to inform everything from the risk assessment to onboarding employees

7. Lessons Learned from the SEC's Whistleblower Program - July 2022

   Encouraging, Managing, and Integrating Employee Reporting - July 2022  | July 20, 2022 

   • What the data shows and what it means

   • Why whistleblowers come to the SEC instead of (or in addition to) reporting internally

   • What compliance teams can learn from whistleblower settlements

8. Culture Eats Strategy for Breakfast: Strategies for Hotline Branding, Messaging, Management and Beyond

   SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

   • Identify challenges and barriers involved in handling hotline complaints and managing the process
     

   • Build and maintain rapport with both internal teams and reporters

   • Share and apply strategies to promote the compliance hotline and strengthen its effectiveness

9. Effective Communications for Encouraging Reporting Across All Mediums - November 2022

   SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

   • What are the right messages that encourage people to come forward

   • The importance of building trust to encourage calls and reduce anonymous reporting

   • Are you doing too much or too little? When it's time to adjust your communication

10. The Lingering Risk of Retaliation

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • Understand the risk of retaliation
      

    • Manage retaliation

    • Recognize retaliation in practice, and what went wrong

11. Sitting Across from Someone Reporting a Potential Issue - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • How to encourage the reporter to share more information without scaring him/her off

    • Ensuring confidentiality of face-to-face reports

    • Keeping the door open for follow up conversations

12. Managing the Reporter

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • Learn how to interview the reporter effectively and efficiently to identify concerns
      

    • Discuss ways to align the reporter's expectations with possible resolution strategies

    • Learn the common reporter challenges and demands, and how you can address them early in the inquiry

13. Handling Reports That Aren't Really Compliance Related - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • Developing an effective triage method, including delegating some reports to other departments

    • Helping HR, internal audit, and others understand the importance of handling these reports

    • Ensuring that they are followed up on and the reporter is followed up with

14. Reporting Challenges for Remote and Hybrid Workplaces

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • Research shows employees are 200% less likely to raise concerns when remote
      

    • What strategies are needed when your workforce is remote or hybrid

    • How to prepare managers for the challenges of creating speak up cultures with remote employees

15. How to Communicate with Reporters - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • Case status and the amount of information that can be disclosed to reporters

    • Frequency of communication

    • Appropriate personnel who should be communicating with reporters

16. Two Heads Are Better than One: Compliance and HR Working Together to Build and Maintain a Strong Compliance Program and Speak-Up Culture

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • How HR and Compliance can work together to promote an ethical corporate culture and a gold standard compliance program
      

    • Best practices for HR and Compliance to jointly implement and manage reporting hotlines and ensuing investigations to mitigate the risk of retaliation and ensure consistent outcomes

    • Best practices for triage, case management, investigations, root cause analysis, and monitoring remediation to decrease the potential for recidivism

17. Helplines and Other Contact Methods - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • Effective use of multiple contact vehicles

    • Internal vs. third-party helplines: pros and cons

    • What to report to the board

    • How to build trust to reduce anonymous reporting

18. Building a Culture of Integrity and Speaking Up: The Strategic Benefits of Encouraging Psychological Safety - May 2023

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • Influence leaders to take accountability for creating a culture of integrity and candor
      

    • Heighten awareness of the multiple benefits of a psychologically safe workplace environment

    • Become a strategic partner to remove barriers, promote courage and clarity, and drive culture change

19. Integrating Reporting Data with Other Compliance-Related Data - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • Ensuring integration with the case management solution, training, conflict of interest and other data collected

    • Ensuring the security of the system

    • Using the data to inform everything from the risk assessment to onboarding employees

20. Why Our Best Employees Don't Speak Up

    SCCE Encouraging, Managing, and Integrating Employee Reporting - May 2023  | May 04, 2023 

    • Explore the concept of strategic silence and why employees withhold ideas until the "right time"
      

    • Identify low-risk opportunities for employees to practice speaking up

    • Close the feedback loop with positive feedback

21. Lessons Learned from the SEC's Whistleblower Program - November 2022

    SCCE Encouraging, Managing, and Integrating Employee Reporting - November 2022  | November 10, 2022 

    • What the data shows and what it means

    • Why whistleblowers come to the SEC instead of (or in addition to) reporting internally

    • What compliance teams can learn from whistleblower settlements