Encouraging, Managing, and Integrating Employee Reporting July 2022

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