Carrie Penman

Carrie Penman

NAVEX Global

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Latest Publications


For the First Time Since 2011 Case Closure Time for Employee Hotline Reports Is Down

Case closure times on employee hotline reports improved last year—one of the most promising findings in NAVEX Global’s 2017 Hotline Benchmark Report. The four-day drop in median closure time indicated in the 2016 report halts...more

3/16/2017 - Benchmarks Complaint Procedures Compliance Employee Training Ethics Harassment Hotlines Incident Response Plans

New Guidance from the DOJ on Your Compliance Program

The U.S. Department of Justice (DOJ), Criminal Division, Fraud Section, recently released new guidance associated with its Guide to the U.S. Foreign Corrupt Practices Act. The guidance, entitled Evaluation of Corporate...more

2/24/2017 - Compliance Confidential Communications Corporate Misconduct Criminal Prosecution Discipline DOJ FCPA Federal Sentencing Guidelines Fraud Incentives Internal Investigations Management Merger Controls New Guidance Policies and Procedures Risk Assessment Third-Party Risk Training

Our Approach to Culture Assessments

In order for a business conduct and compliance programme to be successful, it must be firmly rooted and supported by company values that are reflected in a strong corporate culture. But even in the best companies, subcultures...more

2/1/2017 - Assessment Benchmarks Compliance Corporate Culture Ethics Leadership Policies and Procedures Surveys

5 Trends in Whistleblower Hotlines and Protections to Be Aware of in 2017

Every year it’s safe to assume that our list of Top 10 trends will include the latest developments pertaining to helplines, whistleblower reporting and retaliation, and this year is no exception. We begin by examining some...more

1/3/2017 - Anti-Retaliation Provisions Chief Compliance Officers Compliance DOJ Employee Training Ethics Internal Investigations Internal Reporting Managers Supervisors Whistleblower Hotlines Whistleblower Protection Policies Whistleblowers Yates Memorandum

ISO 37001: Answers to the 5 Questions We’ve Heard Most About the Standard

It’s been a month since ISO 37001 was published and there are some questions we have heard percolating in the compliance world about what this means. These are the questions we’ve been hearing the most...more

11/17/2016 - 501(c)(3) Anti-Bribery Anti-Corruption Certifications Compliance FCPA International Organization for Standardization ISO Publicly-Traded Companies Risk Assessment Risk Management Small Business UK Bribery Act

When Managing Whistleblower and Retaliation Risk, Tools are Important – Processes and People are Critical

One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more

11/15/2016 - Benchmarking Chief Compliance Officers Complaint Procedures Compliance Corporate Culture Employee Training Ethics Incident Response Plans Internal Investigations Internal Reporting Policies and Procedures Retaliation Risk Management Whistleblower Hotlines Whistleblowers

As National Whistleblower Day Approaches, It’s Time to Reconsider the Term “Whistleblower”

July 30 marks the 238th anniversary of passage of the first congressional protections for whistleblowers in the United States. As they have done in recent years, officials in Washington, D.C., will celebrate the anniversary...more

8/1/2016 - Compliance Corporate Culture Ethics Whistleblower Hotlines Whistleblowers

Top Three Findings from our 2016 EMEA & APAC Hotline Benchmark Report

Benchmarking your organisation’s data against your peers across EMEA & APAC provides critical insights into the health of your ethics and compliance programmes. Our new report gives the most comprehensive picture of...more

5/19/2016 - Asia Pacific Benchmarking Compliance Corporate Culture EMEA Ethics EU Retaliation Risk Mitigation Whistleblower Hotlines Whistleblowers

Preview the Top Three Findings from our 2016 Policy Management Benchmark Report

In our second annual policy management benchmark report, which will be released first to everyone who registers for our upcoming webinar, we’ve uncovered new trends and insights that you can put to work in your program today....more

5/12/2016 - Benchmarks Best Management Practices Compliance Employee Training Ethics Policy Management

[Webinar] Benchmarking Your E&C Hotline in 2016: What is Your Data Telling You? - March16th, 11:00am PT

You’ve heard it time and time again—one of the most effective ways to measure your compliance initiatives is to analyze the data you’re already collecting from internal reporting systems. However: how do you know if your data...more

3/9/2016 - Benchmarking Chief Compliance Officers Compliance Internal Reporting Retaliation Webinars Whistleblower Hotlines

NAVEX Global’s 2015 Europe, Middle East, Africa and Asia Pacific State of Compliance Programmes Benchmark Report

In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more

3/3/2016 - Africa Asia Benchmarks Compliance Employee Training Ethics EU Middle East Risk Assessment

SEC’s First Whistleblower Award to Company Outsider: Game Changer?

The headlines lit up this month when the Securities and Exchange Commission (SEC) issued its first-ever award to a whistleblower who wasn’t employed by the company on which he had blown the whistle. The award was a...more

1/28/2016 - Compliance Corporate Culture Enforcement Actions Internal Reporting SEC Whistleblower Awards Whistleblowers

3 Things We Can Learn From Whistleblower Lawsuits

While compliance professionals may not like what whistleblower plaintiff’s counsel have to say about ethics and compliance programs, their insights are invaluable for organizations who want to increase their program...more

12/10/2015 - Anti-Retaliation Provisions Benchmarks Compliance Corporate Culture Ethics Whistleblowers

10 Trends & Takeaways from the 2015 SEC Whistleblower Report

On November 16, 2015, the U.S. Securities and Exchange Commission issued its 2015 Annual Report to Congress on the Dodd-Frank Whistleblower Program and, to no one’s surprise, the program is going strong awarding over $37M to...more

12/1/2015 - Anti-Retaliation Provisions Compliance Employment Contract Ethics Popular SEC Whistleblowers

DOJ’s New Compliance Expert Brings Private Practice Insights to the Role

DOJ’s new compliance expert brings private practice insights to the department. The Fraud Section of the Department of Justice (DOJ) announced earlier this month that it has hired Hui Chen as its “full-time compliance...more

11/19/2015 - Compliance DOJ Ethics Fraud

Volkswagen Emissions Scandal Speaks to Troubled Culture

Too many organizations learn the hard way that failure to create a speak-up culture poses risks that go far beyond financial calamity. Volkswagen (VW) appears likely joining those sad ranks today, as it scrambles to figure...more

9/22/2015 - Auto Manufacturers Board of Directors Carbon Emissions Code of Conduct Compliance Corporate Culture Corporate Executives EPA Fraud Scandals Volkswagen

New International Standard, ISO 19600:2014, Makes Few Headlines But May Have Huge Impact

Those of us working in the ethics and compliance field know that there is no shortage of guidance on best practices for establishing and maintaining an ethics and compliance program. In the U.S., the Federal Sentencing...more

9/10/2015 - ANSI Compliance Corporate Social Responsibility Ethics EU Federal Sentencing Guidelines International Organization for Standardization ISO OECD

Toshiba Scandal Underscores the Importance of a Speak-Up Culture

In what’s being called the most damaging event in the company’s 140-year history, Toshiba admitted this week to overstating its operating profit by $1.22 billion during the past several years. This staggering figure and...more

7/27/2015 - Chief Compliance Officers Compliance Corporate Culture Ethics Internal Reporting Risk Management Toshiba Training

Cultural and Bottom Line Impact of Rudeness in the Workplace Is Real—and on the Rise

In her recent opinion piece in The New York Times, No Time to Be Nice at Work, Christine Porath asserted that, “how we treat one another at work matters. Insensitive interactions have a way of whittling away at people’s...more

7/2/2015 - CEOs Compliance Corporate Culture Ethics Workplace Communication

Real Guidance (Finally) On the Compliance Oversight Role of Boards

New guidance for boards of directors on what it means to have “reasonable oversight” for the implementation and effectiveness of corporate compliance programs could signal the beginning of a global trend towards more—and more...more

6/24/2015 - Audits Bank of England Board of Directors Chief Compliance Officers Compliance Corporate Culture Corporate Governance Corporate Integrity Agreement Ethics Federal Sentencing Guidelines Healthcare Provider Corporations HHS OIG Regulatory Oversight

Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We compiled 2014...more

5/14/2015 - Analytics Benchmarking Board of Directors Case Management Compliance Ethics Hotlines

Ethics & Compliance Hotline FAQs: Top 5 Questions from the Hotline Benchmark Webinar Answered

During our recent webinar, we provided an in-depth tour through the findings of our 2015 Ethics & Compliance Hotline Benchmark Report. Webinar attendees asked a number of valuable questions on topics ranging from hotline best...more

5/5/2015 - Benchmarks Case Management Compliance Ethics Hotlines Human Resources Professionals Information Sharing

Top Three Findings From NAVEX Global’s 2015 Ethics & Compliance Hotline Benchmark Report

For years, NAVEX Global has been proud to provide the industry’s best and most statistically accurate hotline benchmarking data. By analyzing anonymized data we gather through our hotline and case management solutions, we...more

3/19/2015 - Benchmarks Compliance Corporate Governance Ethics Retaliation

Webinar - Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We’ve compiled...more

3/16/2015 - Chief Compliance Officers Compliance Ethics Events Hotlines Internal Reporting Webinars Whistleblower Hotlines

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