LRN - Risk management Survey - Ethics Resource Center

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detailed results11. What are the biggest challenges you face in providing ethics andcompliance education and/or certification activities/programs?Challenges in providing ethics and compliance education programsInadequate resourcesCultural differences globallyRegulatory differencesLack of translated E/C materialsTechnology constraintsKnowing all our compliance risksLack of E/C materials26%22%22%21%34%37%53%Low employee engagement21%Union objections14%Low management support11%No significant challengesOther7%9%Don’t know2%The top challenges in providing ethics and compliance education included a lack of adequateresources, cultural and regulatory differences in international operations, and translating.More than half of respondents (53 percent) cited inadequate resources, 37 percent named globalcultural differences, and 34 percent referenced regulatory differences. More than one-quarter(26 percent) of companies had difficulty translating materials into foreign languages.Four additional challenges nearly tied in frequency: technology constraints (22 percent), knowingall the compliance risks on which to educate (22 percent), lack of education and/or certificationmaterials in some risk areas (21 percent), and low engagement and interest on the part ofemployees (21 percent).The least frequently cited challenges were union objections (14 percent) and a low level of supportfrom management (11 percent). Only 9 percent of companies reported no significant challengesin deploying ethics and compliance education and certification programs.Inadequate staffs and budgets lead the challenges to educationand certification programs, followed by various globalization andtranslation issues. However, union objections present few problems.About one in two respondents believe they do not have enough resources to supporttheir ethics and compliance education and certification programs. This result mayexplain in part why certain types of programs such as management/leadership developmentand site visits are implemented less frequently. Again, this finding points to the need for theethics and compliance function to reach out to other departments within the organizationto enlist greater resources and support for quality prevention programs.LRN | ETHICS AND COMPLIANCE RISK MANAGEMENT PRACTICES REPORT | 18
detailed resultsThe numerous additional challenges cited lagged far behind the resources issue. However,several of them reflect the globalization challenge, including cultural and regulatorydifferences as well as translations of ethics and compliance materials. Not surprisingly,companies that cited cultural differences as a challenge also generally had difficulties withregulatory differences and translating materials.One note of interest for those in unionized industries is that the figures for problemswith union objections are low. Comparatively few companies cited unions as one of theirbiggest challenges compared with the other difficulties.Detecting ethics and compliance violations12. What are the methods you provide for employees and othersto report ethics or compliance violations?Violation reporting methods in multinational companies% Headquarters % InternationalAnonymous/phone lineLegal departmentSupervisorHREthics, compliance orbusiness conduct officeInternal ombudsmanOther10%7%20%14%77%65%85%98%92%79%91%80%87%79%Nearly all companies with international operations (98 percent) provided employees in homeregions with a confidential channel, such as an anonymous phone line, to report ethics andcompliance violations. Most respondents (85 percent) also provideda confidential reporting channel in their international regions.Other avenues for reporting ethics and compliance violations that were commonly providedin home markets were the legal department (92 percent), a supervisor (91 percent), humanresources (87 percent), and an office of ethics and compliance or business conduct (77 percent).But fewer respondents indicated their international operations sought reporting through asupervisor (80 percent), the legal department (79 percent), human resources (79 percent), or anoffice of ethics and compliance/business conduct (65 percent). By far the least popular methodof reporting offered to employees was the internal ombudsman, which 20 percent of companiesprovided at home and only 14 percent provided in foreign markets.LRN | ETHICS AND COMPLIANCE RISK MANAGEMENT PRACTICES REPORT | 19
Page 1 and 2: The LRN ethics and compliancerisk m
Page 3 and 4: introductionMore than ever before,
Page 5 and 6: introductionThe table below shows a
Page 7 and 8: key findings6. Detecting ethics and
Page 9 and 10: detailed results2. What types of et
Page 11 and 12: detailed results3. Who is involved
Page 13 and 14: detailed results5. How do you use o
Page 15 and 16: detailed resultsConstrained resourc
Page 17 and 18: detailed results8. To which non-emp
Page 19: detailed resultsAcross the world, c
Page 23 and 24: detailed resultsCompanies often do
Page 25 and 26: detailed resultsResponding to repor
Page 27 and 28: detailed results17. What are your b
Page 29 and 30: detailed resultsAlso notable is the
Page 31 and 32: detailed results21. What are your b
Page 33 and 34: detailed resultsCompanies are moder
Page 35 and 36: discussionThese strategies depend l
Page 37 and 38: discussionAddressing the data colle

LRN - Risk management Survey - Ethics Resource Center

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