Unlock the power of effective speak-up programs.

Discover the groundbreaking insights from Vault Platform’s latest internal report, “Empowering Voices, Protecting Companies: The Strategic Case for Enhanced Whistleblower Reporting.” In this exclusive on-demand webinar, we go behind the data to reveal critical trends in employee reporting preferences and show you how to build a speak-up program that truly works.

Join Vault’s Tori Reichman, Chief Customer Officer and Ella McGregor, Product Manager, as they share:

• Behind-the-Scenes Research: Understand how Vault conducts user research to identify crucial employee needs and preferences for speaking up.
• The “More is More” Approach: Learn why offering diverse, modern reporting channels – like chat and mobile apps – dramatically increases employee engagement and comfort.
• Reporter-Centric Product Development: See how Vault balances the needs of the enterprise with the imperative to empower every employee to speak up safely.
• Actionable Insights: Gain practical strategies to modernize your own speak-up program, drive higher engagement, and achieve faster, higher-quality case resolution.
• Future of Ethics Tech: Get a glimpse into the innovations driving the next generation of ethics platforms.

Ready to modernize your speak-up strategy?

Watch now to equip yourself with the data-backed insights and product innovations you need to build a more engaged, ethical, and transparent organization.

The post Watch ‘The Vault Report: Why Diversifying Speak Up Channels Drives Engagement and Better Data’ Webinar appeared first on Vault.

Diligent, the AI leader in governance, risk and compliance (GRC) SaaS solutions, today announced its acquisition of Vault, an AI-powered ethics and compliance solution that empowers organizations to foster a speak-up culture, mitigate misconduct risks, and strengthen compliance. Recognizing the limitations of outdated ethics and compliance systems, this acquisition signifies a move toward a new era of proactive integrity. By integrating Vault’s cutting-edge Speak Up technology into Diligent’s GRC platform, organizations can detect risks earlier, respond faster, and build greater trust among employees and stakeholders.

Vault’s AI-first technology expands Diligent’s ability to serve global enterprises with localized compliance features, multilingual reporting channels, and assistance with adhering to global regulations. By setting the standard for seamless, intuitive, and effective compliance tools, Vault empowers employees to report concerns safely while providing organizations with the investigation suite and insights needed to drive meaningful change.

“We’re thrilled to welcome the Vault team and clients to Diligent. This acquisition reinforces our deep commitment to leveraging cutting-edge AI technology to enhance transparency, integrity and ethical practices in global companies,” said Amanda Carty, General Manager, Compliance, of Diligent. “Now, we can ensure organizations are equipped with the proper tools to proactively comply with evolving laws like the EU Whistleblowing Directive and other regulatory frameworks worldwide, further reducing their risk exposure while building a stronger culture of integrity.”

This acquisition marks the beginning of a new chapter in ethics and compliance technology, strengthening employee trust and engagement by ensuring safe, confidential, and user-friendly reporting channels like mobile apps, web platforms, and AI-powered hotlines. Organizations now have a 360-degree compliance and ethics solution through end-to-end visibility into misconduct trends, making compliance programs more effective and defensible.

“We’re incredibly excited to join Diligent. Vault has always been pushing the boundaries in ethics technology. Now, with Diligent, our innovative platform can reach a wider audience and truly change how organizations build ethical cultures and mitigate major risks,” said Neta Meidav, Founder and CEO of Vault. “Our new combined offering will be unmatched in the market, and we look forward to transforming how ethics is handled across organizations.”

This announcement comes on the heels of Diligent’s acquisition of Spark Compliance, a leading global company specializing in ethics and compliance program design, earlier this year. This strategic acquisition of Vault underscores Diligent’s commitment to leveraging AI technology to arm GRC professionals with best-in-class solutions to truly clarify risk and elevate governance.

District Capital Partners served as the financial advisor, and Willkie Farr & Gallagher LLP served as the legal advisor to Diligent. Raz. Dlugin & Co. served as the legal advisor to Vault.

Diligent will host a webinar, The Future of Corporate Integrity: Diligent + Vault Redefine Ethics & Compliance, on Tuesday, June 3^rd. Register here.

To learn more about Diligent’s acquisition of Vault, visit https://www.diligent.com/vault.

About Diligent
Diligent is the AI leader in governance, risk and compliance (GRC) SaaS solutions, helping more than 1 million users and 700,000 board members to clarify risk and elevate governance. The Diligent One Platform gives practitioners, the C-Suite and the board a consolidated view of their entire GRC practice so they can more effectively manage risk, build greater resilience and make better decisions, faster. Learn more at diligent.com.

Follow Diligent on LinkedIn and Facebook.

About Vault
Vault is the Active Integrity leader, modernizing Speak Up programs with a digital, AI-enabled platform for Speak Up, investigations, and data reporting. As the operating system for corporate integrity, Vault acts as a control center for managing misconduct reporting, investigations, and built-in analytics, all from one central solution that builds a Speak Up culture across the business. Vault is an award-winning tech startup which attracted investment from leading VCs such as Gradient, Google’s early-stage AI fund, and Illuminate Financial.

The post Diligent Acquires Vault, Ushering in a New Era of AI-powered Ethics and Compliance appeared first on Vault.

• Vault Data Reveals: Legacy hotlines experience a 90% drop-off, while multi-channel systems boost reporting engagement by 30%.
• Actionable Insights: Understand evolving employee expectations, diverse reporting preferences across age and gender, and the tangible benefits of accessible, anonymous channels.
• Drive Real Results: See how improved reporting leads to faster resolution times (66% reduction) and a stronger, more transparent workplace culture.

Ready to leverage Vault’s data to transform your Speak Up program? Fill out the form below:

The post Data Speaks: Multi-Channel Whistleblowing as the New Standard for Compliance appeared first on Vault.

Something big just happened in the fight against corporate misconduct, and it might just reshape how businesses worldwide play by the rules. 

On March 20, the UK, France, and Switzerland announced the International Anti-Corruption Prosecutorial Taskforce, setting the stage for a wave of cross-border collaboration like we’ve never seen before. Launched during OECD Integrity Week, this taskforce brings together powerhouse agencies—Britain’s Serious Fraud Office (SFO), France’s Parquet National Financier (PNF), and Switzerland’s Office of the Attorney General (OAG)—to share evidence, pool resources, and speed up investigations. 

The U.S. has forged the path for anti-corruption enforcement for nearly five decades with its Foreign Corrupt Practices Act (FCPA), now put on hold under Trump’s administration. However, this dynamic new European alliance indicates that Europe and the UK are catching up and taking the lead in the fight against corruption. Companies that operate internationally are likely to undergo stricter scrutiny, investigations, and a new rulebook for compliance and ethics. 

The Bigger Picture: A Culture Shift Toward Transparency

This latest alliance reflects a broader global trend toward transparency in the workplace—one that is not just about bribery or fraud but about building integrity from the inside out. Public demands for accountability are growing. Governments are rolling out new whistleblower protections, awarding financial incentives for employees who reveal corporate misconduct, and stepping up retaliation safeguards.

In the EU, as well as in the UK and Switzerland, regulatory bodies are expected to increase their scrutiny of how companies receive, investigate, and address concerns. We now recognize that effective reporting programs significantly reduce legal liability and reputational risks by addressing issues earlier and decreasing time-to-resolution by 66%. Meanwhile, the Government Expectations & Compliance Landscape suggests that companies that ignore regulatory developments risk facing hefty fines and a decline in stakeholder trust.

Data-Driven Approaches to Enforcement (and Compliance)

One reality of these shifting enforcement norms is that the quality of data drives outcomes. Authorities are sharing tips and detailed evidence gleaned from modern analytics. The ability to verify whistleblower reports through well-documented digital trails is becoming a linchpin in anti-corruption enforcement. Similarly, companies are expected to keep pace with secure, technology-enhanced compliance programs.

Legal, HR, and compliance teams see this as an opportunity to modernize their processes to include multiple reporting channels such as web portals, mobile apps, and AI-driven voice or chat integrations to increase engagement and gather more accurate data. Ultimately, minimizing friction for staff who want to report an incident increases reporting by 30%, providing organizations with the insights needed to act swiftly, preventing misconduct from escalating into full-blown crises or making big headlines in the press.

Seizing the Opportunity: Practical Steps

The days of basic telephone hotlines are numbered. Multifaceted reporting channels, including mobile apps, secure online portals, chatbots, and AI-driven voice solutions, drastically improve data quality. Providing anonymous, accessible channels not only encourages employees to speak up but also yields the kind of detail investigators need to act effectively.

Integrate AI and Automation

Speed up cross-border corruption probes by using case routing, real-time translations, and machine-learning analytics to identify emerging risks. Once the intake process is automated, legal, HR, and compliance teams can focus on strategic initiatives instead of being overwhelmed by day-to-day management. As new jurisdictions join international alliances, ensure compliance training addresses local nuances, such as the EU’s data privacy laws and cultural norms, particularly as taskforces like the UK-France-Switzerland expand globally.

Foster a Culture of Trust

Compliance is not a box to check– it’s a core cultural value that must be reinforced from the top. Encourage senior leaders to champion open dialogue. Emphasize how speaking up is a protected, even rewarded, practice. This transparent environment helps retain top talent, reduces turnover, and prevents the silence that allows misconduct to spread unchecked.

Leverage Data for Continuous Improvement

Once you establish robust intake and case management systems, analyzing trends in your reports and quality data taken directly from the robust intake report can highlight previously unrecognized patterns related to behavior, recruitment, or other activities.

Looking Ahead: Action Required

This heightened scrutiny arrives at a critical juncture: remote work arrangements are widespread, employees are more outspoken about corporate ethics, and data-driven investigations are ever more precise. The warning for compliance, legal, and HR leaders is clear: act now or face compounding risks—prosecutorial, reputational, and financial.

But there is an upside. Companies that invest in modern, multi-channel whistleblower systems, advanced analytics, and a trust-focused culture will not merely sidestep legal nightmares. They will cultivate stronger workplaces, boost morale, and earn greater loyalty from employees and customers. When cross-border enforcement agencies come knocking, an organization committed to transparency is far more likely to emerge with minimal disruption.

The post Europe Leading Anti-Corruption? UK, France & Switzerland’s Impact appeared first on Vault.

Defining Impact in Compliance

Micheal’s approach to compliance centers on a guiding principle: creating a culture where ethics and integrity are ingrained in every aspect of the business. His focus can be distilled into six key areas:

1. Cultivating a Culture of Integrity: Compliance should be woven into daily practices, empowering employees to act ethically without second thought.
2. Protecting the Organization: By proactively identifying and mitigating risks, Micheal helps Payoneer navigate regulatory complexities and avoid potential pitfalls.
3. Building Trust and Transparency: Strong compliance practices aren’t just about avoiding fines; they’re about earning trust with employees, customers, and regulators.
4. Enabling Business Success: Compliance, when integrated effectively, is not a barrier but a driver of innovation and growth.
5. Empowering and Educating Employees: Through robust training programs, Micheal ensures employees feel confident and equipped to make ethical decisions.
6. Staying Agile: In a fast-evolving regulatory landscape, Micheal’s ability to adapt ensures Payoneer stays ahead of emerging risks.

“It’s not just about protecting the organization,” Micheal emphasizes, “but about creating an environment where trust and accountability drive long-term success for our stakeholders, including our customers.”

The Role of Ethics and Compliance in Shaping Work

Micheal believes ethics and compliance can transform the workplace in profound ways. By creating fair and transparent environments, organizations build stronger trust, improve employee morale, and contribute to sustainable industry standards.

“Ethical practices don’t just protect businesses—they set the tone for an entire ecosystem,” he says. “When companies lead with integrity, they create ripple effects that inspire others to follow suit.”

Listening Up: Building Trust Through Action

For Micheal, proving to employees that they are truly heard requires a commitment to transparency, action, and accountability:

• Transparent Communication: Micheal advocates for regular updates to employees, showing how their feedback influences decision-making.
• Actionable Feedback: Suggestions and concerns must lead to tangible changes. Feedback loops, where employees can track the outcomes of their input, are vital.
• Leadership Engagement: Leaders must actively listen, visibly support changes, and model the behavior they want to see.
• Recognition and Accountability: Celebrating employee contributions and holding leaders accountable for addressing feedback are key trust-building behaviors.

“At its core, listening isn’t just about hearing,” Michael explains. “It’s about showing employees that their voices matter—and backing that up with meaningful action.”

A True Integrity Innovator

As Payoneer’s Chief Compliance Officer, Micheal exemplifies what it means to lead with integrity in a complex and fast-moving industry. His work not only safeguards the organization but also builds a foundation of trust, transparency, and ethical behavior that inspires employees and stakeholders alike.

This blog post is part of our ongoing Integrity Innovators series recognizing the movers and shakers of the ethics and compliance space who truly embody Active Integrity. Know someone who fits the bill? Nominate them now! 

The post Integrity Innovators: Up Close with Payoneer’s Micheal Sheehy appeared first on Vault.

Download the complete guide.

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As of January 1, 2025, California employers face a new compliance requirement: prominently displaying a standardized notice outlining employees’ whistleblower rights and protections. This update, mandated under California Labor Code Section 1102.8, aims to enhance awareness and safeguards for employees reporting illegal or unethical workplace practices. Here’s what you need to know, and how to prepare.

What’s changing?

Previously, employers in California were required to adhere to general whistleblower protection laws but were not obligated to post a standardized notice. The new requirement changes this by introducing a model notice developed by the California Labor Commissioner’s Office. This notice explicitly informs employees about their rights, how to report violations, and the protections they’re entitled to under the law.

By ensuring uniform messaging across workplaces, the notice strengthens awareness of whistleblower protections and simplifies the reporting process for employees.

Key details in the new model notice

The whistleblower rights notice includes essential information such as:

• Protected actions: Employees’ rights to report state or federal law violations without fear of retaliation.
• Reporting procedures: How to contact the California Attorney General’s Whistleblower Hotline or file a complaint with the Labor Commissioner.
• Anti-retaliation protections: Safeguards in place to protect whistleblowers from adverse actions.

Employers who fail to comply with this posting requirement may face penalties or legal challenges, making early action essential.

Steps to ensure compliance

To prepare, California employers should take the following steps:

1. Download the model notice

The Labor Commissioner’s Office has published the official notice, available here. Ensure you’re using the correct version.

2. Update workplace postings

Display the notice prominently in areas easily accessible to employees, such as break rooms or designated message boards. The notice must be printed in a font size of at least 14-point for visibility.

3. Adapt for remote and hybrid workplaces

For remote and hybrid teams, include the notice in digital onboarding materials, company-wide emails, or your intranet to ensure all employees have access, regardless of their location.

4. Refresh internal reporting procedures

Take this opportunity to review and update your internal reporting policies. Ensure employees are aware of all available reporting channels, whether via mobile apps, online portals, hotlines, or direct communication with HR and compliance personnel.

5. Train managers and HR teams

Educate HR, compliance personnel, and managers on the new requirement and whistleblower protections. Reinforce the importance of creating a supportive environment for reporting concerns.

Why this matters

This new mandate underscores California’s commitment to protecting employees who speak out against misconduct or illegal activities. For employers, it represents both a legal obligation and an opportunity to build a culture of trust and transparency.

By acting now, you can avoid potential penalties while demonstrating your organization’s dedication to compliance and ethical practices.

Looking ahead: Stay proactive

Preparing for the January 2025 deadline is just the start. Use this change as an opportunity to refresh your organization’s approach to compliance and employee protections. Whether it’s updating policies, enhancing reporting tools, or building awareness, these steps can help strengthen your workplace culture while keeping you ahead of the curve. 

Ready to prepare your workforce for 2025? Speak to us  about how Vault Platform can help you streamline whistleblower reporting and compliance processes. 

The post Compliance Alert: California’s Whistleblower Rights Notice Takes Effect January 2025 appeared first on Vault.

Nothing quite represents the role of the Chief Information Security Officer (CISO) like the Roman God of duality, Janus. Like Janus, CISOs look to both the past – managing legacy cybersecurity frameworks—and the future – planning strategies to protect the organisation from emerging threats. They balance internal oversight with external engagement, adapting to technological, regulatory, and economic shifts to drive effective cybersecurity strategies.

The SEC recently took a landmark step in cyber fraud enforcement by filing civil charges against a CISO for the first time. During the Sunburst attack on SolarWinds, the CISO (then VP of Security and Architecture) allegedly concealed cybersecurity vulnerabilities through misstatements and omissions, violating antifraud provisions of U.S. securities laws. 

This is the first case to accuse an individual of scienter-based fraud related to cybersecurity disclosures, marking a significant shift in enforcement. The penalties include fines and a potential ban on holding officer or director roles at SEC-registered companies.

Understanding Cyber Fraud and its impact

Cyber fraud typically involves compliance failures and misstatements that slip through audits like ISO or SOC 2. These oversights often go unnoticed by external assessments but can be identified through real-time insights from internal teams. However, operational complexities often hinder organisations from addressing these risks effectively. Reports received as KPIs or KRIs lack the detail needed to identify compliance risks, vulnerabilities, or cyber fraud.

Can your organisation confidently identify and investigate cyber fraud through whistleblower reports? 

If not, critical risks may go undetected.

The challenges of detecting Cyber Fraud

CISOs rely on their teams to flag pressing security issues, yet operational gaps remain. Reports are often funnelled to SOC teams, Security Engineers, or GRC functions, leading to varied interpretations:

• GRC teams may see a report as an already mitigated risk.
• Security Engineers focus on remediations within their workflows.
• SOC teams may dismiss vague reports as non-incidents or near-misses.

Without a clear escalation path, critical compliance risks may never reach the CISO’s desk or trigger a regulatory review.

At what point does such a report become a reportable incident under regulatory compliance? Infosec teams often can’t answer this, as they focus on cybersecurity standards, not SEC compliance requirements.

Strengthening the CISO’s role in reporting

To proactively address cyber fraud, CISOs must establish robust systems that:

• Detect fraud through well-structured reporting processes.
• Collaborate with Ethics and Integrity teams for external disclosures.
• Equip employees with tools and training to report suspicious activities confidently.

By taking these steps, organisations can reduce exposure to enforcement penalties while enhancing their overall cybersecurity posture.

Vault Platform for secure reporting 

Vault Platform bridges the gap in traditional reporting mechanisms, ensuring critical cyber fraud issues reach the CISO without delay. With a 30-day SEC reporting deadline, speed and accuracy are paramount.

Vault Platform enhances compliance by offering:

• Customisable categories such as “Cybersecurity Fraud” to capture relevant incidents comprehensively.
• Anonymous reporting that enables employees and contractors to share concerns without fear of exposure.
• Direct routing to ensure reports are swiftly escalated to the appropriate teams, including the CISO.

Vault Platform’s configurable rules and information management structure allow the CISO and security team to gain peace of mind that reports are accessed securely by the right people, and acted on efficiently across stakeholders, which enables informed decisions about disclosures and remediation.

Whistleblowers as risk champions 

Whistleblowers are often viewed with apprehension, but with the right tools, they can become valuable allies in mitigating cybersecurity risks. Platforms like Vault empower whistleblowers to report concerns directly and securely, minimising regulatory penalties through proactive disclosure – an approach demonstrated in cases such as Verizon.

Speak to us about how we can help you build a stronger cybersecurity culture by enabling transparent, secure, and effective reporting.

The post Vaulting Over Compliance Risks: How CISOs Can Tackle Cyber Fraud appeared first on Vault.

This annual recognition celebrates forward-thinking leaders and Ethics & Compliance (E&C) professionals who are redefining how integrity and ethics are woven into the fabric of organizational culture worldwide. These are the visionaries to watch – trailblazers driving meaningful change, sparking innovation, and inspiring others to lead with values.

Do you know someone leading the charge? Or perhaps you see yourself as part of this movement? Nominate now using the form below. 

Nominations are open until January 24th, 2025, and honorees will be notified in early February.

The post Nominations open for 2025 Integrity Innovators appeared first on Vault.

Earlier this year, the DOJ implemented its pilot whistleblower program, which created a monetary reward structure for employees who voluntarily report corporate misconduct to federal authorities. This creates new pressure on companies that either lack internal reporting channels to uncover misconduct or fail to act on reports. Through the DOJ’s updates to their Evaluation of Corporate Compliance Programs, companies now get a clearer view of what the Department expects when examining the strength and effectiveness of an employee reporting system and process.

We’ve compiled recommendations that Compliance, HR, ER, and Legal leaders can lean on when evolving and enhancing their programs in light of this guidance, with a particular emphasis on defining and measuring your Speak Up Program to fit the ‘adequate, effective, and well-designed’ expectations of the DOJ.

‘Adequate and effective’ for Speak Up programs comes down to engagement and usage. So how do you demonstrate the company is effective at encouraging speaking up without relying on volume of reports alone?

As you take stock of your current program and think about demonstrating impact on company Speak Up culture, here are a few metrics you can establish and monitor to prove to your business– and to the regulators–that you are evaluating and evolving your Speak Up program approach.

Benchmark your Trust Gap

Benchmarking and continuously measuring your internal Trust Gap is the most effective way to demonstrate ongoing improvement and effectiveness of your compliance program.

Globally and across industries, there exists a gap between employee’s willingness to report (93%) and actual reporting rates (46%). Closing this trust gap is crucial for building a reliable compliance environment. This is the reality you’re operating in – a company with 10,000 employees should expect 500-1,500 incidences of misconduct a year will occur, half of which will go unreported. Mitigating risk is not possible when half of the issues are unsurfaced.

Data collected by Vault Platform has revealed the scope of this issue:

• Frequency of Misconduct: Up to 48% of employees witness or experience misconduct monthly
• Lack of Employer Accountability: More than 50% of employees feel their employers need to be more ethical and transparent.
• Impact on Personal Wellbeing: Nearly 50% of employees experiencing misconduct report a negative effect on their wellbeing, which leads to absenteeism and decreased productivity.
• Employee Retention Concerns: Misconduct impacts retention, with a significant portion of affected employees eventually leaving their roles due to unresolved issues.

With 86% of employees emphasizing the need for safe reporting channels, an environment that bridges the Trust Gap empowers employees to speak up, strengthening both compliance and organizational health.

Data from Ethisphere shows that 100% of the World’s Most Ethical Companies® measure employee perceptions of ethical culture with 74% doing so with a dedicated ethical culture or compliance program survey, as opposed to one or two questions in a broader employee engagement survey. These same companies are administering these surveys at least every two years (21%), if not annually (49%).

Employees are reluctant to report concerns if they don’t believe the reporting process works or that the company takes any actions on reports. To bolster employee confidence in the reporting and investigation process, 69% of the World’s Most Ethical Companies® companies provide employees with some level of reporting on the number and types of concerns that were reported as well as the results of those reports and any subsequent investigations.

To benchmark and address the Trust Gap effectively:

• Survey Employee Willingness and Experiences: Effective Speak Up Programs require cross-functional collaboration. Partner with HR and People Teams to benchmark willingness to speak up versus actual speak up rates at least annually. Regularly survey employees to track their readiness to report issues and to monitor progress over time to help identify barriers and opportunities to increase awareness of actual Speak Up processes.
• Monitor Reporting Rates: Measure actual reporting volume on all channels. It’s best practice to also monitor outcomes, focusing on resolutions and the impacts on productivity, employee well-being, and retention. Benchmarking against yourself year over year with comprehensive analytics is the most effective approach, as industry or geographic speak up programs vary.
• Calculate your Trust Gap: Willingness to Speak Up (as percentage of employee population) minus your Actual Report Rate for the same period (as percentage of employee population) = Trust Gap

Monitor Retaliation Fears as a Speak Up Barrier

Retaliation is the most commonly cited barrier to speaking up at work. 48% of employees cited concerns about retaliation as preventing them from speaking up about misconduct.

Some leaders see this data point and jump to forming an anti-retaliation program and increasing communication about anti-retaliation policies. But to focus on policy without an approach to building psychological safety will set you up for failure.

33% of employees do not believe anti-retaliation policies will be enforced.

The foundation of a successful compliance program–and moving the needle on retaliation fears– lies in the organizational culture. Compliance leaders must work actively to cultivate an environment where employees feel safe to voice their concerns which means increasing transparency, demonstrating accountability, and proving you are Listening Up.

To foster an open and trusting culture:

• Proactively Position Compliance as Listening Up: 50% of employees who witness or experience misconduct will not report. Listening to employee feedback is just as crucial as encouraging them to speak up. Compliance leaders should prioritize creating channels through which employees feel heard and respected. Regularly evaluate employee sentiment and belief that the ethics, HR, and/or leadership teams are listening.
• Increase Investigations Transparency: Regularly bring awareness to the company’s commitment to ethical behavior and compliance through various channels—emails, team meetings, and town halls. Consider developing reports that promote transparency into aggregate resolutions metrics.
• Demonstrate Accountability- Ensure that executives and managers exemplify the values of transparency and accountability in their actions and decisions.

Best Practice Spotlight:

Allianz Life’s VP & Chief Ethics and Compliance Officer, Steve Koslow, speaks to the value of a Hear Me/I’m Listening Culture, “There is a power paradigm in a speak up culture message. Rather than empowering employees to speak up, change the power dynamic and say we are listening, we hear you. Shifting the compliance frame of mind from Speak Up to a Hear Me culture shifts the power paradigm.”

Review and Revisit Intake Channel Preferences and Promotion

‘Another hallmark of a well-designed compliance program is the existence of an efficient and trusted mechanism by which employees can anonymously or confidentially report allegations of a breach of the company’s code of conduct, company policies, or suspected or actual misconduct.’

The DOJ emphasizes that compliance programs must be dynamic and adaptable. Compliance leaders should regularly evaluate and refine their programs based on employee feedback and changing regulatory environments.There are three constant changes within our workplaces: People are changing, technology is changing, and communication preferences are constantly changing.

Compliance leaders must ensure that reporting mechanisms are easily accessible and user-friendly to encourage employees to speak up. Before misconduct occurs is the best time to educate and assess awareness and comfort with available intake channel options. All employees should be aware of their options for speaking up, both directly and anonymously.

77% of employees want an anonymized app-based reporting channel.

73% will report if they don’t have to speak to anyone.

Employees shouldn’t have to navigate a choose-you-own adventure style code of conduct when attempting to make a report. Every decision your employee is faced with after experiencing or witnessing misconduct should be propelling them towards making a report. Assess what is working well and feeling safe, and expand that approach.

To keep a pulse on meeting employees where they are:

• Simplify the Speak Up Landscape – Complicated processes can discourage employees from reporting issues, leading to a culture of silence that is detrimental to compliance efforts. Consolidate your Speak Up tech stack optimizing for trust, confidentiality, and ease of use.
• Emphasize accessibility: Provide frictionless reporting channels that reflect employee preferences. While some may prefer to rely on an anonymous hotline, others prefer online portals that allow them to report anonymously while tracking their case.
• Anonymous channels should be varied and accessible by multiple avenues (app, web, phone, direct). The key is to remain creative in reducing reporting friction. If other channels are commonly used day-to-day, such as Slack, consider incorporating the messaging app into a reporting channel. This flexibility accommodates different comfort levels and preferences.Identify which channels are most utilized, and take it a step further and learn which are most trusted.
• Equipping managers for ethics pulse taking: Ethisphere’s Speak Up Culture Report shows the people who do report have a strong preference (5:1) for direct to internal human reporting. Emphasize manager training for hard conversations, active listening, and ethics pulsetaking. Regularly assess how aware and confident managers feel identifying ethically gray and reportable situations.

Incorporating these best practices into compliance programs can significantly enhance the culture of speaking up within an organization and prepare you to demonstrate your commitment to data-driven effectiveness. By identifying your trust gap, fostering an open culture, and simplifying reporting mechanisms, compliance leaders can build a resilient, adequate compliance program that not only meets DOJ expectations but also empowers employees.

This environment, where employees feel safe and encouraged to voice their concerns, is not just a regulatory obligation– it is a strategic advantage. Benefits include decision-making, increased employee engagement, and a stronger overall organizational culture. As compliance leaders navigate the updated guidance from the DOJ, prioritizing employee engagement and feedback will be crucial for driving compliance success and fostering long-term ethical business practices.

Summary:

Key metrics for identifying the Trust Gap

1. Willingness to report
2. Witnessing or experiencing misconduct
3. Actual Reporting volume

Key Speak Up Barrier Metrics:

1. Awareness of Anti-Retaliation Policies
2. Belief Anti-Retaliation Policies will be enforced
3. Belief Compliance (and/or HR) is listening to employee concerns and issues

Key Metrics for Intake Channel Review

1. Awareness of reporting options
2. Comfort with available reporting options
3. Trust in anonymous reporting options
4. Manager survey: awareness of code of ethics
5. Manager survey: comfort with identifying ethical gray situations

This article was originally published on Ethisphere.com. Read the original article here. 

The post Defining and Measuring Effectiveness: Responding to the DOJ’s Evaluation of Corporate Compliance Programs Speak Up Guidance appeared first on Vault.