"I didn't have my heart set on getting everything we wanted, but we did."*
Focus on Efficiency
When it comes to capturing ethical risks in an organization, reliable, quick response is crucial. Learn how Nancy Thomas-Moore*, former Director, Ethics and Business Conduct at a Fortune 500 manufacturing company, implemented the SAI Global Listen Up™ Helpline, Ethics Reporting and Case Management solution to enable quick, thorough discovery and response to employee concerns providing greater overall efficiency for the company and reinforcing their commitment to business ethics.
In 2005, the company was using an external vendor for their call intake while employing an in-house solution for their case management needs. Responsible for managing the company’s ethics and business conduct program, Thomas-Moore had been unhappy with the quality of the company’s call center. Callers were experiencing unacceptable wait times and inadequate response. In addition, the internal case management database was difficult to manage. Data extraction was a cumbersome and almost full-time task.
By 2006 the need for a third-party solution with both a quality call center and case management system with robust reporting was evident. “We had been making it work with our other system,” said Thomas-Moore of the outdated case management system. “Our IT department continued to update the system as technology changed, but we needed more efficient reporting capabilities while maintaining respect for the anonymity of our callers.” Thomas-Moore began searching for a vendor that could not only manage their call intake needs, but also capture the details needed for callers to remain confidential in the process.
Starting at the ECOA annual conference, Thomas-Moore began reaching out to peers who had successfully implemented a third-party solution for both intake and case management and visited the vendor booths to look at the various products available. After releasing an RFP with the criteria they were looking for, Thomas-Moore began conducting interviews and demonstrations of different solutions which led her to a more in-depth look and ultimate selection of Listen Up™ Helpline, Ethics Reporting and Case Management solution.
Making the Transition
Helpline
Immediately impressed with the professional, quick response time and attentive listeners, Thomas-Moore was confident that replacing their current intake provider with the Listen Up service would deliver immediate results. Employing Masters’ degreed listeners who use “active listening” with the added advantage of on-screen job aids developed especially for the company, the listeners address issues important to the company and ensure meaningful dialog with employees. Additionally, Listen Up provided real-time interpretation and speedy translation for phone calls and web submissions helping the company meet the cultural requirements of their program.
Case Management
Implementing the Web-based Listen Up case management system enabled the team to manage their work more efficiently and quickly. Instead of merely capturing hotline data, they were able to easily access the type of useful information that permitted streamlined investigations and issue resolution. Listen Up staff customized the secure online system to match the company’s organizational structure and the team worked closely with Thomas-Moore to complete a full data transfer of all previous cases, some dating back to 1999. By creating one central repository of all cases from all intake methods, they were able to easily search case submissions, pull accurate reports and track cases across many submission categories.
The reporting capabilities within the Listen Up case management system allowed management to quickly pull reports. The instantly available professional charts, tables and real-time graphics provide a consistent look and feel, and free up time for busy managers to analyze data and report to their Boards rather than create the data from the ground up. “The Board had been requesting more information,” said Thomas-Moore. “The Listen Up service helped us to efficiently provide accurate data.”
The Results
Within three months, the Listen Up Helpline, Ethics Reporting and Case Management solution was fully tested and implemented. Management is able to more efficiently address compliance issues and allegations and more proactively approach potential unethical conduct. Additionally, the company has better control and insight into the organization. And, with more time to analyze data, they can more easily track and communicate emerging ethics and business conduct trends.
The dedicated ethics phone line and web submission site allows for an easy way for their then 50,000 employees to speak up and for the company to treat requests confidentially and respond quickly further building a reputation of fairness and honesty. Information intake is much easier and Thomas-Moore found that they also work more closely with Human Resources and other internal risk managers in their response to allegations. Moreover, the cost of managing the database and call center is less than the cost to run the previous call center – saving money for the company.
The Listen Up Client Services team continues to work with the in-house team to keep the system configured to their organizational structure. Yearly uploads of the company’s HR data from its enterprise software application continues to ensure the system matches their corporate structure and is configured to the company’s needs.
About SAI Global Compliance
For twenty-five years, SAI Global Compliance clients have built stronger corporate cultures and more effective all-around programs with our compliance, risk management and governance solutions. With offices in more than 25 countries, SAI Global provides risk and culture assessments; Code of Conduct reviews, development and training; award-winning, innovative online training; training needs assessments; benchmarking and surveys; hotline, ethics reporting and case management solutions; risk- and region-specific updates, databases, regulatory alerts and newsfeeds; and technology solutions that integrate and connect all aspects of a legal or regulatory compliance program.
*Nancy Thomas-Moore is the Former Director, Ethics and Business Conduct, at this Fortune 500 manufacturing company where she managed the ethics and business conduct program from 1992 until her retirement in March 2009. This case study provides information on her experience as an ethics professional in implementing the Listen Up Helpline, Ethics Reporting and Case Management solution.
