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Alectris’s field site engineers fill thousands of work orders globally each year. They spend most of their time in the field, performing preventative and corrective maintenance. They take care of hardware made by various producers; the assets are very complex. The field engineers need to resolve issues quickly and efficiently, ideally on their own, without engaging anyone else. They need robust onboarding and swift access to manuals and documentation to do that. Senior and junior engineers need to share information on how to proceed with tasks. When a senior engineer leaves the company, their tribal knowledge must be retained. Alectris has used Microsoft SharePoint to keep some manuals and documentation in one place. It had several disadvantages. The engineers need to access everything on the go. They could not reach the cloud drive when they were in a place with low or no connection. The manuals and documents were uploaded by backoffice staff. They didn’t have a perfect overview of what the engineers needed. Some simple tasks were not documented. They have raised questions from junior engineers and kept the seniors busy answering them.

Samaritan Health Services (SHS), a regional network of Oregon hospitals, physicians, and senior care facilities, was facing a challenge in maintaining compliance with all governmental mandates. The organization had a small compliance department, headed by Corporate Compliance Officer Colleen Fair, which was responsible for ensuring compliance for all 5,000 SHS employees. The department was using a toll-free hotline through a third-party service for anonymous employee reporting. However, this service had limitations as it lacked web-based reporting functionality and a case management system that would allow compliance staff to add data from conversations that did not come to her attention through the hotline.

Eggleston Services, a non-profit organization providing services for individuals with disabilities, was facing challenges in tracking records against two major goals - ensuring the safety and security of their employees and the individuals they assist, and maintaining the facility’s accreditation via the Commission on Accreditation of Rehabilitation Facilities (CARF). The organization was using a cumbersome and outdated paper process for case management, which was not consistent and did not provide meaningful reports for use by senior management and outside agencies.

Endesa, one of the largest electric power companies in the world and Spain’s largest utility, needed to implement corporate governance mechanisms in response to mandates. However, for Spain’s largest electric utility, a mere hotline was not sufficient. When Endesa began searching for a reporting mechanism that could handle sensitive ethics and compliance issues around the world, the company turned to NAVEX Global. Initially, it was a federal mandate that led Endesa to consider an external hotline provider, but the company quickly realized that it made good business sense to use the hotline as part of an enhanced set of internal controls and reporting options.

Fulton Financial, a mid-sized bank, wanted to take a more proactive approach to risk. The company needed a system that would increase employee confidence, provide insight into trends indicating risk issues, and facilitate inter-departmental collaboration to address concerns. Fulton initially used an internal system to meet federal requirements and identify fraud exposure. However, this system did not inspire confidence among employees, had limited functionality, and was difficult to staff. The company sought a more efficient solution.

Jefferson County Public Schools (JCPS) is a large school system with over 100,000 students and 155 schools. With a budget of $1 billion, the school system is committed to safeguarding every taxpayer dollar. However, with over 18,000 employees, there is always a risk of financial misconduct or fraud. The school system needed an effective means for employees to report any concerns they may observe regarding misconduct, financial fraud or other issues. They were looking for a hotline and integrated case management system that would be flexible, high quality and easy to work with.

TELUS, a national telecommunications company in Canada, was facing a challenge in managing its ethics and compliance program. The company's hotline reporting system was limited and inefficient, with reports going directly to a single desk and being tracked via spreadsheets. As a small department, providing 24/7 access, multilingual capability, and online access from anywhere in the world was a significant challenge. The company needed a more structured, centralized approach to ethics and compliance that could efficiently identify and resolve issues. They also wanted to encourage employees to adopt an 'ask first, act later' mentality towards ethical challenges.

Texas Roadhouse, a restaurant chain headquartered in Louisville, Kentucky, was in need of an upgrade for its in-house hotline system. The company had always stressed the value of a fun work experience for employees, but that experience was sometimes affected by behavior that went against the company’s values - including issues of ethics, discrimination or other negative behaviors. In order to identify and prevent those issues from happening, the company provided an employee hotline and kept track of cases using hand-written notes. However, this system was not ideal and the company had outgrown it. They decided to find a vendor that was best-in-class for their industry.

The E.W. Scripps Company, a diverse media concern with interests in newspaper publishing, broadcast television stations, and licensing and syndication, was facing challenges in encouraging employees to report ethical issues in the workplace. The company had a company-run hotline for issue reporting and managed the cases with a spreadsheet and paper file system. However, this approach posed challenges that Scripps decided to solve by outsourcing. The company wanted to gain a more consolidated view of what was happening in the company.

At the end of 2010, Conn’s Vice President of Enterprise Risk Management Byron Smith began searching for a world-class provider to help address hotline and communication opportunities with its associates. Conn’s sought a solution to replace three different hotlines across the company and corral hotline information into a single repository for analysis to provide its more than 4,000 associates additional methods to report on issues and events within the organization. The company’s previous system didn’t combine all the information; it simply handled each report on an individual basis without an overall systematic approach. Additionally, the team wanted to ensure that they could effectively capture a few key pieces of information with regularity.

Rubio’s, a restaurant chain with over 200 locations and 3,250 employees, wanted to increase its understanding of the risks it faced. The company was particularly interested in improving the way employees communicate their concerns to management. Rubio’s already used NAVEX Global’s hotline to meet federal whistleblowing standards, but it was intended only for reporting major ethical issues. The company wanted to expand the use of the hotline as a comprehensive communication tool for reporting anything that might compromise the wellbeing of employees and other stakeholders. This would provide greater insight into potential financial misconduct and other risk issues.

The Texas A&M University System, one of the largest and most complex systems of higher education in the United States, was facing a challenge with its hotline systems. The hotlines, which served various purposes such as providing a confidential place for employees to clarify policy and report concerns, were scattered throughout the A&M System. There were hotlines for security, student safety, research impropriety, human resources, ethics, and financial fraud, among others. However, these hotlines were managed by each of the universities and agencies within the A&M System, resulting in a lack of a big picture perspective. The university system realized that it should track these risks as a system rather than piece by piece, but each university still needed to manage its own sub-set of issues.

The YMCA of Delaware was seeking a system that would allow for an anonymous feedback loop, which would be extremely useful for their operations. They needed a platform that would allow them to post follow-up questions and receive responses from the person who filed the report. This was crucial for them to increase their efficiency in responding to and resolving concerns, and to boost confidence and satisfaction within the YMCA community.

Consumer Credit Counseling Service of Greater Atlanta (CCCS) is a nonprofit agency dedicated to helping families achieve financial stability. With 33 locations across four states serving more than 500,000 consumers annually, CCCS faces numerous regulatory, internal, and geographical issues when managing policies. The agency is governed by a diverse, community-based Board of Directors and employs professionally certified counselors. With the growing need for financial counseling and the expanding oversight of financial services regulators, maintaining their reputation and meeting all compliance laws is one of the agency’s major objectives. The compliance challenges facing CCCS include numerous federal government regulations, quarterly reporting to National Foundation for Credit Counseling (NFCC), an audit by the Council on Accreditation (COA) every four years, multiple state audits, and monthly internal policy and procedural assessments.

Eastern Idaho Regional Medical Center (EIRMC) was struggling with their manual policy management system. The process was time-consuming, costly, and inefficient. The hospital was spending over $14,000 per year on policy committee meetings alone. Additionally, the Joint Commission's evolving view of policy and procedure management increased the need for a more efficient system. The commission now expects organizations to not only have policies in place but to use these policies to drive their practice. This new requirement made it more important than ever for EIRMC to have their policies easily accessible, well-organized, and not in conflict with one another, which was difficult to achieve with their manual process.

Methodist Healthcare System of San Antonio (MHS) was using a document management system that was not efficient. The system used primitive search methods, did not support uploading of documents and routinely lost or truncated documents within the system. This caused great difficulty during essential Joint Commission surveys. The Joint Commission audits identified areas of weakness in MHS’s policy management system. Surveyors discovered that employees could not find documents in MHS’s electronic policy manager and some policies were not kept current. Additionally, policy documents were difficult to find and difficult to edit. These shortcomings alerted MHS officials to the need for improved policy management.

The Milford Police Department (MPD) was struggling with an outdated policy and procedure management system that relied heavily on paper folders. This made it difficult for officers to locate documents and determine if they were current. The system was not in line with state accreditation standards, which required a more efficient and organized method of managing policies and procedures. The department needed a solution that would allow them to easily access, track, and archive their policy documents.

Sumner Mental Health Center (SMHC) was facing challenges in managing their policies due to their loose leaf approach. The employees had to physically search for the binder that held the policy they needed. Once the binder was found, it was often difficult to determine if the policy was up to date and accurate. It also took management significant time to find, review, and approve new policy documents. The organization needed to move HIPAA policies from binders and desk tops to an electronic management system that allowed access to all employees, barred outdated policies from being used and prevented current policies from getting lost while continuing to comply with HIPAA requirements.

Ocwen Financial Corporation, a large mortgage company in America, was facing a demanding regulatory environment. The regulatory expectations in the financial services industry had risen dramatically, and the company was held to a high bar. They faced regulatory demands that required a new, more robust governance process for the company’s policies. They needed a solution that would meet the demands of regulators as well as deliver significant business value. The company realized that their current tools would not be sufficient to satisfy their business needs. They needed a program built for policy management so they could manage all of their company’s policies and procedures consistently and efficiently.

Island Hospital’s accreditation process requires them to keep detailed records on hospital procedures – including violations and remediation. After receiving the emails, department managers and safety officers would exchange dozens of emails discussing how to address the violation. “We would accumulate 40 to 60 emails per issue. We were burying critical information – and sometimes staff wouldn’t take action because there were no clear next steps.” said Sheikh. “It was a very chaotic and disorganized process.”

When Jeff Killeen stepped into the role of the first Chief Compliance Officer at Bumble Bee Seafoods, he had a tall order in ahead of him: consolidate and place as many compliance functions as possible under one roof. The largest branded shelf-stable seafood company in North America, Bumble Bee has more than 1,500 employees and operations spread out from its headquarters in San Diego to fish suppliers in Southeast Asia. Killeen needed to formalize the company’s ethics and compliance program to address Bumble Bee’s specific industry complexities, resonate across the company’s global operations, use resources conservatively and wisely, and most importantly, help the company maintain a culture that supported business values as well as objectives.

Serco Group, a leading provider of public services, faced a major crisis in 2013 when it was accused of overbilling and misreporting data on two important UK government contracts. The scandal had a significant impact on the company's reputation and share prices, leading to the dismissal of senior leadership. The company then began a process of corporate renewal, focusing on recruiting new senior leadership, improving transparency in customer relationships and commitments, enhancing governance, internal controls, oversight, monitoring and other systems, and renewing focus on culture and ethics.

Sanford Health, the largest rural nonprofit health care system, was facing a significant challenge in setting and managing policies across its 43 hospitals and nearly 250 clinics. Each of Sanford’s major hospitals was using a separate system for writing, updating and distributing policies. Over time, this became an increasingly disorganized approach. The smaller clinics in the Sanford system had to rely on paper copies or locally stored electronic versions of policies that were scattered, hard to track down and sometimes outdated. It was impossible to audit the policies and ensure employees were aware of the latest guidelines. When it came time for Sanford leadership to revise policies or draft new ones, documents would be mailed from one person’s desk to another, with multiple versions getting mixed up—a frustrating arrangement that was almost impossible to track.

Valero Energy Corporation, North America’s largest independent refiner and marketer, operates 16 refineries and more than 5,000 retail venues. The Port Arthur refinery, located in southeastern Texas, employs over 800 employees and achieves a total production of 95,000 barrels per day. To create a safe workplace that meets OSHA’s Voluntary Protection Program (VPP) standards, as well as positively execute Valero’s best practice standards, Port Arthur needed a way to keep their policies and procedures accessible, orderly and accurate. Given the tough economic times, the refinery was also looking to implement a solution in the most cost-effective way possible. The Port Arthur refinery is only one of Valero’s 16 refineries. The campus consists of four complexes and more than 800 employees. In 2007, Valero corporate headquarters sent policy writers to Port Arthur to spend months rewriting and updating the refinery’s operating manuals. These procedures were maintained in a series of spreadsheets and paper copies stored at each complex and varied based on managerial preference. When the writers finished, Reggie Ramirez, Port Arthur’s Process Safety Management Coordinator, wanted to see that the procedure documents never again fell into disarray. Unfortunately, Port Arthur had no system to consistently manage the newest manuals.

Cummins, a global power leader with approximately 46,000 employees worldwide, was facing the challenge of maintaining a consistent communication structure across its global operations. The company was outgrowing its old vendor and needed a system that could support its Code of Conduct policies on a global scale. The company launched a Six Sigma project to determine the necessary requirements for an ideal system. As an international company, Cummins needed a comprehensive reporting system to maintain a consistent workplace culture around the world.

Highland Rivers Health, a large behavioral healthcare provider in Georgia, was struggling with an outdated, paper-based policy management system. The organization, which operates 36 facilities and employs nearly 700 people, had to rely on individual employees at various locations to maintain policies and procedures. The process of converting paper policies to PDFs and uploading them to the intranet was time-consuming and inefficient, often resulting in policies being outdated by the time they were made available online. The organization also had to maintain a team to monitor version tracking, which required about 15 people to travel once a month to review and revise all policies. This was not only a drain on resources but also a major challenge when it came to searching for and providing evidence for accreditation.

PNC Bank, a leading provider of financial services in the United States, was facing challenges with managing their policies and procedures. They had made significant investments in Lotus Notes® and an intranet website to manage their documents, but neither system met their high standards. The overlap between the applications created confusion and version control issues. From a compliance perspective, the lack of clarity, consistency, and readership metrics was an unacceptable risk for the institution. They needed a document management system with intuitive versioning controls, powerful search and tagging features, and compliance-savvy reporting tools. In addition to these internal challenges, PNC Bank also needed to comply with a wide variety of regulations such as The Bank Secrecy Act of 1970, Sarbanes–Oxley Act of 2002, Anti-money Laundering (1986, 1992, 1994, 1998), and Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

Primetals, a company with more than 40 company offices, engineering, workshop and service centers in close to 20 countries, faces a variety of potential business risks. In emerging markets, some employees encounter different cultural practices that can open up supply chain risks such as bribery, corruption and kickbacks. Because of these risks, Primetals saw the need to gather input from employees to adhere to their values of transparency and compliance. While the company encourages employees to report potential issues through their open door policy, Primetals also understood that employees needed to have more options — including an anonymous hotline and case management system.

Soneva, a luxury resort group with properties in the Maldives and Thailand, was facing a challenge in ensuring that its employees, referred to as hosts, felt safe and secure. The company had open lines of communication between hosts and management, but there were instances when female hosts were hesitant to use these direct lines to report sensitive issues or discuss concerns. The company wanted to ensure that hosts would always feel comfortable to approach the company to discuss any issue, so they decided to look for a way to enhance the existing lines of communication by providing a safe way for hosts to make a report directly to the senior leadership team.

The National Council on Compensation Insurance (NCCI) faced the challenge of building corporate training programs that align with the organization’s core objectives and meet regulatory obligations. Each year, the company's director of talent development works with an internal corporate compliance committee to evaluate the company’s current needs and regulatory obligations to identify gaps where training programs are needed. The committee then decides on a plan for the year, leveraging both online training courses and training developed in-house.