NAVEX Global：2023年风险与合规热线及事件管理基准报告（英文版）（75页）.pdf

1、2023Risk&ComplianceHotline&Incident ManagementBenchmark Report1 /2023 Risk&Compliance Hotline&Incident Management Benchmark ReportNAVEX.COMContentsIntroduction 2How We Calculate Our Benchmark Metrics 3Executive Summary 4Key Findings 12 1.Report Volume 13 2.Report Intake Method 21 3.Report Benchmark

2、Categories&Issue Types 23 4.Anonymous vs.Named Reporting 33 5.Follow-Up Rate to Anonymous Reports 40 6.Substantiation Rate 42 7.Case Closure Time 50 8.Time Difference Between Incident&Report Date 60 9.Report Outcomes 63 10.Appendix 66About the Authors 72Prepared byCarrie PenmanChief Risk and Complia

3、nce Officer NAVEX2 /2023 Risk&Compliance Hotline&Incident Management Benchmark ReportNAVEX.COMAn efficient and trusted mechanism by which employees can anonymously or confidentially report allegations of suspected or actual misconduct is the hallmark of a well-designed compliance program.1 Ongoing a

4、nalysis and benchmarking of reporting data helps organizations answer crucial questions about their risk and compliance program including:Do employees know about our reporting channels?Are our communications reaching the intended audience and having the desired effect?Does our culture support employ

5、ees who raise concerns?Are our investigations thorough and effective?Do we need more training on risk areas,reporting processes or fear of retaliation?Do we need to review or update our policies?Tracking internal data to help answer these questions is important.Getting a broader perspective on how y

6、our performance matches up to market and industry norms is invaluable.To help,NAVEX anonymizes the data collected through our reporting and incident management systems every year and creates this report to share with all organizations not just our customers.Because we have the worlds largest and mos