SMB Guide to an Effective E&C Program

Ethics and Compliance Solutions designed for Small and Medium Businesses

In an ever-changing regulatory environment, ethics, risk, and compliance programs continue to grow in importance for small and medium businesses. While complying with these regulations often requires additional investments and resources, the cost of being non-compliant and the resulting impact are often much higher.

Start with our Checklist

NAVEX is your one partner to get started with an E&C program

Whether your organization already has an ethics and compliance program in place or is seeking to establish one for the first time, NAVEX helps small and medium businesses foster values-based ethics, risk, and compliance program that emphasizes ‘doing the right thing’.

Take the first step with our Getting Started Guide >

An effective E&C program, to promote your values, needs the right processes and technologies that are specific to the risks that face your organization.

Don’t have an E&C Program or have a limited one?

At a minimum, E&C programs have:

A strong code of conduct that defines your values
Policies and procedures that are easy to access and enforce
Training about workplace harassment and speaking up to promote your culture
Multiple whistleblower reporting methods for quick response to employee reports

Have an E&C Program in place, but want to move it to the next level?

A next-level program:

Screens and tracks third parties so they don’t expose you to regulatory risks, including suppliers to ensure they align with your ESG and compliance goals
Identifies all the regulations, contracts, and employee actions that require COI disclosures
To gain alignment, it provides training on what constitutes a conflict of interest and how to manage your third-party relationships

Want to create a best in class E&C Program?

Advanced programs take a risk-based approach:

Analytics and reporting to look at data for trends to make informed decisions
Benchmark whistleblowing programs connect with other systems such as HRIS and your greater compliance strategy
Multi-year training plan with value reinforcing topics such as diversity and inclusion, cyber security, and courses that are specific to your company’s ethics and code of conduct

Want to know your programs maturity? Click here to get a free E&C program assessment.

Learn more about effective E&C Programs

USE CASE
Develop a Risk-Based Approach To Third-Party Risk Management

USE CASE
Do More Than Check the Box

USE CASE
Build a Culture of Ethics & Respect

USE CASE
Beyond Simply Managing Documents in SharePoint

USE CASE
Proactive Employee Risk Management

CHECKLIST
Creating a Unified ESG Program 6-Step Checklist for Getting Started