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DATASHEET
NAVEX Global Advisory Services Team
Unmatched Expertise To Transform Your Organization
Today’s ethics and compliance (E&C) environment is more complex than ever. To best protect your
organization, you need guidance from experts with deep expertise who have been in your shoes.
Experts specifically devoted to helping leaders solve their most difficult E&C challenges. You need
NAVEX Global’s Advisory Services team.
The Most Experienced E&C Experts in the World: No other organization can offer the depth and breadth of expertise
in E&C as NAVEX Global’s Advisory Services team. With more than 100 years of combined experience, the team includes
practitioners who have served as corporate ethics and compliance officers for public, private and non-profit organizations,
as well as a former Department of Justice attorney and an author of the 2004 amendments to the U.S. Federal Sentencing
Guidelines.
Unmatched Industry Knowledge: The team’s deep industry expertise is embedded in all of NAVEX Global’s solutions.
They’ve helped hundreds of organizations in more than 40 countries and in every major industry advance their E&C program
performance.
Trusted By Organizations of All Sizes Across All Industries: Clients rely on our team to deliver practical guidance,
assessments and advice—as well as to interface with their C-suite and board to help truly move the needle on
E&C initiatives.
+1 866 297 0224 | info@navexglobal.com | www.navexglobal.com

”
NAVEX Globals’s Advisory Team came to the table with the expertise
that we needed to complete the task at hand. The project was far
too important to trust anyone else. Their analysis of our culture got
management’s attention. The numbers were a wakeup call, but the ‘color’
provided by the focus group insights made the need to improve our game
real. Integrity is now one of our target management objectives.
Our Service Offerings from Abstract to Actionable
Our Advisory Services team helps clients with program, culture and risk assessments, live executive and board training, code
of conduct services and other consulting engagements to strengthen a client’s compliance program. One size does not fit all:
our team adapts their work to each organization they serve.
Ethics and Compliance Officer,
Fortune 500 Utility Company
»»
Code of Conduct and Policies—Writing, Review & Distribution: A code of conduct is the foundational policy of every
company’s E&C program. It is critical for the code to be aligned to an organization’s mission, values and risks. The experts
on our Advisory Services team can work with you to write or modify your code and create a plan for effective distribution
and training. Further, the team can help you create and update key policies to help you ensure they align with your code.
»»
Program Assessments: NAVEX Global’s Advisory Services team provides critical third-party assessments to help ensure
your E&C program is meeting its goals—and mitigating your risks. The team has been refining their assessment approach
since 1993. It has been tested and stood up to the scrutiny of both boards of directors and regulatory agencies. There are
three main types of assessments: program, culture and risk.
• An ethics and compliance program assessment reviews the elements of an organization’s E&C program in light
of standards and best practices. It enables the organization to identify programmatic vulnerabilities and develop an
action plan to address them. It also provides oversight information and assurance for the board of directors.
• An ethics and compliance culture assessment measures employee perceptions of an organization’s program and
culture and enables organizations to identify cultural norms that support or undermine ethical behavior. Perhaps most
importantly, it provides leadership and the board insights into whether the program is effective as seen through the
eyes of employees.
• A compliance and reputational risk assessment identifies and evaluates risks that an organization faces based
on its business structure and operations, competitor practices and countries in which it does business. In their risk
assessment process, the team inventories and evaluates your organization’s mitigation efforts for each risk area and
provides a roadmap for prioritization and execution.
»»
Ethics & Compliance Framework Review: Organizations starting to build their programs often aren’t sure exactly
where to start, or what materials they need to build a program that effectively protects their organization from legal
and regulatory risk. Our Framework Review provides guidance in how best to move forward, and helps organizations
quickly identify and inventory how well their program aligns with current regulatory requirements and industry practices.
Deliverables from this review include recommendations for changes to strengthen the program and prioritize action items.
»»
In-Person Training: Blended learning, where online training is supplemented or replaced by other kinds of collaborative
in-person learning, is a best practice in the E&C world. Provide critical stakeholders—particularly senior executives and
boards—with an unforgettable live training experience. Our training is customized to fit the culture and industry of the
client and can include a “train-the-trainer” component so the organization can continue to leverage best-practice
training strategies.
»»
Investigation Services: One of the most important actions an organization can take in managing its E&C program is to
properly investigate allegations of wrongdoing.
• Investigations Training: Train your investigators how to conduct fair, ethical, legal and confidential investigations of
alleged employee misconduct with our world-class online or in-person investigations training.
• Confidential Investigations: Many organizations have the resources to conduct investigations but sometimes they
need help from a third party, especially when the investigation involves high-level personnel.
»»
On-Demand Expertise: Organizations often benefit from an infusion of ethics and compliance expertise to handle a
particular challenge or provide very specific guidance and strategic advice. Whether it’s a meeting with your board or an
extra set of hands in implementing a key initiative, the team is available to assist.
»»
Custom Benchmarking: Integrity Diagnostics: A custom benchmarking option for your compliance data, our
Advisory Services team uses NAVEX Global’s proprietary, advanced diagnostic tool and compliance data center to help
you understand your program’s historical patterns. After benchmarking your data against peers in your industry, the team
provides you with actionable analysis and reporting to improve your E&C program.
Our Advisory Experience
Our consultants are trusted as some of the best ethics and compliance experts in the world. Our consultants have:
• Started and managed ethics and compliance programs for major corporations
• Served as U.S. Department of Justice attorneys
• Served on the U.S. Sentencing Commission’s Advisory Panel
• Acted as corporate monitors on behalf of the U.S. government
• Conducted assessments on behalf of the U.S. Department of Defense
• Led the Ethics and Compliance Officer Association
• Been chief compliance officers of Fortune 100 companies
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+1 866 297 0224 | info@navexglobal.com | www.navexglobal.com
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Our Advisory Services Team
Carrie Penman: Chief Compliance Officer and Senior Vice President, Advisory Services
Carrie Penman has been with the NAVEX Global since 2003 after four years as deputy director
of the Ethics and Compliance Officer Association (ECOA). Carrie was one of the earliest ethics
officers in America—a scientist who developed and directed the first corporate-wide global
ethics program at Westinghouse Electric Corporation.
Mary Bennett: Vice President, Advisory Services
Mary Bennett, R.Ph. is vice president of Advisory Services and a pharmacist by training. She
previously served as vice president in the Compliance and Integrity office at Caremark, where
she implemented the requirements of one of the first government agreements in healthcare.
Andrew Foose: Vice President, Advisory Services
Andrew Foose, J.D. is a former senior trial attorney in the U.S. Department of Justice’s Civil
Rights Division. Andy is recognized among the country’s leading experts on conducting lawful
and effective internal investigations. He has trained thousands of attorneys, compliance
officers, auditors and human resource professionals on investigative techniques and writing
effective, comprehensive investigative reports.
Ed Petry: Vice President, Advisory Services
Ed Petry joined NAVEX Global in 2004 after almost ten years as executive director of the
Ethics and Compliance Officer Association (ECOA). Ed served on the Advisory Panel to the
U.S. Sentencing Commission. While others may claim to know best practices, Ed’s work with
the ECOA and the Sentencing Commission actually helped establish those practices, as well
as the standards by which they are measured.
Randy Stephens: Vice President, Advisory Services
Randy Stephens, J.D., is a lawyer and compliance specialist who has worked in roles with legal
and compliance responsibility for over 30 years, including operations in Mexico, China and
Canada. Randy has significant in-house experience leading compliance programs and working
for some of the largest and most diverse public and private corporations in the United States,
including Home Depot, Family Dollar and US Foods.
ABOUT NAVEX GLOBAL
NAVEX Global’s comprehensive suite of ethics and compliance software, content and services helps organizations protect their people,
reputation and bottom line. Trusted by 95 of the FORTUNE 100 and more than 12,500 clients, our solutions are informed by the largest
ethics and compliance community in the world.
+1 866 297 0224 info@navexglobal.com www.navexglobal.com
© 2015 NAVEX GLOBAL, INC. ALL RIGHTS RESERVED. 10 21 15