NAVEX

Rubio’s Restaurants, a company with over 3,250 employees, was facing a challenge in understanding the risks that the company faced. The director of internal audit, Dennis Kreta, wanted to improve the way employees communicate their concerns to management. The company needed a compliance system that would keep employees safe and happy. Kreta knew that he needed greater insight into any possible risk issues the restaurant faced – from employment concerns to possible financial misconduct.

The city of Black Hawk, Colorado, despite having only 80 official residents, hosts 21 casinos and can accommodate up to 15,000 people during a busy weekend. This unique situation makes the city's government structure similar to that of a larger city, with multiple departments each assigned to different responsibilities. The city manager struggled to establish conformity in many of the human resources practices and training material pertaining to employees’ duties, procedures, and policies. The city also looked to protect itself from litigation stemming from a terminated employee. An additional obstacle was the lack of computer literacy among all city employees due to departments not regularly utilizing computers.

San Juan Regional Medical Center (SJRMC) was struggling with a slow and inefficient policy management process. Policies were taking up to six months to a year to pass through various levels of document owners, reviewers, approvers, and committees before becoming official. The hospital lacked a centralized system for managing policies across its seven healthcare facilities located outside of the main hospital. Additionally, many of their policies existed in a solely typewritten format, and their document management system for electronic policies did not provide reminders to update documents or possess the capability for a structured review and approval cycle.