Sunday, September 13
08:30 AM - 10:00 AMBreakout Sessions#001PEffective E&C Risk Management Practice: Program Essentials and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions
Risk Basic#002PDangerous Rationalizations - How Personal Values Present Ethical Risks Christina Glassco, Senior Vice President Corp Ethics & Compliance, Mental Health Systems
- Gain a deeper understanding of the basic roles, resources, and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program.
- Explore the challenges planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes.
- Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management and mitigation.
Ethics Intermediate#003P3... 2... 1... Liftoff! Operationalizing Ethics and Compliance Hillah Culman, Sr. Risk Analyst, Farmer Mac June Lassiter, Sr. Global Compliance Mgr, Ferguson PLC
- Explore how an individual's personal values can shape rationalizations to excuse unethical behavior
- Review top rationalizations used and the ethical risks presented by each.
- Identify best practices which help teams mitigate the risk posed by rationalizations.
Case Study Intermediate#004PCrossing Borders: Globalizing your Compliance Program Marc Ferzan, Senior Managing Director, Ankura Adam Balfour, Genl Counsel Compliance , BridgestoneInternational Basic#005PWhat Compliance Professionals Need to Know about Immigration Law Angelo A. Paparelli, Certified Immigration Specialist, Seyfarth Shaw LLP Nicole Kersey, Managing Director, Kersey Immigration Compliance, LLC Brendan Ryan, Manager, Field Compliance, Dycom Industries, Inc.
- Launching a new compliance initiative could be daunting. This session will provide attendees practical steps in assuring a successful launch.
- Presenters will work with participants on defining a path to full adoption through milestones.
- The discussion will also include measurable results through metrics.
Law Intermediate#006PBuilding Best-in-Class Compliance Programs in Small Organizations Tracy Tracy, VP- Compliance and Legal, CCPO, NovuHealth
- Provide a general overview of the various immigration laws that may impact ethics and compliance
- Discuss how to interact with internal stakeholders to address the ethics and compliance risks that may arise under immigration laws
- Provide guidance regarding how to interact with the federal agencies overseeing immigration laws and respond to audits and investigations
General Compliance Basic#007PWeaving Compliance into the Operations of Your Organization Joseph Agins, Compliance Officer, Sam Houston State Univ Deena King, Chief Compliance Officer, The University of Texas at Tyler
- Small organizations can be viewed as big sources of risk, especially if you are a vendor to large organizations. Let's make sure you have the right pieces in place to ensure you are a credible partner for your clients.
- This session will share helpful strategies for managing big compliance obligations with small teams.
- You CAN manage the audits you have to respond to, as well as the audits you should be performing. Let's talk about ways to tell your highly effective compliance program story through your audit processes.
General Compliance Intermediate#008PIntro to Investigations, Part I Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.Investigations Basic
- According to one source, in 1993 there were 4,369 final rules in the Federal Register. Over the years that number has expanded exponentially. In 2017, there were 101,380 final rules. How can compliance leaders keep up?
- One strategy is to strengthen the compliance front lines in your organization by identifying existing compliance subject-matter experts, building a compliance network, and leveraging that expertise for the good of the entire organization.
- This session will discuss how to weave compliance into the operations of your organization. This approach can result in stronger and more effective compliance function.
08:45 AM - 12:00 PMPre Conference Morning Session
10:20 AM - 11:50 AMBreakout Sessions#009PThe Use of Big Data to Reduce Risk Douglas Dunham, Dir, Ethics & Business Conduct, Lockheed Martin Ellen Daly, Ethics Analysis Sr. Mgr, Lockheed Martin
Risk Intermediate#010PDeveloping an Ethical Culture: West Point's Model Pete Kilner, Chair for Character Development, U.S. Military Academy
- Utilize data analytics to evaluate worksite ethics risk.
- Identify factors that may contribute to increased risk and potential need for enhanced engagement.
- Develop a database and algorithmically assign a risk score for each worksite to prioritize outreach efforts and maximize risk mitigation.
Ethics Advanced#011PChoose Your Own Adventure: Leading a Distributed Team of Compliance Managers Garrett Slate, Regional Compliance Manager, Kiewit Chris Caron, Regional Compliance Manager, Kiewit Construction
- Describes West Point's approach to fostering the character development of its personnel. Participants can reflect upon, critique, and then adopt or adapt elements of the model to meet the needs of their own organizations
- Explains why a solely regulations-based approach to ethics is incomplete. Building and sustaining trust--within your organization and with external partners--requires personnel who will do what's right even when no one is watching
- Offers collective responsibility as the key to building an ethical culture. West Points Honor Code requires Cadets to intervene and report wrongdoing by their peers, which is as difficult for them as it is for everyone else. Yet, they do it
Case Study Intermediate#012PThe Practical Who, What, When, Why and How’s of Third-Party Risk Assessment and Due Diligence Andy Hinton, VP, Global Ethics & Compliance, Retired, Google Sarah Powell, Global Compliance Manager, Pearson Douglas Huberts, Ethics and Compliance Consultant, Eli Lilly & CompanyInternational#013PWhat Compliance Professionals Need to Know about Employment Law Louis Sapirman, VP, Chief Ethics & Compliance Officer, Panasonic Corporation of North America James Oh, Member, Epstein Becker Green, P.C.
- Audience will apply methods used to identify project-specific regulatory risks
- How to deploy and integrate risk mitigation tools across many remote locations
- Interactive scenarios on remotely monitoring compliance activities
Law Intermediate#014PAvoid a Compliance Hangover: Maintain Momentum in Your Compliance Program After the Regulators Have Left Gregory Bates, Counsel, Miller & Chevalier Richard Davies, Global Chief Compliance Officer, Avon Products, Inc. Harvard Smith, Chief Compliance Officer, Universal Corporation
- Provide a general overview of the various employment laws that may impact ethics and compliance
- Discuss trending compliance-related employment issues, including #MeToo, Cannabis legalization, and government agency initiatives focusing on the workplace, such as the NLRB’s position that social media can be used to engage in protected concerted activity and the EEOC’s Equal Pay Act focus, including the requirement that employers submit pay data to the EEOC.
- Provide guidance regarding how to leverage HR to drive success in your ethics and compliance program
General Compliance advanced#015PWebsite Accessibility: Practical Steps to Reduce Risk, Promote Compliance, and Understand the Law Robert Bond, Partner & Notary Public, Bristows LLP Steven Helland, Shareholder, Fredrikson & Byron, P.A. Michele Landis, Co-Founder, Accessible360, LLC
- Provide practical tactics to resist calls from management and the board of directors to undo compliance enhancements after settlements with regulators and external monitors
- Address your organizations realities, such as compliance fatigue at a sensitive time, while maintaining an effective program and demonstrating the programs value to stakeholders
- Learn to identify and protect what’s important, prudently adjust to changing realities, and be a good corporate teammate while shielding your company from recidivism
General Compliance Intermediate#016PIntro to Investigations, Part II Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc.Investigations Basic
- Business and technical context: Explanation of what “accessibility” means for websites, apps, and digital tools. Litigation explosion
- Action items to increase accessibility. Demo of screen-reading tool JAWS
- Legal: Highlights of the Americans with Disabilities Act and other laws. Top recent cases
01:00 PM - 04:45 PMPre Conference Afternoon Session
01:20 PM - 02:50 PMBreakout Sessions#017PThird Party Risk Management John Bruns, Assist. VP - Compliance, AT&T
Risk Intermediate#018PEthical Leadership and Trust-Tools all CCOs Need in Their Toolkits to Build a Culture of Integrity Patrick Gnazzo, Principal, Better Business Practices Donna Boehme, Principal, Compliance Strategists LLC Ellen Hunt, SVP, Audit, Ethics & Compliance Officer, AARP
- Proven key principles for improving the effectiveness of a third-party risk management program. Discuss principles based on current third-party risk management program and the partnership between business units and the Chief Compliance Office.
- We will address several critical areas such as senior leadership support, proactive risk identification, risk-based program structure, business partnership and ownership, and the use of Key Risk Indicators and technology.
- Well provide the audience with some practical actions they can take back to their companies to immediately start to elevate their third-party risk management game regardless of the level of maturity of their current program.
Ethics Advanced#019POrganizational Integrity - The Bedrock of Compliance & Ethics Jonathan Aronie, Partner, Sheppard Mullin Richter & Hampton LLP A. Joseph Jay, Special Counsel, Cadwalader, Wickersham & Taft LLP
- Why Trust, building a high-Trust workplace, and Ethical Leadership must be an important part of the CCOs SME and work
- Discussing the link between Ethical Leadership, incentives, and high-Trust Cultures. Also discover a groundbreaking tool that can help CCOs assess trust weaknesses in their companies
- A review of the Wells Fargo and General Motors cases and an application of Trust and Ethical Leadership as demonstrated in these two case studies