Monday, September 13, 2010

Opening Remarks 8:15 – 8:30 am

General Session 8:30 – 10:30 am

Part I: TBA
Speaker TBA

Part II: Tackling Social Networking Risks
Adam Turteltaub, Vice President of Membership Development, The Society of Corporate Compliance (moderator)
Orrie Dinstein, Chief Privacy Leader and Senior IP Counsel, GE Capital
Kimberly Cilke, JD, Assistant General Counsel, The Go Daddy Group, Inc.

11:00 am – 12:00 pm
Breakout Sessions 100

101 - Ethics/Compliance Benchmarking - Best Practices and Data Trends
Nick Ciancio, President, Global Compliance International, Global Compliance
Carrie Penman, Vice President, Ethical Leadership Group

1. How do you know if you are getting the right numbers and types of calls through your ethics hotline/helpline?
2. Trends in helpline data acress industries
3. How should you interpret findings and trends, and how do those finding correlate to actions?

102 - In House Counsel and Compliance Officer: Can Both Hats Sit on the Same Person?
Russ Berland, JD, Of Counsel, Stinson Morrison Hecker LLP
Ronald E. Berenbeim, Principal Researcher, Business Ethics, The Conference Board

1. Should the compliance function be housed within the legal department?
2. What do the Model Rules of Professional Conduct say about how attorneys should act as compliance officers?
3. Under what circumstances do the roles of in house counsel and compliance officer come into conflict?

103 - Driving from Good to Great - One Ethics & Compliance Department's Three-Year Strategy for a Successful Journey
Steve Koslow, JD, SVP, Chief Ethics & Compliance Officer, CUNA Mutual Group

1. One company's three-year blueprint for moving an ethics and compliance department from "Good" to "Great"
2. How to build and use risk assessment to identify where compliance functions work and where they need enhancement
3. Tools and techniques to measure and report on the status of initiatives, performance and program effectiveness

104 - International Panel: The Differences Between European and American Compliance and How to Overcome Them
Andrijana Zrinji, Compliance Officer, Officer of the Management Board, Triglav Insurance Company Ltd.
Haydee Olinger, Corporate Vice President, Global Compliance Officer, McDonald's Corporation

1. The impact of business and legislation environment in European Union and South East Europe on compliance practices
2. Comparing compliance principles from US FSG and compliance approach in Europe; connecting similarities and overcoming challenges
3. Case for Triglav Insurance Company Ltd. - building compliance in one of the region's biggest financial companies

105 - DOL Compliance: Preparing for Increased Enforcement
Jennifer Swayze, GPHR, SPHR-CA, CPP, CEBS, RPA, CMS, Risk Management Compliance Analyst, Paychex

1. Update on current regulatory and legal changes
2. Overview of FLSA and FMLA requirements
3. Conducting FMLA and FLSA compliance audits

106 - RISK TRACK SESSION:  Privacy and Data Protection
George B. Breen, Epstein Becker & Green, P.C.
Marti Arvin, Esq., JD, CHC-F, CPC, CCEP, CHRC, Privacy Officer, University of Louisville

1. Review the rapidly expanding federal and state regulatory landscape
2. Best practices to secure information and protect against a data breach
3. Effective compliance strategies and tactics for responding when a breach occurs, including litigation planning

Luncheon Session 12:00 pm – 1:00 pm

1:30 – 2:30 pm
Breakout Sessions 200

201 - Writing Policies, Making Sense
J. Stuart Showalter, JD, MS, Chief Compliance Officer, FMOL Health System

1. Understand how to write policies that are clear and enforceable
2. Learn to avoid legalese, ambiguities and pitfalls
3. Practice policy-writing skills with practical tools

202 - Beyond the Hotline
David Childers, CIPP, CEO  & President, EthicsPoint

1. Best practice guidance for collecting reports of code of conduct violations
2. Insight into updated trends and benchmarking data relating to fraud and other misconduct
3. Practical advice for incorporation social media into your ethics and compliance programs

203 - Practical Training Challenges for Improving Compliance Execution
Michael Bednar, Sr. Director, Operations Compliance, Wal-Mart, Inc.
Chad E. Ducote, R.Ph., M.S, Divisional Compliance Director, Mississippi River Delta Division, Wal-Mart

1. Examine the challenges faced while training on the importance of compliance execution
2. Discuss training techniques to create long term behavior change
3. Measuring the effectiveness of compliance training

204 - Culture and the Science of Compliance: Behavioral Science Weighs in on Corporate Culture
Scott Killingsworth, JD, Partner, Bryan Cave LLP

1. Learn how corporate ethical culture has been proven to influence employee compliance
2. Learn how promoting ethical culture enlists the loyalty of the "good guys" and leads to sustainable compliance even "when no one is looking" and in times of stress
3. Learn how to promote specific cultural traits that most dramatically affect compliance

205 - Nonprofits and Compliance
Donna McPartland, CCEP, CIPP, Corporate Counsel Graduate Management Admission Council

1. This session will discuss international compliance for non-profits, including anti-corruption, export, sanctions and anti-boycott, privacy and grant making
2. Tax Compliance, including the 990 and the IRS initiatives, including corporate governance, employment tax and international activities.
3. Compliance tools

206 - RISK TRACK SESSION:  Records and Information Management
Gene Stavrou, Associate Director, Global Records Management, Kraft Foods

• Building an effective Records and Information Management infrastructure
• Managing Records and Information:  Lifecycle, rules, and accountability
• Effective risk management practices and being prepared for litigation, investigation, and audit

3:00 – 4:00 pm
Breakout Sessions 300

301 - Working with Uncle Sam: Compliance Issues that Arise When Working Among Federal Employees
John Szabo, Senior Attorney (Ethics), U.S. Nuclear Regulatory Commission
Steve Epstein, Chief Counsel, Ethics and Compliance, The Boeing Company

1. Help prevent ethical/compliance violations by informing you of pitfalls to avoid and ways to deal with problems raised by interactions between private sector and government employees
2. Improve your compliance program by training and informing employees of the government rules on conduct
3. Provide remedies to potential and real violations of the government conduct rules

302 - Compliance Program Integration: Building Empowerment and Accountability into the Business
Kevin Espinoza, Executive Director, Stiefel, a GSK Company

1. Discussion on how to move your organization from policing to collaborating with the business
2. Examples of compliance and business collaborations for improved monitoring activities
3. An examination of training effectiveness and opportunities for commercial ownership

303 - Monitoring for Retaliation - An Essential Part of Your Compliance and Ethics Program
Victoria Sweeney, PIC, Ethics and Compliance, KPMG LLP
Carrie Penman, Vice President Ethical Leadership Group, A Global Compliance Company

1. The session focuses on the difficult task of preventing or proving retaliation in your organization without putting the reporter in more jeopardy
2. Using ARS keypad voting, a hands-on data analysis exercise and discussion of real examples of retaliation, participants will learn to identify and respond to red flags
3. This practical session is facilitated by experienced ethics and compliance professionals with practical tips developed while implementing their own retaliation monitoring program

304 - The One Page Compliance Program
Deena King, CCEP, Managing Director, Pure Knowledge Consulting, LLC

1. How a compliance program can be reduced to one page
2. The value of indexing
3. Present a variety of cross-industry examples for interactive discussion

305 - Anatomy of an Internal Investigation
Larry Parsons, JD, CCEP, Vice President and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc.

1. Learn how to prepare for and conduct an internal investigation
2. Review privilege issues related to the reporting and documentation of investigation results
3. Completing the investigation and implementing corrective action

306 - RISK TRACK SESSION:  Conflicts of Interest and Gifts and Entertainment
Rebecca Walker, Partner, Kaplan & Walker LLP

1. Conflicts of interest impact all organizations – how can we deal with the risks that conflicts present in a practical and effective way?
2. Best practices in assessing conflicts risks
3. Policies, pre-approvals, questionnaires, audits – what are best practices in conflicts controls?

4:30 – 5:30 pm
Breakout Sessions 400

401 - Third Party Ethics & Compliance Programs as Good for Business
Marjorie W. Doyle, JD, CCEP-F, Principal, Marjorie Doyle & Associates, LLC
Diana M. Lutz, JD, Chief Compliance Officer and Managing Director, The Steele Foundation

1. What you can do as a vendor to satisfy your customers that you are ethical and compliant
2. How customers and vendors are working together to make sure they have strong ethics and compliance programs
3. Practical steps that vendors can take to satisfy their customers that they will live up to the customers ethics and compliance values

402 - Find Your Story and Bring Life Back to Your Program
Andrew Mitton, Compliance and Ethics Program Designer, Vellum LLC
Jennifer Teague

1. Learn how to build your program around your company story
2. Learn how to create an ethical culture
3. If your program sits on a shelf collecting dust, then this session is for you

403 - Compliance and Ethics: An International Perspective
Joseph E. Murphy, CCEP, Of Counsel, CSLG, Co-Founder, Integrity Interactive, Co-Editor, Ethikos
David Nitkin, President, EthicScan

1. Cross cultural differences
2. Permissive regulations versus compliance laws
3. Best practices

404 - Combating Culture Conflicts: Applying J&J’s Credo to Past (Tylenol) and Present Crises
Paul Fiorelli, JD, MBA, CCEP, Co-Director, Cintas Institute for Business Ethics, Xavier University

1. Review the Johnson & Johnson Credo
2. Relive the Tylenol incident
3. Rethink the Importance of Corporate Culture

405 - Tone at the Top - Is it in a Minor or Major Key? Does it Matter?

1. The minor key and discord
2. Discord, I though we were all singing in harmony?
3. When is the song too long or when should I just dance away?

406 - RISK TRACK SESSION:  Mergers & Acquisitions
John D. Soriano, Vice President-Compliance and Deputy General Counsel, Ingersoll Rand

1. Importance of Due Diligence
   
2. Investigation, Disclosure and Remediation Before and After Closing
   
3. How to integrate ethics and
   compliance programs

Tuesday, September 14, 2010

Opening Remarks 8:15 – 8:30 am

General Session 8:30 – 10:30 am

Part I:

Part II: Compliance from the Worker’s Perspective
Adam Turteltaub, Vice President of Membership Development, The Society of Corporate Compliance and Ethics (moderator)
Marsha Ershagi, LRN
Caroline McMichen, Molson-Coors

1. Hear what the latest learning is on what makes for effective adult educational design
2. Get a better understanding of the multiple perspectives office and manufacturing workers bring, and how to speak directly to them
3. Learn about effectively addressing young, technologically immersed workers

11:00 am – 12:00 pm
Breakout Sessions 500

501 - Impact of Compliance Programs When Government Knocks - Compliance Programs in Real Cases
Win Swenson, Partner, Compliance Systems Legal Group

1. Does it really even matter to the government whether you have a good C/E program if your company has a non-compliance problem?
2. How does the government evaluate programs? Do they go beyond the "paper" to find out whether the company's program is actually working?
3. What are some do's and don'ts if you are in front of the government?

502 - Transnational Fraud and Corruption Risks: Impact and Avoidance in International Development Aid-financed Business
David G. Hawkes, Head of Special Litigations, World Bank Group Integrity Vice Presidency
Paul Haynes, Head of Voluntary Disclosure Program, World Bank Group

1. Recent fraud and corruption cases in international development-financed business
2. Impact of multi-jurisdictional enforcement action
3. INT's voluntary disclosure program and other innovative compliance tools

503 - Case Study: Investigations System Selection & Implementation
Ray Gerard, MBA, President, Customer Expressions (i-Sight)
Lyn Scrine, Ethics Director, Allstate

1. Key considerations for an effective system (for Allstate)
2. Key success factors to consider for a smooth implementation
3. Results realized from new system "ROI"

504 - Tone Your "Middle" in 5 Minutes a Day
Mary-James (Jami) Young, Senior Regulatory Counsel, Vectren Corporation

1. Tone the "middle" - manager and supervisors - in 5 minutes a day
2. Assure that the tone at the top makes its way throughout the organization
3. See proven strategies for integrating and energizing the "middle" into the culture of compliance

505 - The Role of Internal Audit in the Identification and Reporting of Ethical Issues
Dr. Rodney Irwin, FCA, TNT NV

1. The identification of ethical issues by internal audit
2. The reporting of ethical issues by internal audit
3. Gaps and Opportunities - a suggested way forward!

506 - RISK TRACK SESSION:  Government Contracts and Relationships
Eric R. Feldman, CFE, CIG, Senior Advisor to the Director for Procurement Integrity, National Reconnaissance Office
Steve A. Linick, Director, National Procurement Fraud Task Force, U.S. Department of Justice

1. Obtain the federal government perspective on implementing the new FAR requirements related to mandatory disclosure and corporate ethics programs
2. Learn how to more proactively engage federal customers on ethics and compliance issues
3. Confused by the FAR requirements related to Ethics and Compliance? Learn how one federal agency with high-value contracts is approaching these requirements with its industrial partners

1:30 – 2:30 pm
Breakout Sessions 600

601 - Practical Applications of the Code of Ethics for Compliance & Ethics Professionals
Marjorie W. Doyle, JD, CCEP-F, Principal, Marjorie Doyle & Associates, LLC
Urton Anderson, Chair, Department of Accounting and Clark W. Thompson Jr. Professor in Accounting Education, McCombs School of Business

1. How the Code of Ethics for Professionals can help in making tough decisions
2. How others are using the Code
3. How to educate your team and your management on the Code

602 - Managing Regulatory Compliance in a Global Environment
Rob Shoemaker, Head of Global Compliance, GE Transportation

1. Establishing a strong regulatory framework within domestic and emerging markets
2. People, processes, and tools to facilitate regulatory compliance programs
3. The importance of strong business leaders, and why they need to own regulatory compliance

603 - Making the Grade: A Case-Study on the Transformation of Bausch & Lomb's Code of Business Conduct and Ethics
Courtney Barton, CCEP, Compliance Manager, Bausch & Lomb
Susan Roberts, Corporate Vice President and Chief Compliance Officer, Bausch & Lomb

1. Identifying what you really need to have in a Code of Conduct
2. Using global employee focus groups to draft the Code and engage employees 
3. Fully engaging management in implementation, training and certification

604 - Anti-corruption/Anti-bribery: Getting Unstuck: Tactics for Defining and Executing Systematic, Risk-Based Third-Party Due Diligence for FCPA Compliance
Kenneth Kurtz, CEO, The Steele Foundation

1. Go beyond high-level understanding of FCPA to identify concrete tools and tactics for ensuring third-party due diligence compliance
2. Receive nuts-and-bolts guidance on cost-effective, risk-based approaches to defining and vetting overseas partners
3. Leverage technology and third-party inventory techniques to create a robust due diligence program with minimal administrative and financial burden

605 - RISK TRACK SESSION:  International Trade and Exports
Geoffrey M. Goodale, Senior Counsel, Foley & Lardner LLP
James E. Bartlett, Senior Counsel, Export/Import, Northrop Grumman Corp.
Steven W. Pelak, National Export Coordinator, US DOJ

1. Hear about the U.S. Government's increasingly aggressive enforcement of U.S. trade laws
2. Learn about best practices in international trade compliance and how to implement them
3. Obtain insights on how to minimize exposure to trade-related penalties

3:00 – 4:00 pm
Breakout Sessions 700

701 - The Risk and Rewards of Social Networks
Adam Turteltaub, Vice President of Membership Development, The Society of Corporate Compliance and Ethics and The Health Care Compliance Association
Gracie Renbarger, Dell, Inc.

1. Learn the evolving risks of social networking
2. How companies are managing those risks
3. Explore ideas for leveraging this technology to support your compliance efforts

702 - Recent Compliance Investigations
Stephen Martin, General Counsel & Chief Compliance Officer, Corpedia

1. How to handle government investigations
   
2. Learning from the past - recent compliance investigations
3. A roundtable discussion of compliance failures - learning from the past

703 - E-Verify: The Ghost in the Verification Machine
Kevin Lashus, JD, Senior Attorney, FosterQuan, LLP

1. Addressing the risk of E-Verify related data mining
2. Setting-up a comprehensive compliance plan to address employment verification exposure
3. Protecting the attorney/client privilege during a mitigation/remediation process

704 - Deploying GRC Technology
John J. Chico, Global Compliance Manager, Johnson Controls, Building Efficiency

1. Learn benefits of GRC technology
2. Understand why planning and coordination is essential
3. Enhance deployment plans through lessons learned

705 - RISK TRACK SESSION:  Antitrust and Competition
Theodore L. Banks, President of Compliance & Competition Consultants, LLC

1. Identifying risk areas related to each job or division
2. Approaching the subject on a global basis
3. Embedding controls and education into business policies and procedures
4. Identifying organizational risks related to antitrust and competition
5. Global challenges and approaches
6. Managing the Risk: Controls and Education

4:30 – 5:30 pm
Breakout Sessions 800

801 - Internal Audit and the Corporate Ethics Program
Elliot A. Fisch, CPA, CIA, CFE, Director, Internal Audit and Chief Compliance Officer, Easton-Bell Sports
William B. Jacobson, VP, Co-General Counsel, Chief Compliance Officer, Weatherford International, Ltd.

1. Combining the Internal Audit and Compliance departments can create a more effective oversight function
2. Internal Audit and compliance investigations can provide valuable information about company risks
3. Combining the Internal Audit and Compliance departments can be a lower cost alternative to separate departments

802 - International Privacy and Security Panel: Managing Your Growing Privacy and Security Obligations
Speaker TBD

803 - What to Do When the Government Comes Knocking
Gabriel L. Imperato, Esq., CHC, Managing Partner, Broad and Cassel

1. The discussion will explore in depth what to do in response to an initial contact by government agents conducting an investigation
2. A review of how investigations are initiated and who typically contacts individuals or members of organizations
3. A review of the types of contacts which can be initiated by government representatives, including search warrants, arrest warrants and subpoenas

804 - Corporate Values - Finding Values that Work
John Hannesson, CEO, White Stone Ethics

1. It's better to have no corporate values statement than one perceived as hypocritical.  Learn how to craft an authentic and memorable one
2. Corporate values should be broad enough to support the moral reasoning necessary to choose from alternative courses of action when values conflict
3. Enron had a corporate values statement, but an unethical culture.  How to start building an ethical culture with your values statement

805 - RISK TRACK SESSION:  Ethics and Culture
Jim Cocito, Chief Compliance Officer, Alcatel-Lucent

1. You will learn how to design a Global Compliance Program aimed at creating and sustaining a corporate culture of integrity
   
2. You will learn how to engage middle and lower management to view compliance not as a program, but more of a way of doing business
   
3. You will learn how to design a program that is sensitive to cultural differences, yet clear on boundaries and consequences