SCCE's Compliance & Ethics Institute

2010 Breakout Sessions

Monday, September 13, 2010

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, President, Ethical Leadership Group, A Global Compliance Company

How do you know if you are getting the right numbers and types of calls through your ethics hotline/helpline?
Trends in helpline data acress industries
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
Odell Guyton, JD, CCEP, Director of Compliance, Microsoft Corporation

Should the compliance function be housed within the legal department?
What do the Model Rules of Professional Conduct say about how attorneys should act as compliance officers?
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

One company's three-year blueprint for moving an ethics and compliance department from "Good" to "Great"
How to build and use a low tech risk assessment to identify where compliance functions work and where they need enhancement
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, LLB, CCEP, Compliance Officer, Officer of the Management Board, Triglav Insurance Company Ltd.
Haydee Olinger, Corporate Vice President, Global Compliance Officer, McDonald's Corporation
Ruth N. Steinholtz, Former General Counsel and Group Security Coordinator, Borealis AG

The impact of business and legislation environment in European Union and South East Europe on compliance practices
Comparing compliance principles from US FSG and compliance approach in Europe; connecting similarities and overcoming challenges
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

Update on current regulatory and legal changes
Overview of FLSA and FMLA requirements
Conducting FMLA and FLSA compliance audits

106 – RISK TRACK SESSION: Privacy and Data Protection
George B. Breen, JD, Shareholder, Epstein Becker & Green, P.C.
Marti Arvin, Esq., JD, CHC-F, CPC, CCEP-f, CHRC, Chief Compliance Officer, UCLA Health Sciences

Overview of global privacy and data protection risks and challenges, including the rapidly expanding regulatory and legal landscape
Best practices in privacy program development, management and strategies for securing information and protecting against data breaches
Managing privacy and data protection risks: Effective compliance and ethics practices for responding when a breach occurs, including litigation planning

1:30 – 2:30 pm
Breakout Sessions 200

201 – Writing Policies, Making Sense
J. Stuart Showalter, JD, MFS, Atlanta, GA

Make your compliance policies clear and enforceable
Learn to avoid legalese, ambiguities and pitfalls
Practice policy-writing skills with practical tools

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

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

203 – Practical Training Challenges for Improving Compliance Execution
Michael Bednar, Sr. Director, Operations Compliance, Walmart, Inc.
Kirstie Sims, Compliance Director – Southeast Division, Walmart

Examine the challenges faced while training on the importance of compliance execution
Discuss training techniques to create long term behavior change
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

How corporate ethical culture has been proven to influence employee compliance
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
How to promote specific cultural traits that most dramatically affect compliance

205 – Nonprofits have Compliance Concerns too
Donna McPartland, CCEP, CIPP, Corporate Counsel Graduate Management Admission Council

International compliance for non-profits, including anti-corruption, export, sanctions and anti-boycott, privacy and grant making
Tax Compliance, including the 990 and the IRS initiatives, including corporate governance, employment tax and international activities.
Compliance tools

206 – RISK TRACK SESSION: Records and Information Management
Gene Stavrou, Associate Director, Global Records Management, Kraft Foods
Virginia MacSuibhne, JD, CCEP, Director, Ethics & Compliance, Roche Molecular Systems, Inc.

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 Counsel for Ethics, U.S. Nuclear Regulatory Commission
Steve Epstein, Chief Counsel, Ethics and Compliance, The Boeing Company

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
Improve your compliance program by training and informing employees of the government rules on conduct
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, Director, Ethics & Compliance, North American Pharma, GSK

Discussion on how to move your organization from policing to collaborating with the business
Examples of compliance and business collaborations for improved monitoring activities
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

Focus on the difficult task of preventing or proving retaliation in your organization without putting the reporter in more jeopardy
Learn to identify and respond to red flags 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
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

How a compliance program can be reduced to one page
The value of indexing
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.

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

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

Conflicts of interest impact all organizations – how can we deal with the risks that conflicts present in a practical and effective way?
Best practices in assessing conflicts risks
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 & Ethics Officer and Managing Director, The Steele Foundation

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

402 – Understanding & Working Effectively with Independent Corporate Monitors

John Hanson, Executive Director, Artifice Forensic Financial Services
Douglas Lankler, Chief Compliance Officer, Pfizer
Jacob Frenkel, Attorney at Law, Shulman, Rogers, Gandal, Pordy & Ecker, P.A.

What is a “Monitor”
Current trends in Monitor usage
Finding and selecting a Monitor
Scope, role, transparency, reporting and costs of monitors
Benefits to the monitored entity and government
Working effectively with a monitor

403 – Compliance and Ethics: An International Perspective
David Nitkin, President, EthicScan
Joseph E. Murphy, CCEP, Of Counsel, CSLG, Co-Founder, Integrity Interactive, Co-Editor, Ethikos
Donna Boehme, Principal, Compliance Strategists, LLC
Patrick J. Gnazzo, General Manager of U.S. Public Sector and Senior Vice President, CA, Inc

Cross cultural differences
Permissive regulations versus compliance laws
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

Review the Johnson & Johnson Credo
Relive the Tylenol incident
Rethink the Importance of Corporate Culture

405 – Compliance From the Workers Perspective
Adam Turteltaub, CCEP, CHC, Vice President of Membership Development, The Society of Corporate Compliance & Ethics (MODERATOR)
Marsha Ershaghi, Ed.D. Canditate, CCEP, Practice Leader, Education Solutions, LRN, Inc.
Caroline McMichen, CCEP, CIA, Global Director, Ethics and Business Conduct, Molson Coors
Amyn Thawer, Senior Director and Global Compliance and Regulatory Affairs Counsel, eBay, Inc.

406 – RISK TRACK SESSION: Mergers & Acquisitions
John D. Soriano, Former Vice President-Compliance and Deputy General Counsel, Ingersoll Rand
Lisa Kuca, Former Ad Hoc Advisory Group Member, U.S. Sentencing Commission

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

Tuesday, September 14, 2010

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

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

Does it really even matter to the government whether you have a good C/E program if your company has a non-compliance problem?
How does the government evaluate programs? Do they go beyond the "paper" to find out whether the company's program is actually working?
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, CCEP, Head of World Bank’s Voluntary Disclosure Program, World Bank Group

Recent fraud and corruption cases in international development-financed business
Impact of multi-jurisdictional enforcement action
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, Enterprise Business Conduct, Allstate Insurance Company

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

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

Tone the "middle" - manager and supervisors - in 5 minutes a day
Assure that the tone at the top makes its way throughout the organization
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, BSc, MSc, DBA, FCA, CFE, SIRM, CCEP, DipITEC, Group Director of Risk Management and Internal Controls, TNT NV

The identification of ethical issues by internal audit
The reporting of ethical issues by internal audit
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

Obtain the federal government perspective on implementing the new FAR requirements related to mandatory disclosure and corporate ethics programs
Learn how to more proactively engage federal customers on ethics and compliance issues
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, CIA, CCSA, CGAP, CFSA, CCEP, Chair, Department of Accounting, McCombs School of Business, University of Texas at Austin

How the Code of Ethics for Professionals can help in making tough decisions
How others are using the Code
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

Establishing a strong regulatory framework within domestic and emerging markets
People, processes, and tools to facilitate regulatory compliance programs
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

Identifying what you really need to have in a Code of Conduct
Using global employee focus groups to draft the Code and engage employees
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

Go beyond high-level understanding of FCPA to identify concrete tools and tactics for ensuring third-party due diligence compliance
Receive nuts-and-bolts guidance on cost-effective, risk-based approaches to defining and vetting overseas partners
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

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

3:00 – 4:00 pm
Breakout Sessions 700

701 – Interactive Workgroup: Meeting the Social Networking Challenges
Adam Turteltaub, CCEP, CHC, Vice President of Membership Development, The Society of Corporate Compliance and Ethics and The Health Care Compliance Association

An interactive exercise involving peer collaboration
Work together to create a model social networking policy and plan for auditing and monitoring
Develop ways to make social networking an asset for your compliance program

702 – Recent Compliance Investigations
Stephen Martin, General Counsel & Chief Compliance Officer, Corpedia
Paul McNulty, Baker & McKenzie LLP
Marc Litt, Assistant U.S. Attorney for the Southern District of New York, U.S. Department of Justice

How to handle government investigations
Learning from the past: recent compliance investigations
A roundtable discussion of compliance failures: learning from the past

703 – E-Verify: The Ghost in the Verification Machine
Kevin Lashus, JD, Of Counsel, Greenberg Traurig LLP

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

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

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

705 – RISK TRACK SESSION: Antitrust and Competition
Theodore L. Banks, President, Compliance & Competition Consultants, LLC, and Counsel, Schoeman, Updike, Kaufman & Scharf
Roxane C. Busey, Partner, Baker & McKenzie LLP
Mildred L. Calhoun, Senior Counsel, BP America, Inc

Identifying organizational risks related to antitrust and competition
Global challenges and approaches
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
Adrian Mebane, Director of Ethics & Compliance, Weatherford International, Ltd.

Combining the Internal Audit and Compliance departments can create a more effective oversight function
Internal Audit and compliance investigations can provide valuable information about company risks
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
Michael Horowitz, JD, Partner, Cadwalader, Wickersham & Taft LLP, Former Commissioner, U.S. Sentencing Commission
Web Hull, CIPP/A, Senior Privacy & Compliance Specialist, Iron Mountain

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

Explore in depth what to do in response to an initial contact by government agents conducting an investigation
Review how investigations are initiated and who typically contacts individuals or members of organizations
Review the types of contacts that can be initiated by government representatives, including search warrants, arrest warrants and subpoenas

804 – Corporate Values: Choosing Values That Build Trust
John Hannesson, CEO, White Stone Ethics

It's better to have no corporate values statement than one perceived as hypocritical. Learn how to craft an authentic and memorable one
Corporate values should be broad enough to support the moral reasoning necessary to choose from alternative courses of action when values conflict
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
Lyn Scrine, Ethics Director, Enterprise Business Conduct, Allstate Insurance Company

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