SCCE Basic Academy Program

Please note: agenda and/or speakers may vary slightly for each Academy.

Introduction to Compliance Practice: Abbreviated Compliance 101
Introduction to Compliance Practice provides a basic introduction to compliance and compliance programs.  It covers the seven essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. The laws, rules and regulations pertinent to compliance programs are introduced. Challenges confronting compliance officers are discussed.

Organizational Ethics
This is a focus on what is an ethical culture and its importance as the underlying basis for a strong culture of compliance and ethics. It focuses on the legal requirement of an ethical culture and the business value of one. The course also covers the current ethical landscape and the practical steps to creating and maintaining a strong ethical corporate culture.

Compliance Infrastructure
This course is designed to help compliance professionals understand the components of an effective compliance infrastructure. Discussed is implementation of a compliance program, selection of qualified staff, budgeting for compliance and the overall structure of the office. Time is spent discussing the various positions needed and the qualifications for each. The auditing position along with qualifications (coding credentials) is discussed. A compliance professional should be able to use what is taught in this course to design an adequate structure to facilitate an effective compliance program.

Creating & Reviewing Compliance Policies and Procedures
This course focuses on the importance of policies and procedures as the foundation for any strong ethics and compliance program. It covers the legal, cultural, and efficiency reasons for having policies and procedures. The main purpose of the course is to clearly define what policies, procedures and guidelines are, what their specific elements are, and how to create effective policies and procedures. It covers an updated view of best practices on codes of conducts. Finally, it covers the ways to review and update policies and procedures.

Education and Training
This course is designed to demonstrate why Compliance and Ethics training is necessary, who should be trained, what must be included in training, how to collect and use data from training programs to prove program effectiveness, and the dangers of incorrect or poor training.

Enterprise-Wide Risk Assessment
If there were an eighth key element of compliance program guidance, risk assessment would be it. In this session, participants will learn what risk is and how it can be assessed, who should be involved in risk assessments, ways to identify risk areas, and what to do with the results of a risk assessment.

Regulatory Update
This session is intended to provide an update on recent trends include new and proposed laws and regulations that could impact a corporate compliance program. The session will help compliance professionals say informed on emerging issues and trends in compliance. There will be a discussion of select regulatory trends.

Legal Issues, Risk Factors, and Disclosure Issues
This course is designed to help compliance professionals identify and reduce legal risks, investigate and address issues when they arise, determine whether disclosure is required or advisable, and prevent future damage from these and other risks.

Ethics & Compliance Programs: Best Practices and Perspectives
This interactive session provides a comprehensive overview of ethic, compliance and risk management best practices, including strategies and insights for taking your program to the next level. Highlights of this session include: considerations and first steps to best practices programs; highlights and metrics on industry trends and perspectives; exploration of program successes, challenges and opportunities; resources available for developing and enhancing your programs; and an interactive networking and information sharing opportunity.

Auditing & Monitoring
The goal for this session is to provide the compliance profession with a solid understanding of the role of auditing and monitoring in the compliance system. It begins with the determining the role of auditing and monitoring in the organizational governance process— specifically what assurances the Board and Management need to meet their responsibilities. Next the session explores the relationship between monitoring activities and internal control. A practical process for developing effective monitoring plans and strategies is then presented along with attributes needed for these plans to provide assurance on the effectiveness of the compliance program. Finally, the session ends with a discussion of internal reporting systems as a key part of an organization’s monitoring activities.

Privacy
The Privacy session is an overview of key privacy laws and regulations that could impact a US or global company. The Privacy session provides a basic high level introduction to law and regulations in all segments of industry.  It covers laws and regulations from both the private and governmental industry segments. Laws and regulations for activities in the US, Europe, Asia and other areas of the world are touched on in this session.

Investigations
This session is focused on the aspects of a compliance investigation. The session overviews the considerations for who should conduct such investigations based on the nature of the investigation as well as considerations for determining if the investigation should be conducted under attorney client privilege. The session also addresses considerations for what information to provide to the workforce during an investigation and how to report the investigation findings. The duties and obligations of the board of directors and key leaders in the organization are also addressed in this session. 

Conflicts of Interest
Conflicts of interest are some of the most common and challenging issues for compliance and ethics programs. Employees are expected to act in the best interests of their organizations and exercise sound judgment unclouded by personal interest or divided loyalties but that does not always occur. This session is designed to assist compliance professionals understand ethical and organizational risks resulting from conflicts of interest. It will review the many kinds of conflicts of interest and how they occur; gifts, gratuities, and kickbacks; policy development; disclosure programs; detection and auditing for compliance; training; case studies; and best practices.

Using Incentives in the Compliance Program
The incentives session will explain why it is so important to include incentives in the scope of a compliance program. The session reviews the different ways to do this, including personnel evaluations, rewards and awards, and giving compliance a role in promotion decisions. The coverage also includes the importance of company incentive programs in general, and why the compliance officer needs a seat at the table when any corporate incentive system is being developed. We ask the difficult question whether those who report fellow employees should get rewards for doing so.

Effectiveness and Evaluation
This session looks at the evaluation of compliance program effectiveness. What are the things that can be measured, what are the tools for doing this measurement, and what else do you need to know to avoid pitfalls and get valid results? We consider why it is not enough simply to do surveys, and how different tools work best for measuring effectiveness in addressing different compliance risks. We also consider who should do the evaluations and who should get the results.

FCPA Anti-Corruption & Bribery
This course explores the domestic and global administrative and law enforcement efforts surrounding anti-corruption enforcement principles, and provides a practical (hands-on) approach for dealing with these and other organizational compliance and ethics risk.