Saturday, October 20
-I would like to introduce a speaker!
08:30 AM - 12:00 PMSCCE's Annual Volunteer Project In additon to networking with your peers and listening to expert speakers, attending an SCCE Compliance & Ethics Institute gives you the opportunity to help a local area charity. Registration is free for this event and provides you with a volunteer t-shirt, lunch and transportation to and from the project location. It's a great way to start the CEI with fellow conference attendees, speakers, and SCCE board members.
Sunday, October 21
08:30 AM - 11:30 AMPre Conference Morning Session#P01P01 - Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice Greg Triguba, Principal, Compliance Integrity Solutions Carla Weiler, Compliance Risk Manager, Starbucks
Risk#P02P02 - AT&T's Compliance Training Evolution/Revolution Susan Bounds, Director-Compliance, AT&T Jayne Cano, Lead Compliance Analyst, AT&T - Chief Compliance Office Lee Miller, Associate Director-Training Design, AT&T - Human Resources
- 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#P03P03 - A Tale of Two Companies - Experiencing the Best of Times and the Worst of Times through the Eyes of Two Organizations that Considered Themselves Ethical Beth Colling, Vice President and Chief Compliance Officer, CDM Smith, Inc. Rebeka Spires, Director of Compliance & Ethics, Louis Berger
- You think your existing training is great, but you need to toss it out! We looked at format and content and turned ours around. We also made it mobile-friendly, and relevant for employees around the world. We didn't do it all overnight.
- In-house is great - it doesn't have to be fancy! You can do a lot with embedded videos. We teamed with our training design partners to use simple technology to make memorable training and incorporated interactive features for both online and in-person.
- Change the perception of training. Make the move from "rules-based, cover-all-the-possibilities" to "here are some tools you can use to make good decisions for you and your teams." Provide resources to support good decisions.
Case Study#P04P04 - Anti-Corruption Workshop: FCPA and other Anti-Corruption Enforcement Hot Topics and Compliance Best Practices Iris Bennett, Member, Smith Pachter McWhorter PLC Natalie Lockwood, Counsel, General Motors Company Thuy Tran, Regional Compliance Officer - USA, SNC-Lavalin Shannon Young, US Employment & Ethics Counsel, WSP USA Inc
- Hear how two compliance programs survived and devloped during and after settlements with the U.S. Department of Justice, World Bank Group and similar regulatory/enforcement agencies.
- Understand the lessons learned through the real-life experiences of two seasoned compliance officers- lessons that can be implemented in any compliance program, regardless of the existence of external scrutiny.
- Take away three "key mindset" ideas to help your program build the framework necessary to effectively demonstrate solid operations and leadership commitment, if ever asked to do so by regulators, investigators or others.
International#P05P05 - Audits Conducted Under Attorney Client Privilege: how to manage the "ACP"framework during an audit engagement Katherine McDaniel, Senior Corporate Counsel, T-Mobile Monica Reinmiller, Corporate Counsel, Legal Affairs & Compliance , T-Mobile Chelsea Petersen, Attorney, Perkins Coie LLP
- Using a hypothetical fact pattern the panelists will engage the audience in a discussion regarding the legal, compliance, governance, and strategic issues involved when a company and business partner encounter corruption issues on a government bid.
- Attendees will also learn about the latest anti-corruption regulatory and enforcement developments in the U.S. and abroad.
- Panelists will discuss best practices for ensuring anticorruption compliance and will encourage discussion from attendees regarding methods they use to mitigate corruption risk and address compliance breaches within their organizations.
Lawyer#P06P06 - Launching Ladies into Senior Leadership Kristy Grant-Hart, CEO, Spark Compliance Consulting Jenny O'Brien, Chief Compliance Officer, UnitedHealthcare Kirsten Liston, Principal, Rethink Compliance
- Determining the need to perform an audit under ACP: factors, scenarios and legal defense strategies.
- Basic ACP Guidance and framework that includes RFP/ contract terms, communication protocols and pitfalls to avoid.
- Case Study: How to conduct an HR compliance audit (Pay Equity).
General Compliance#P07P07 - Building a Culture of Compliance Learning Excellence - 4 Multi-Nationals Share Their Insight Nicole Tarasoff, Senior Program Manager, Global Compliance & Integrity, LinkedIn Jennifer Gardella, Director, Global Learning, Biogen Mike McCafferty, Manager, Enterprise Compliance Training, ETRADE Financial Jackie Arnold, Global Corporate Compliance Program Specialist, Xilinx
- Are you ready to launch into the highest levels of leadership? Joining the C-suite? Being on the Board? Then this seminar is for you.
- Learn how to win champions and mentors; use verbal language and body language to up your confidence and likeability quotients; and move up the ladder using accountability and top negotiating skills.
- Master lessons taken from female entrepreneurship. Learn why your network is your net worth (and how to grow it strategically) and how to raise the roof on your profile.
General Compliance#P08P08 - Preventing harassment: can compliance ever succeed? Jason Meyer, President, LeadGood, LLC Amy McDougal, President, CLEAResources, LLC Susan Parkes, General Counsel & Vice President, Alyeska Pipeline Service Company
- Training leaders from 4 multi-nationals share their insights on delivering compliance training to over 40,000 employees in 70 global markets.
- Part I will help you get your compliance training design right: shorten learning seat tie, use diagnostic assessments and create high impact learning media.
- Part II will show you how to foster the relationships that underpin a successful training program: federal regulators, c-suite leadership, legal counsel and international markets.
General Compliance#P09P09 - Investigations Workshop 3 Part Albert Gagne, Former Director Ethics & Compliance, Retired LT Lafferty, Partner, Holland & Knight Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. Michele Yaroma, Special Agent, FBI
- It's been 20 years since the Supreme Court rulings in Faragher and Ellerth made corporate anti-harassment efforts routine, yet there are more headlines than ever about blatant acts of harassment, especially among corporate and cultural leaders.
- Sharing research and our collective experience, this workshop will focus on training, policies and culturebuilding, to explore why we have failed in preventing harassment, where we have engaged, and how we can elevate behavior.
- One critical focus: retaliation vs. a "speak-up" culture, including best practices for creating, maintaining, and getting management support for an Open Work Environment.
Part I (8:30-9:30 am): Beginning the Investigation and Interviewing the Reporter Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired) Latour (LT) Lafferty, Partner, Holland & Knight LLP Michelle Yaroma, Special Agent, FBI - Focus on investigation fundamentals and getting as much information as possible from the reporter. Part II (9:30-10:30 am): Planning the Investigation Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children - Focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation Part III (10:45 am-11:30 pm): Revealing and Evaluating Documents Latour (LT) Lafferty, Partner, Holland & Knight LLP - Understanding the critical role of documents. Be ableWorkshop
01:00 PM - 04:00 PMPre Conference Afternoon Session#P10P10 - Trade Compliance Risks: What You Don't Know, Can Hurt You! Gwendolyn Lee Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial
Risk#P11P11 - Ethics 101 from Theory to Application: What Would Kant Think About Tarantino Flix? Paul Fiorelli, Professor of Legal Studies and Director, Cintas Institute for Business Ethics, Xavier University Bradley Agle, Professor, Brigham Young University
- Explore the fundamentals of building an effective trade compliance program from the ground up.
- Survey and discuss recent enforcement trends, hot topics, global risks and advanced practice.
- Participate in a complex real-world scenario simulating global trade compliance risks and challenges; explore practical solutions and strategies to effectively manage and mitigate the risks.
Ethics#P12P12 - Facebook and Equifax: Meeting Increased Customer Expectations, Not Just Regulatory Requirements Steven Minsky, CEO and Founder, LogicManager
- Discuss basic ethical theory (utilitarianism v. deontology) by analyzing the "Trolley Problem". Explore theories of Justice, Rights and Duties. Analyze Kohlberg's Cognitive Moral Development Theory. Discuss stakeholder theory, and hiring for integrity.
- Compare legal duties with ethical duties by participating in an HBR case study entitled, "The Parable of the Sadhu". Explore the pressure to conform to group norms (Stanford Prison Experiment), and how that can lead to whistleblowing.
- Analyze applied ethics dealing with black v. white v. grey areas. Understand the importance of reputation, corporate culture, mission statements, codes of ethics and the Federal Sentencing Guidelines for Organizations.
Case Study#P13P13 - Enforcement Goes International-What does it mean for your compliance program? Thomas Fox, Compliance Evangelist, Advance Compliance Solutions, Tomfoxlaw.com Matt Ellis, Partner, Miller Carlos Ayres, Partner, Maeda, Ayres e Sarubbi Advogados
- Discuss the recent changes to the regulatory environment and other advancements fueled by social media and new technology, focusing on how these shifts increase transparency and empower the consumer to demand more.
- Explore the Facebook and Equifax scandals (or others occurring around the time of the conference) with an eye towards what these seemingly diverse cases have in common, and what companies can do to avoid scandals and failures in risk management.
- Outline the tactical steps every company should take to avoid costly litigation and regulatory fines, as well as the even graver long-term consequences of reputational disaster, without spending more on technology solutions.
International#P14P14 - Federal Contractor - 2018 Compliance Update Adelle Elia, Chief Integrity Officer, Louis Berger Paige Shannon, Vice President, Risk and Compliance, Kforce Inc.
- Brazil now leads the list of countries where companies are under FCPA investigation. Yet that is often only the tip of the overall number of countries where companies may be under investigation. What does in the increase in international cooperation
- From the US corporate compliance perspective, how can a company protect itself from an industry or country sweep? Why do you need to understand not only who your third parties and business partners are but your customers as well?
- From the Brazilian perspective, what should companies be doing proactively in response to this or any other country sweep? How is this different from the American perspective? Is doing compliance in Brazil or any other country in South America different?
Lawyer#P15P15 - Technology & Compliance: Understanding the Risks and Maximizing the Benefits Theodore Banks, Partner-President, Scharf Banks Marmor LLC - Compliance & Competition Heidi Rudolph, Managing Director, Morae Global Gene Stavrou, Compliance Director, Ingredion
- Update from last year's successful session
- Learn about the latest developments in U.S. Federal Contract compliance.
- Understand how to address changes: Service Contract Act; Sick Pay regulations; Controlled but Unclassified Information (and others).
IT#P16P16 - New Beginnings: Starting your Compliance Program and what needs to be included Sheryl Vacca, SVP/Chief Risk Officer, Providence St Joseph Health Debbie Troklus, Senior Managing Director, Ankura Consulting Group
- Technological developments providing new tools that can (should) be incorporated into your compliance program to increase effectiveness. AI, IOT, blockchain and other developments that can be part of your compliance program.
- Updating your risk assessment in conjunction with your IT department to address new threats. Training emplopyees to use technology appropriately and identify (and avoid) social engineering. Using developments publicized in the media.
- Addressing legislative and regulatory changes that impact on IT use and risks. Making sure you have a seat at the table as technology plans are made (e.g., possible regulation of bitcoin).
General Compliance#P17P17 - The Great Internal Audit & Compliance Mystery Kelly Loya, CPhT, CRMA- Associate Partner, Pinnacle Enterprise Risk Consulting Services Kristen Taylor, Associate Partner, Pinnacle Enterprise Risk Consulting Services
- Discussion on the basic elements of a compliance program.
- Overview of the challenges and opportunities in developing a compliance program.
- Identifying ways to get "buy in" for the compliance efforts.
General Compliance#P18P18 - Investigations Workshop Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. Albert Gagne, Former Director Ethics & Compliance, Retired LT Lafferty, Partner, Holland & Knight
- Guests will observe and identify, or even become party to, the ultimate compliance mystery/conspiracy.
- Attendees ("The cast" of characters) will assist in identifying acts of noncompliance and network with the cast and other guests to determine what wrongdoing occurred, why and define an appropriate response to the wrongdoing.
- Attendees will utilize strategies to help define compliance program weaknesses and what safeguards may have prevented an identified behavior
P18 (continued from P9) Investigations Workshop Part IV (1:00-2:00 pm): Taking Effective Interviews Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children - Know the difference between an interview and an interrogation. -Documenting your interview. Part V (2:15-3:15 pm): Preparing the Investigation Report Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired) - Stick to the facts and benefits of a good report. Part VI (3:15-4:00 pm): -Q&A Panel Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired) Latour (LT) Lafferty, Partner, Holland & Knight LLPWorkshop
Monday, October 22
-Breakout Session 1#101101 - Social Media: Risks & Redemption Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation
Risk#102102 - Advancing a Culture of Integrity by Building Strong Climates Brian Lee, Practice Leader, Gartner
- Learn how and where to look for social media risks - and learn what you're looking for.
- Gain insights into best practices for mitigating social media risks and how much of it is out of your hands.
- Gain insights into best practices for mitigating social media risks and how much of it is out of your hands.
Ethics#103103 - A Modern Day Construction Industry Compliance Program Chris Caron, Regional Compliance Manager, Kiewit Construction
- What factors most impact an employee's view of their organization's culture;
- How companies can measure and improve the strength of their organization's culture; and
- How to reduce misconduct and compliance risk within their organization.
Case Study#104104 - Challenges of working with Intermediaries in Emerging Markets Renata Muzzi, Partner, TozziniFreire Advogados Shin Jae Kim, Partner, TozziniFreire Advogados
- Learn about the unique regulatory challenges in the construction industry and the evolution of a compliance program, from a rigid project assessment focus to a flexible risk mitigation focus.
- See the rapid development of a modern compliance program, the pitfalls encountered over the past 10 years of the program, and the frequent challenges presented by our clients and our employees.
- Learn how a program provides targeted education, flexible risk mitigation tools, and systems that integrate into the construction environment to make compliance efficient in a schedule-driven environment.
International#105105 - Compliance Oversight for Boards and Management Gabriel Imperato, Managing Partner, Nelson Mullins Broad and Cassel
- How to react when you learn that a relevant intermediary is allegedly involved in a corruption scandal?
- Who should be involved to assess the situation?
- What kind of information do you need to gather?
Lawyer#106106 - AI is Coming: Future-Proof Your Career and Your Compliance Program Thomas Fox, Compliance Evangelist, Advance Compliance Solutions, Tomfoxlaw.com Matt Kelly, Editor & CEO, Radical Compliance
- United States Sentencing Commission-Federal Sentencing Guidelines for Organizations-essential elements of an effective compliance plan and Board oversight
- United States Depatment of Justice Principles of Federal Prosecution of Business Organizations; Evaluation of Corporate Compliance Programs
- Reporting systems capable of keeping board members informed of compliance activities and ability to evaluate and response to specific misconduct and noncompliant activity
IT#107107 - Compliance & Ethics Training: What You Need to Know Kirsten Liston, Principal, Rethink Compliance Maranatha Hayes, Chief Ethics Officer, SAIC Shauna Brookshier, Ethics & Compliance Association, SAIC
- Many compliance professionals have considered AI as more an IT or technological solution. Is that really wise, though? How much should compliance officers be involved in, or even just monitor, the creation of algorithms that lead to AI?
- Seeing patterns in raked leaves. How does AI aid in the detect-and-prevent prongs of a best practices compliance program? What parts of your compliance program would benefit the most from an AI solution? Conversely, what parts of a strong ethics
- Does AI portend the end of the compliance career path? Probably not, but how should compliance officers embrace AI as a part of the future?
General Compliance#108108 - Compliance Fast and Slow-Lessons from Behavioral Economics James Knapp, Investigations Manager, Freddie Mac James Sheehan, Chief, Charities Bureau, NY Attorney General
- Everyone knows they need to provide training in an effective compliance and ethics program, but do they know how much they don’t know about the subject?
- How can you approach training and communication and be sure you have done all the things that should be done?
- What are the best resources for compliance training and communications?
General Compliance#109A109 - Practices in Ethics and Compliance (E&C) Program Management That Can Undermine the Effectiveness of Your E&C Program Michael Garson, Senior Managing Director - Government Contracts, Ankura Consulting Group Randall Cook, SVP General Counsel, Advent Software Inc
- Lessons for compliance from behavioral economicswhat actually changes compliance behavior.
- Examples from the research-what works.
- Examples from real life-uses of behavioral research/ nudge techniques to change behavior.
Advanced Compliance#110110 - Just Listen: Silently Connecting to the Untold Stories to Shape Culture Walter Johnson, Director of Compliance & Ethics, Kforce Government Solutions
- Hear and discuss war stories from compliance personnel on day-to-day compliance program management mistakes and bad habits that, despite the right program infrastructure, can cause serious setbacks in attaining a culture of business ethics and compliance.
- Share lessons learned on behaviors and approaches in managing an E&C Program that can lead to difficulties with personnel, management, and other stakeholders and create distrust of - or displeasure with - your E&C program.
- Present tips and best practices in E&C program management that will help to garner the continued support of and ensure smooth operation of your E&C program.
- How to become selected to hear an untold story and trusted as an enabler to shape culture.
- Learn body language to demonstrate that you are ready to listen to an untold story.
- Practical steps for the receiver to silently inform their five (5) senses and the sender that they will not be distracted from the engaging moment.
-Breakout Session 2#201201 l- Global Antitrust Compliance - Assessing Antitrust Risks and Creating an Effective Antitrust Compliance Program Douglas Tween, Partner, Linklaters LLP Tim Bridgeford, Global Head of Antitrust and Anti-Corruption Compliance, JP Morgan
Risk#202202 - Ethical Considerations for Compliance Officers and Lawyers Theodore Banks, Partner-President, Scharf Banks Marmor LLC - Compliance & Competition
- Overview of global legislation, enforcement activity and trends in the evolving antitrust compliance environment.
- Learn how to conduct a comprehensive, global risk assessment to uncover antitrust risk in your organization.
- Learn how to effectively promote antitrust compliance in your organization and create an effective antitrust compliance program to mitigate global risk.
Ethics#203203 - Building Awareness: Creatively Branding and Marketing Your "Comply Ant" Program John Dalton, Dir Corp Compliance, Charles River Laboratories Inc Matthew Daniel, Corp SVP Legal Compliance & Deputy GC, Charles River Laboratories, Inc.
- What ethical rules govern your compliance activities?
- Can lawyers or compliance officers be whistleblowers?
- When is it a good idea - or a terrible idea - to try to protect compliance programs with attorneyclient privilege?
Case Study#204204 - Artificial Intelligence in Third Party Compliance Allan Matheson, Chief Executive Officer, Blue Umbrella
- Identifying the need and building the case: Strategies for researching and garnering support for a compliance branding program.
- Getting creative: The convergence of compliance, marketing and strategy.
- Going live: Launching your brand and building on the momentum.
International#205205 - Start-Ups, Autonomous Cars and Everything (Compliance) In Between: Compliance Program Management, Issues & Challenges From the Perspective of GM and Cruise Automation Christopher Miller, Regional Compliance Officer North America, General Motors Matt Gipple, General Counsel, Cruise Automation
- Discussion covering the key elements of Artificial intelligence (AI) and how it can be utilized in business processes to automate and increase efficiency, inclusive of key takeaways
- Dissection of the workflows behind third party compliance in order to isolate the areas where labor, resources, and decision making play the biggest role. This leads onto what technologies can be used to eliminate work and increase process efficiencies
- Exploration covering a variety of questions; What will Third Party Compliance look like in 5 years? 10? What tech, data and resources will be used to create a predictive model of third party compliance?
Lawyer#206206 - Corporate Compliance and Information Technology Challenges ----- Business Confidentiality and Employment Agreement, Communication with Competitors, Cyber Security and Privacy Laws. Muhammad Nuaman Ahmed, Head of Compliance - QHSE & Fraud Investigation, PEL Group of Companies
- GM acquired a San Francisco start-up, Cruise, in 2016, to focus on autonomous technology. This presentation tells the story of that acquisition, from a compliance perspective.
- Matt Gipple provides the perspective of the general counsel at the start up, Cruise and compliance related issues from a lawyer in-house and teaming up the startup with a large F100 company.
- Chris Miller provides the perspective of the GM regional compliance officer and the steps GM took with respect to compliance issues, challenges and opportunities at Cruise.
IT#207207 - How to Score your Compliance Program using Key Performance Indicators (KPIs), metrics, maturity ratings and other approaches Erica Salmon Byrne, EVP, Ethisphere
- What is importance of information technology in business world? What is impact on business with advancement in technology? What are compliance risks associated with technology? How we can identify risk proactively for effective compliance management.
- Compliance risks associated with e-commerce i.e. online buying and selling, compliance of supply chain, goods delivery, warehousing and sourcing, taxation, cross state and cross border transactions, sale and payments, warranties and guarantees issues.
- Compliance risks related to online agreements i.e. acknowledgement of terms and conditions, implied consent and digital signature to access your personal information, risks related to sharing protected information of customers and suppliers, competitors.
General Compliance#208208 - MGM Resorts International: Journey to the Future of Mobile & Augmented Reality Marsha Ershaghi-Hames, Managing Director Strategy & Development, LRN Omar Khoury, Vice President of Compliance, MGM Resorts International Lisa Caserta, Executive Director - Compliance, MGM Resorts International
- How and why you should rate your compliance program: the importance of measuring the maturity of your compliance program.
- Different approaches to scoring your program - how to use KPIs, metrics and maturity ratings.
- How to present findings to senior leaders; and build an improvement plan to increase program maturity.
General Compliance#209209 - Repeat Complainers: Chronic Complainers or the Forgotten
- MGM GO! Launching a mobile Micro-learning strategy: integrating linked content & essential resources with on demand, pulse learning.
- Augmented Reality as an engagement strategy; embedding AR and game-based learning across multiBrands with competitive leaderboards.
- MGM APPLAUSE! Why insight & analytics matter, sustaining impact through responsible recognition and rewarding values based behavior.
- How do we address Repeat complainers in a timely and professional way? Let's share case examples of repeat problem callers, worse case vs best case.
- Provide lessons learned about listening and taking action, (being more timely, specific, genuine and to the point in responses to reporter). Discuss experiences with repeat callers and need for better documentation by callers, management and HR.
- How can Compliance help to move reporter, subject and management forward in positive way? Dealing with complainant's assertion that my harasser was not terminated or other conspiracy theories.
-Breakout Session 3#301301 - M&A Transactions: Tactics & Strategies for Effectively Managing Ethics & Compliance Risk Kasey Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated Louis Sapirman, Former VP, Assoc General Counsel & Chief Compliance Officer, The Dun & Bradstreet Corporation
Risk#302302 - Business Ethics 101: Why do People Cheat Pouya Safi, Lecturer & Associate Director, Continuing Education, University of Ottawa - Telfer School of Management
- Overview of the ethics and compliance challenges, considerations, and risks that arise during the Merger and Acquisitions Transaction process.
- Discuss strategies for effective due diligence and integration of ethics and compliance programs and related infrastructure.
- Share practical tips and solutions for effectively conducting pre-acquisition compliance due diligence, mitigating associated risk, and integrating ethics and compliance into the new acquisition.