17th Annual Compliance and Ethics Institute 2018

#P05

P05 - Audits Conducted Under Attorney Client Privilege: how to manage the "ACP"framework during an audit engagement Monica Reinmiller, Managing Counsel, Legal Compliance , T-Mobile Katherine McDaniel, Principal Corporate Counsel, Litigation, T-Mobile Chelsea Petersen, Attorney, Perkins Coie LLP View Description

• 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).

Lawyer 105

#P14

P14 - Federal Contractor - 2018 Compliance Update Adelle Elia, VP, Ethics & Compliance Office, WSP USA Paige Shannon, Compliance Officer and Corporate Counsel, ATI View Description

• 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).

Lawyer 205

#105

105 - Compliance Oversight for Boards and Management Gabriel Imperato, Managing Partner, Nelson Mullins Riley & Scarborough View Description

• 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

Lawyer 305

#205

205 - 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 View Description

• 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.

Lawyer 355

#305

305 - Counseling compliance in small to medium sized businesses Jason Meyer, President, LeadGood, LLC Amy McDougal, President, CLEAResources, LLC View Description

• "SMBs" (under 100 employees) make up 97% of US companies, but they are at least as prone to compliance failures as the Fortune 2000. But without a CCO or even a GC, the task of leading and counseling compliance at SMBs may fall to HR or outside counsel
• We will explore the unique challenges of compliance leadership in SMBs, where budgets may be limited, processes informal, and executive power dominant.
• We'll share experiences, including ways to use regular operational processes as tools to promote compliance, and to use the strong culture in these companies to their ethical advantage.

Lawyer 405

#405

405 - Dos and Don'ts for Compliance Attorneys working for Nonprofits Hussainatu Tengu Blake, Vice President, Focal Point Global Adam Munitz, Partner, FH+H PLLC View Description

• Overview of the legal landscape: laws and regulations of which non-profits should be aware prior to operating in non-permissive environments.
• The unique ethics and compliance challenges faced by non-profits working overseas.
• How to develop an effective ethics and compliance program that is tailored to non-profits.

Lawyer 455

#505

505 - Leveraging Recent Developments in the Law to Advance Your Program Rebecca Walker, Partner, Kaplan & Walker LLP Joseph Murphy, Senior Advisor, Compliance Strategists View Description

• Review recent developments in U.S. and other law related to compliance and ethics, including case law, deferred prosecution agreements and government pronouncements and guidance.
• Examine the impact of recent legal developments on compliance and ethics program design and implementation.
• Develop strategies for using C&E legal developments to enhance your program.

Lawyer 505

#605

605 - Preventing harassment and discrimination: Why the current system fails and what to do about it Paul McGreal, Professor of Law, Creighton University Joseph Murphy, Senior Advisor, Compliance Strategists View Description

• Harassment and discrimination have been leading news stories despite companies having policies, training and reporting systems.
• The wrong legal standard is being used to determine what is a "reasonable effort to prevent violations".
• We propose a compliance & ethics solution to a serious failure in companies and other organizations.

Lawyer 555

#705

705 - To Privilege or Not to Privilege: The Role of Attorney Advice in Performing Risk Assessments and Running a Compliance Program Kristopher Watts, Director - Compliance, AT&T Suzanne Montgomery, VP-Compliance & Chief Accessibility Officer, AT&T Altresha Burchett-Williams, Attorney, AT&T Corporation View Description

• Get grounded on the definition of the attorney-client privilege. Discuss the legal basis for performing privileged risk assessments from both Legal and Compliance perspectives, and explore circumstances when a privileged risk assessment is helpful.
• Explore the difference in roles of attorneys and compliance professionals, even when the compliance professional is an attorney by education and experience, and how to maintain a healthy partnership between the two, despite natural tension.
• Discussion centered on the real-world impacts of compliance work under privilege, from the perspective of a non-attorney compliance professional.

Lawyer 605

#W05

W05 - Never Hearing "I Told You So" - Best Practices for Preparing and Responding to a Federal Investigation James Carter, Attorney, Pillsbury Winthrop Shaw Pittman LLP Aaron Dyer, Partner, Pillsbury Winthrop Shaw Pittman LLP View Description

• This session will provide guidance on how to prepare your compliance program to be a sword in defending an investigation arising from a grand jury subpoena or search warrant, rather than just a shield.
• This session will also highlight the steps a company should take to comply with a federal subpoena, or to prepare for a search warrant.
• This session will provide guidance on how to conduct investigations, audits, and monitoring programs that will have credibility with federal agents and prosecutors.

Lawyer 805

#W13

W13 - Yin and Yang - Leveraging the Strengths of Legal and Compliance Deena King, Chief Compliance Officer, The University of Texas at Tyler Destinee Waiters, General Counsel and AVP Compliance, TX Womans Univ View Description

• There is sometimes confusion on the different roles compliance and legal play in an organization; understanding what these differences are and how to leverage the strengths of each can help institutional compliance programs be more effective.
• Some of the key roles of compliance include designing and implementing internal controls such as risk assessment, policies, procedures, trainings, and audits with the combined goals of detection, correction, and prevention of compliance incidents.
• Some of the key roles of legal include research, legal and regulatory interpretation, and defending the actions of the university when a legal matter arises; when compliance and legal work together risk is reduced and compliance programs are strengthened.

Lawyer 813