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, CCEP, CA, 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