#P01

P1: Effective E&C Risk Management - Part 1: Framework, Program Essentials, and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions, LLC Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve IT View Description

• 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 real-world examples and scenarios that set the stage for identifying an organization's risk universe, prioritization efforts, and next steps for effective management and mitigation.

Risk 101

#P02

P2: Ethical Leadership Doesn't Happen Overnight, or Does It? I Was an Employee Yesterday...Leader Today, but Am I an Ethical Leader? Lisa Gross, Founder and CEO, ALESC - Agile Leadership and Ethics Strengthening Cultures Darren Hill, Director Ethics Business Conduct, Lockheed Martin Aeronautics View Description

• The difference between a leader and a manager and why this distinction is important to building and maintaining an ethical environment
• Discuss and share assimilation techniques to foster ethical culture and leadership
• Review case scenarios demonstrating good and bad ethical leadership and its impact to the company

Ethics 102

#P03

P3: When Ethical People Make Unethical Decisions: Lessons, Reflections, and Takeaways from the Public Sector Jabu Sengova, Ethics Officer, City of Atlanta Ethics Office Carlos Santiago, Deputy Ethics Officer, City of Atlanta Ethics Office Jenna Wiese, Deputy Inspector General, Office of the State of Georgia Inspector General View Description

• See and hear real life stories of public sector employees whose ethical lapses resulted in ethics investigations as well as fraud and criminal prosecution
• Engage in an interactive and thoughtful discussion of the key factors that lead to unethical conduct and how "good" people go "bad"
• Gain insight into lessons learned and takeaways from the consequences and aftermath of poor ethical decision-making

Case Study 103

#P04

P4: The Practical Who, What, When, Why and How’s of Third Party Due Diligence & Monitoring James Lord, Consultant, Dow Jones Xavier Oustalniol, Partner, StoneTurn Andy Hinton, VP, Global Ethics & Compliance, Retired, Google View Description

• Creative approaches to preventing and detecting corruption through risk-based third party management
• Determining the right level of due diligence and identifying non-traditional sources of third party information
• Highly engaging use of real life hypotheticals to explore current issues and challenges in third party management around the globe

International 104

#P05

P5: Advanced Conflict of Interest Risk & Disclosure Process Monica Reinmiller, Head of Global Compliance & Ethics, Assistant GC, Panasonic Michael Volkov, CEO, Volkov Law Group LLC View Description

• Identify heightened Conflict of Interest risks with public company Board service, Anti-trust and trade secret risks
• Develop a sustainable and ongoing review of high risk conflict disclosures
• Discuss Conflict of Interest best practices and guidance

Lawyer 105

#P06

P6: Cyber Security Due Diligence: Will You Be the One to Save Your Company & CEO From Disaster? Charles Shugg, Partner | Chief Operating Officer, Sylint Group, Inc View Description

• Discuss the importance and criteria for cyber security due diligence and how it affects corporate or organizational reputation damage, judicial punishment and senior executive careers
• Review case studies that highlight the lack of "reasonable" corporate cyber security due diligence regarding processes, assets and incident response actions
• Provide best practice guidance to improve senior executive awareness, reduce corporate risk and increase the likelihood of C-Staff career survival following a cyber security breach

IT 106

#P07

P7: 100+ Years of Business Ethics: Learn About the Future from Masters of the Profession Steven Priest, President, Integrity Insight International Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global Jeffrey Kaplan, Partner, Kaplan & Walker LLP Edward Petry, Ed Petry, Ph.D., Senior Advisor, NAVEX Global View Description

• "Those who cannot remember the past are condemned to repeat it." Carrie Penman, Jeff Kaplan, Ed Petry and Steve Priest have worked internally and with clients for over 100 years. They have made a lot of mistakes and had quite a few successes.
• Steve will moderate--drawing out the most valuable lessons to help you navigate the challenges of 2020 and beyond
• This interactive session will answer your most pressing questions. No matter what your situation is, one of our panelists will most certainly have experienced something similar, and draw on their expertise to help you.

General Compliance 107

#P08

P8: Investigations Workshop (Morning Session: Parts 1-3) Albert Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (Retired) Latour Lafferty, Of Counsel, Gunster, Yoakley & Stewart, PA Meric Bloch, Global Head of Investigations, Booking Holdings, Inc. View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance 108

#P09

P9: Effective E&C Risk Management -- Part 2: Operationalizing Risk Management and Taking your Practice to the Next Level Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve IT Greg Triguba, Principal, Compliance Integrity Solutions, LLC View Description

• This session takes a deeper dive into effective risk management/mitigation strategies to include addressing challenges of maturing the Risk Management function and ensuring Risk Management concepts are encompassed as a part of day-to-day operations.
• Examine the pitfalls of an unincorporated Risk Management function, and how periodic "check the box" risk management exercises are the real risk to organizational success
• Discuss methods to successfully mature Risk Management functions, engage all levels of staff and leadership, and foster a Risk-conscious organization

Risk 109

#P10

P10: Every Choice Has a Consequence Chuck Gallagher, President, Ethics Resource Group View Description

• How easy it is for ethical people to make unethical choices and what to do about it.
• The impact of life’s choices and how that affects your performance, both personally and professionally.
• Real-world practical examples of how to use ethics and integrity to create success in business and life.

Ethics 201

#P11

P11: Operationalizing Compliance Grace Wu de Plaza, Group Head of Ethics, Ferguson Hillah Culman, Risk Manager, Farmer Mac View Description

• Congratulations! The CEO agreed to implement your compliance initiative across the enterprise. Now what?
• In this session, compliance officers who have never developed a project management plan, found the thought of developing a plan overwhelming, or is interested in refining their project management skills will walk away with insights, next steps, and a
• The speakers will take attendees through a case study of how Farmer Mac's compliance department partnered with a project manager and leveraged a project management plan to implement its GRC system and to overhaul its policies and procedures framework

Ethics 202

#P12

P12: How to Dribble Corruption Risks in Latin America: Learn How to Avoid Faults, Penalty Kicks, and Score Compliance Goals Patricia Colombo, Director of Legal and Compliance, FUJIFILM do Brasil Emanuel Batista, Associate Managing Director, Kroll Isabel Simmerman, Ethics & Compliance Counsel, The AES Corporation View Description

• 2019 Corruption Risks in Brazil, Argentina, Colombia, and Mexico: Gain insight into recent corruption headlines and their impact on local anti-corruption laws and the overall culture of compliance
• 365 Days Later - The role of new governments and their influence in compliance and Anti-Corruption and Bribery regulations and trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance. What you need to know to navigate
• Think Globally and Act Locally: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks

International 203

#P13

P13: The Happy Marriage between Legal and Compliance Donna Boehme, Principal, Compliance Strategists LLC Patrick Gnazzo, Principal, Better Business Practices Judith Nocito, Senior Advisor, Compliance Strategists View Description

• Join experts with "in the trenches" CCO experience in an engaging discussion of the respective roles and responsibilities for Compliance and Legal in your compliance program. The Partnership between these two functions should be strong and clearly defined
• Discussion will include: The evolution away from Compliance as a captive arm of Legal, How a strong partnership can support the mandates of both functions, and Mapping out the respective responsibilities and roles of the two sister functions.
• This unique and dynamic session is intended to clarify an area of much uncertainty and controversy over the past decade, and point the way to more productive working relationships. Bring your questions with you!

Lawyer 204

#P14

P14: GDPR Compliance Post-Mortems: Lessons Learned from Facebook, Uber, and Others Scott Giordano, V.P., Corporate Privacy, and General Counsel, Spirion View Description

• In the nearly 18 months since the EU GDPR was brought into force, several well-known companies have been penalized by EU data protection authorities for misuse and loss of personal data.
• In this session, we will review these post-mortems, determine what went wrong, and discuss the implications for complying with the GDPR and other multinational data protection regulations going forward.
• We will also examine recent European Data Protection Board (EDPB) opinions and discuss how they affect overall compliance strategy

IT 205

#P15

P15: Lessons from the Accidental Compliance Professional Roy Snell, ESG Officer, Author of IntegrityWorks, Co-founder of SCCE/HCCA, Osprey ESG Software Jenny O'Brien, President and Principal, Blackbridge Advisors View Description

-How to Handle "The Big One" -A Guide to Being Delightfully Honest -Compliance Activism Belongs in a Rodeo -Study Your Failures to Find a Better Way

General Compliance 206

#P16

P16: Investigations Workshop (Morning Session: Parts 1-3) (con’t) Latour Lafferty, Of Counsel, Gunster, Yoakley & Stewart, PA View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance 207

#P17

P17: Is there a Doctor in the House? Diagnosing and Treating your Program Ills with Data Analytics Krista Muszak, GS SOX Controls and Compliance, Supervisor, Johnson & Johnson Louis Perold, Principal, Citadel Compliance View Description

-With access to so much data, where do you begin? How do you make sense of it all? How can you leverage the data to reveal gaps, mitigate risks and grow your compliance program? -Are you wrestling with how to manage and monitor your data to make sure you are in compliance with the ever-changing rules? -Answer these questions and discuss how you can use data analytics for risk assessments and to address other elements of an effective compliance program.

Risk 208

#P18

P18: Ethics & Leadership: More than Slogans & Sayings Don Mullinax, President & CEO, Mullinax Group, LLC View Description

• Managing partner of accounting firm sentenced to 20 years for theft of $500,000 from his own company. Despite policies and codes of ethics, lapses in ethics like this occur every day. You will take an interesting look into the mindset of these fraudsters.
• Would commit a felony to pay for needed surgery for your child? How do you rate yourself when it comes to ethics? What would you do? You will test your Ethics IQ using real-world cases to determine what you "would" do versus what you "should" do.
• Leaders must set the proper tone within their organizations and that means more than just a bunch of slogans and sayings -- they must change behaviors. Where do you begin?

Workshop 209

#P19

P19: Ethics and Compliance as a Start Up - 20 Steps to Up and Running Charlotte Young, Chief Risk and Compliance Officer, Winrock International Grace Wu de Plaza, Group Head of Ethics, Ferguson View Description

• Starting a compliance office? Here is a handy checklist of how to get started and what not to forget
• Intended for new programs but also would enhance a mid-mature program
• Providing tested practical tips and tools to leverage your resources to build an effective program

Case Study 210

#P20

P20: Managing an Investigations Docket in Asia: Key Regional Regulatory Issues and Top Tips for Conducting Cross-Border Investigations Jimmy Chatsuthiphan, Director, Compliance & Ethics APAC, Uber Technologies Jason Chang, Of Counsel, DLA Piper LLP (US) View Description

• Exploration of recent hot regulatory issues affecting the Asia region
• Effectively manage investigations in Asia, particularly for multinational organizations
• How to build an effective cross-border investigations team and key components

International 211

#P21

P21: Top 5 Compliance Risks when Contracting with the Federal Government Erica Geibel, Corporate Legal Counsel, Ethics and Investigations, Perspecta Inc. Stephen Knight, Partner, Smith Pachter McWhorter, PLC View Description

• The federal government is unlike any other customer that a company can have, imposing complex compliance requirements on contractors.
• This discussion will focus on the major government contracting compliance challenges and how to address those challenges preemptively.
• The presenters will provide an overview of the significance of doing business on federal government money; the five greatest compliance risks affecting contractors; and a summary of significant legislative and regulatory developments in those areas.

Lawyer 212

#P22

P22: Move the Needle - Active Agent Approach to Cybersecurity and Data Protection Compliance Brian Novack, Lead Compliance Analyst, AT&T Wireless Oleg Vasilyev, Director - Technology, Chief Compliance Office, AT&T View Description

• Core products and processes at each company are dependent on IT. Active threats continue to evolve and drain resources. This limits a company's ability to reinvest, develop products, expand offerings to drive the next wave of growth, or to remain viable.
• To help, compliance must become an active partner supporting all facets of a company to establish the expectation for compliance, plan for compliance upfront, and drive compliance through strategic resource investment that is balanced with the risk.
• We will discuss an approach to help move companies towards active compliance, enabling each of us to build a solid foundation on which to reduce the threat opportunity and most importantly: Move the Needle.

IT 213

#P23

P23: Grant Fraud: $700+ Billion in Potential Risks Kenneth Dieffenbach, Special Agent in Charge, U.S. Department of Justice OIG View Description

• The Federal Grant Process: what you need to know about the basic parameters from application to award to implementation to oversight mechanisms.
• What Can and Does Go Wrong: the common grant fraud schemes and key liability areas that every grantee must address.
• Grant Fraud Prevention: practical tips on how to proactively protect your organization.

General Compliance 214

#P24

P24: Investigations Workshop (Afternoon Session - Parts (4-6) Albert Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (Retired) Meric Bloch, Global Head of Investigations, Booking Holdings, Inc. View Description

• Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.
• Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.
• Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging

General Compliance 215

#P25

P25: Navigating the Murky (and Sometimes Treacherous) Waters of Conflicts of Interest Christopher Miller, Regional Compliance Officer North America, General Motors Rebecca Walker, Partner, Kaplan & Walker LLP View Description

• Overview of conflicts of interest risk, its impact on organizations and compliance controls, including policies, questionnaires and approval methodologies
• Explore real-world fact patterns that require difficult judgment calls and balancing of interests
• Consider how to make decisions that can enhance the culture of integrity and sense of organizational justice

Risk 216

#P26

P26: 5 Steps to Ethical Problem Solving Marcy Maslov, Chief Integrity Builder, e-Factor!®- the educational board game for business ethics View Description

• We assume everyone has the same definition of ethics as we do... until there's a problem. Every business issue we face has an ethical dilemma at is core. Do you know how to recognize the ethical dilemma?
• Employers of new graduates are complaining their new hires are not "Job Ready" in one critical area: ethics. So where do we learn how to solve ethical dilemmas? Who taught you, and how do you know if you’ve made the right decision?
• It's important to provide a framework for ethical problem solving. Here are my 5 steps and a gamified approach to teaching not only decision-making but critical thinking, leadership and team-building skills.

Ethics 217

#P27

P27: The First, Best Chance: Post-Merger Ethical Culture Building Challenges, Opportunities and Lessons Jason Lunday, VP, Product Development & Advisory Services, Syntrio, Inc. Robert Locraft, Ethics Officer, Perspecta View Description

• Perspecta’s challenges to build a new ethical culture company formed by the spin-off of the DXC Technology U.S. Public Sector business and merger with Vencore and KeyPoint Government Solutions to address big U.S. Government IT and security challenge
• As a newly publicly traded company, and a government contractor, the ethics and compliance program had to be ready to go Day 1, including a unified Code of Conduct and plan to promote a common set of behavioral standards to bring together all employees.
• This offered Ethics & Compliance the chance to lead the way under the company’s new Values statement. The ECO brought to life these Values through training and communications initiatives as central to the new company’s launch and culture setting.

Case Study 218

#P28

P28: Leveraging Political Risk Analysis to Help Reveal Local Compliance Risks and Right Size Program Design Paul Dudzinski, Director, Control Risks Mike Wolff, Partner, Control Risks View Description

• Understanding how bribery and corruption actually work in order to design programs that better ensure compliance across disparate operational markets.
• Developing and leveraging nuanced risk indicators and benchmarks based on aggregated understanding of actual local distinctions for corruption in specific markets, sectors or industries.
• Using local insight and an understanding of stakeholder connections and government to anticipate antagonistic developments and manage investigations intelligently.

International 219

#P29

P29: Navigating the Minefield: Complying with a Patchwork of Lobbying and Ethics Laws Mitchell Pawluk, Senior Counsel - Significant Case Team, Walmart Joan Sullivan, Partner, Harris Beach View Description

• When does meeting or communicating with government officials constitute reportable "lobbying"? And do I or my organization have to register as a "lobbyist"? Find out answers to these questions and how to best protect your organization.
• You're telling me lunch with a public official can be an illegal gift? What about attendance at a charitable event? When "that's how business is done" is no longer how business can be done. Learn more about the impact of government ethics laws.
• How to navigate the minefield that is the patchwork of federal, state, and local lobbying and ethics laws, and incorporate best practices in your organization.

Lawyer 220

#P30

P30: Software License Compliance & Vendor Management: Why It's Mission-Critical To Reputation & Cybersecurity, 10 Reasons It's Hard (& Getting Harder), & 10 Action Tips For You & Your Team Henry Jones, Owner, Law Office of Henry W Jones III & Intersect Tech. View Description

• Non-Compliance, Now: How Traditional Purchasing & IT Processes + Vendor & Technology Changes Have Landed Nearly Every Entity In Contract Breach, Copyright Infringement, & Security & Reputation Risk
• Digital Dependency Reduction & Organizational Quality Control: Best Practices: Recommended, Rank-Ordered Action Items For Compliance Professionals To Help Purchasing, IT & Other Colleagues See & Fix Software License Compliance
• Get To Not Just Yes & Fixed, But Also Thank You: Tips For Software-Specific Change Enablement, Quantification, Persuasion, Charm, Evidence, Appreciation, Budgeting, & Career Benefits

IT 221

#P31

P31: New Beginnings: Starting your Compliance Program and What Needs to be Included Debbie Troklus, President, Troklus Compliance Consulting Sheryl Vacca, SVP/Chief Risk Officer, Providence St. Joseph Health View Description

-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 222

#P32

P32: Investigations Workshop (Afternoon Session - Parts 4-6) (con’t) Albert Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (Retired) Latour Lafferty, Of Counsel, Gunster, Yoakley & Stewart, PA Meric Bloch, Global Head of Investigations, Booking Holdings, Inc. View Description

• Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.
• Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.
• Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging.

General Compliance 223

#AUTHORS1

Author signing: Roy J. Snell, The Accidental Compliance Professional View Description

Networking

#RECS

Opening Reception (Exhibit Hall). Braindates Time View Description

Networking