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Handouts

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Effective Communications for Encouraging Reporting Across All Mediums

Michaela Ahlberg, Senior Advisor, Getinge
Susan Roberts, Former Healthcare Chief Compliance Officer
Grace Wu de Plaza, Group Head of Ethics, Ferguson Enterprises LLC

• What are the right messages that encourage people to come forward?
• The importance of building trust to encourage calls and reduce anonymous reporting
• Are you doing too much or too little? Learn when it’s time to adjust your communication

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Evaluation

Sitting Across from Someone Reporting a Potential Issue

Laurel Burke, Formerly Director & Assoc. General Counsel – Compliance
J. Veronica Xu, Chief Compliance Officer, Saber Healthcare Group

• How to encourage the reporter to share more information without scaring him/her off
• Ensuring confidentiality of face-to-face reports
• Keeping the door open for follow-up conversations

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Evaluation

Handling Reports That Aren’t Really Compliance Related

Gwen Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial
David Heller, VP Risk Management & General Auditor, Edison International
Mark Revel, Senior Principal Ethics & Compliance Advisor, Northrop Grumman

• Developing an effective triage method, including delegating some reports to other departments
• Helping HR, internal audit, and others understand the importance of handling these reports
• Ensuring that they are followed up on and the reporter is followed up with

No Presentation Available
Evaluation

How to Communicate with Reporters

Keith Thomas, Lead Counsel, Corporate Integrity & Compliance, FedEx
Dawn Young, Manager, Anti-Corruption Program, W.W. Grainger

• Case status and the amount of information that can be disclosed to reporters
• Frequency of communication
• Appropriate personnel who should be communicating with reporters

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Evaluation

Helplines and Other Contact Methods

Karen Clapsaddle, Ethics Director, Lockheed Martin
Blair Marks, Vice President, Ethics & Business Conduct, Lockheed Martin

• Effective use of multiple contact vehicles
• Internal vs. third-party helplines: Pros and cons
• What to report to the board • How to build trust to reduce anonymous reporting

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Evaluation

Integrating Reporting Data with Other Compliance-Related Data

Moderator: Adam Turteltaub, Chief Engagement & Strategy Officer, SCCE & HCCA
Panelists: Joshua Toas, Chief Compliance Officer, The Research Foundation for SUNY
Brooke Nelson, Executive Director, Worldwide Compliance and Business Ethics, Amgen
Joe Turner, VP and Head of Compliance Monitoring, Sony

• Ensuring integration with the case management solution, training, conflict of interest, and other data collected
• Ensuring the security of the system
• Using the data to inform everything from the risk assessment to onboarding employees

No Presentation Available
Evaluation

Lessons Learned from the SEC’s Whistleblower Program

Moderator: Jenny O’Brien, Chief Compliance Officer, UnitedHealthcare

Speaker: Jane Norberg, Partner – Securities Enforcement and Litigation, Arnold & Porter

• What the data shows and what it means
• Why whistleblowers come to the SEC instead of (or in addition to) reporting internally
• What compliance teams can learn from whistleblower settlements

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Evaluation