Ethics & Compliance Association Workshops
Developing and Implementing a Risk- & Role- Based Communications and Training Plan
(9 a.m. - Noon) Michael Marrero, Senior Staff Administrator, Corporate Compliance & Ethics, Honda of America Mfg., Inc.; Mary Bennett, Vice President, and Steve Priest, President, Ethical Leadership Group, a Global Compliance Company
Effective training and communications are the foundation of a strong ethics and compliance program. However, “one size fits all” training has proven to be insufficient. To maximize success and reduce costs, organizations must develop two- to three-year plans that pinpoint messages and target audiences based on need and risk. This workshop will empower participants to build such a plan. Topics include:
- Segmenting employee audiences by role and need
- Identifying effective training and communications approaches and vehicles
- Creating a defensible and sensible three-year plan
Workshop participants will be provided witha guide for completing their own communica¬tions and training plan.
Nuts and Bolts: Building a Third-Party Due Diligence Program for FCPA Compliance
(9 a.m. - Noon)Kenn Kurtz, CEO, The Steele Foundation; Edward S. Cooper, Program Manager, International Corruption Unit, U.S. Federal Bureau of Investigation (FBI)
FCPA has been all over the headlines as a result of exponentially increased DoJ and SEC enforcement, as well as heightened global investigative activity among interna¬tional authorities. But what does “reasonable” compliance look like when it comes to vetting third-party business intermediaries abroad?
This interactive workshop will provide participants a nuts-and-bolts look at how to implement a credible, consistent third-party due diligence program, including how to identify types of third parties and “red flags,” field-investigative “best practices” (including what information is legally obtainable interna¬tionally), and tactics for developing a robust risk-based work plan.
The workshop will drill down with “real-world” case studies. Participants will learn how to determine potential FCPA exposure using global watch lists, the Corruption Perception Index, and other tools.
Large-Group Methods as a Means of Pursuing an Ethical Organizational Culture
(All-day session 9 a.m. - 4 p.m.) Barbara Bunker, Professor of Psychology Emeritus, University at Buffalo (SUNY); Billie Alban, President, Alban & Williams, Ltd.
Ethics initiatives and Large-Group Methods both involve the entire organization and its culture. As such, Large-Group Methods that engage the whole system are an innovative and promising way of achieving a shift in values and ethical standards in the organization. This workshop will provide an experiential introduction to these methods used in organization development to change and improve organization culture and processes. It will:
- Discuss and demonstrate some easy¬to-learn Large-Group Methods
- Apply Large-Group Methods and the principles inherent in them to cases involving ethical issues that were developed with an ECOA advisory committee (This application will include system-wide interventions, as well as smaller change projects using these methods.)
- Help participants build the skills to apply these methods in their own organization.
Global Business Ethics 2.0: Cross-Cultural Competence for Global E&C Team Leadership
(1:00 - 4:00 p.m.) Monica Marcel, Partner, and Randall Stieghorst, Partner, Language and Culture Worldwide, LLC
Why 2.0? Ethics and compliance leaders need a new generation of global skills and mindsets to achieve a non-HQ-centric program. To resonate with locations world-wide and overcome objections of “that won’t work in China” (or India or Russia), E&C eaders need “2.0” abilities to deliver a new generation of both compliant and cross-culturally competent global initiatives. Key components of this workshop include action planning and application to E&C teams.
Participants will leave with expert insight for how to introduce and maintain cross-cultural competence into their investigations, policies, communications and training. Session participants receive a free copy of the newly published “Cultural Detective®: Global Business Ethics” for use in exploring, and resolving, ethical business dilemmas set across nine national cultures. You will:
- Explore how global policies will play out and be seen by employees in different national cultures
- Learn how to make your program content and training materials more attractive and usable for global locations.
Suspect, Inspect, Detect and Correct: How to Conduct an Effective Workplace Investigation
(1:00 - 4:00 p.m.)Meric Craig Bloch, Vice President, Compliance and Corporate Investigations, Adecco Group North America
Workplace investigations are routine company functions, but their value is often not maximized. When done right, investiga¬tions both confirm possible misconduct and identify areas of unacceptable business risk. In the current economy, the latter may be as important to your company as the former.
This workshop will examine the methods, tools, and legal limitations in fact-finding in today’s workplace while exploring how to obtain the highest possible return-on¬investment. Using a hypothetical case study, participants will explore each investigative phase, from interviewing the reporter to writing the final report. Considering its central role in the process, the workshop will pay special attention to interviewing techniques.
Participants will receive forms, checklists, and other valuable tools. The principles discussed are generally applicable to all workplace investigations.
Stress-Testing Your Ethics and Compliance Program
(1:00 - 4:00 p.m.) Ken Stewart, Vice President and Chief Ethics and Compliance Officer, Edison International; Carrie Penman, Vice President, and Steve Priest, President, Ethical Leadership Group, a Global Compliance Company
As government investigative activity and regulatory oversight increase both in the U.S. and abroad, ethics and compliance officers must be familiar with what is expected from their ethics and compliance programs by outside parties.
This hands-on workshop will explore what government-appointed monitors and board-appointed assessors look for when scrutinizing programs, including what documents and sup-porting information are expected to be com¬pleted and readily available. Participants will learn how to stress-test their own programs according to key evaluation criteria, including:
- Process by which significant risks are identified
- Specific means by which these risks are responded to
- How the organization would respond once an employee became aware of a potential problem in a given risk area
Participants will leave the workshop with action-planning resources to help prepare for a potential future stress-test of their own organization.
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