DAY 1 – Ethics & Compliance Presentations
Compliance 101 Debbie Troklus, CCEP, CHC-F, CHRC, Assistant VP for Health Affairs/Compliance, University of Louisville Sheryl Vacca, CCEP, CHC-F, CHRC, Senior Vice President/ Chief Compliance and Audit Officer, University of California
- An in-depth look into the seven elements of an effective compliance program
- “How to’s” of designing and implementing an ethics and compliance program from the ground up
- A suggested governance structure and program frame-work
- Project and program management techniques, systems, tools, etc.
- Monitoring and follow-up techniques
Compliance and the Public Employee Robert L. Borntrager, CHC, Director and Chief compliance Officer, Office of Compliance and Legislative Affairs, County of San Diego Health and Human Services Agency Jeffrey A. Nagel, PhD, CHC, Chief of Staff/Chief Compliance Officer, County of Orange Lisa M. Macchione, JD, MPH, Senior Deputy County Counsel, County of San Diego
- Participants will gain a better understanding of the unique challenges that face public sector compliance professionals
- Participants will learn techniques and strategies for dealing with these unique challenges
- Participants will develop a network of resources to call upon for assistance and ideas
Raising Awareness of Compliance Through Corporate Compliance & Ethics Week Randy Stephens, JD, CCEP, Former Senior Director-Corporate Compliance, The Home Depot
- Demonstrate effective communication techniques
- Showcase teamwork benefits of designing and putting on the program
- Discuss techniques on getting buy-in and participation from other non-compliance groups
Corporate Liability, Governance & Compliance Gabriel L. Imperato, Esq., CHC, Managing Partner, Broad and Cassel James M. Lord, Coordinator, Corporate Fraud Task Force, United States Attorney's Office, Seattle, Washington
- An overview of recent developments related to the Sarbanes-Oxley Act, the Sentencing Guideline Amendments of 2004 and Department of Justice Principles for Prosecution of Business Organizations
- Discussion of the legal basis for corporate responsibility, compliance and governance for business organizations and the elements of Deferred Prosecution Agreements, Non-Prosecution Agreements, and Corporate Integrity Agreements, and the frequent use by DOJ of compliance monitors.
- Focus on key modifications of the DOJ policies and its impact on “cooperation” and potential waiver of the attorney/client privilege and what it means for directors and in-house compliance counsel.
- Role of Directors, Executives, and in-house counsel in compliance
- Potential liability faced by directors and in-house counsel in the
Practical Code of Conduct Considerations Jill U. Edmondson, JD, CCEP, Manager, Corporate Compliance, The Home Depot
- Educate participants on stock exchange listing requirements as well as other legal requirements for updating the Code of Conduct
- Educate participants on considerations global organizations should take regarding translation and localization of its Code
- Educate participants on corporate governance considerations when updating the Code
- Offer practical tips and best practices for accomplishing updates in a timely fashion
