DAY 2 – Ethics & Compliance Conference Presentations
Monitoring for retaliation: A how-to Guide for ethics Officers Vicki Sweeney, Principal, KPMG LLP Carrie Penman, Vice President, Ethical Leadership Group, A Global Compliance Company
- Learn to identify individuals who may be subject to retaliation
- Clarify data sources in your own organizations that can contain retaliation red flags
- Analyze sample data sources to build skills to identify when retaliation may be occurring
Facebook, LinkedIn, Youtube: friend or foe? How social networks and Web 2.0 Are creating risks for companies Orrie Dinstein, Chief Privacy Leader, GE Capital
- Learn about the risks posed by social net-works and interactive websites
- Learn what are some of the ways to address these risks
- Learn how to write effective policies to navigate through
Risk management culture: the Linkage between ethics & compliance and ERM Barbara Kipp, Partner, PricewaterhouseCoopers
- What constitutes an effective risk man¬agement culture and why it is a key foundation of a sustainable ERM program
- How risk management culture relates to and reinforces the organization’s ethics and compliance objectives as well as broader objectives
- How risk management culture will factor into addressing S&P’s upcoming ratings process
Winning through compliance: A british telecom’s compliance challenge Keith Read, C.Eng., MIET Group, Compliance Director, British Telecom
- Developing a compliance strategy
- How to change the compliance culture in a company—and winning senior manage¬ment support
- Managing external relationships with regulators, competitors and critics
- Measuring compliance and developing that into ‘Demonstrable Compliance’
- ‘Doing it Differently’: compliance tools and techniques
Personality and Process: navigating the Politics of Municipal compliance Anthony O. Boswell, Executive Director, Office of Compliance, City of Chicago Mark Meaney, First Deputy Director, Office of Compliance, City of Chicago
- The application of best practices in corporate compliance and ethics programming from the private to the public sector
- The unique challenges compliance and ethics professionals face in public sector com¬pliance and ethics program implementation
- Distinguish “personality” from “process” and discuss how to navigate the politics of municipal compliance program imple¬mentation in a highly charged political environment
Managing ethics and compliance during a recession Marjorie Doyle, JD, CCEP, Ethics and Compliance Consultant, Marjorie Doyle & Associates LLC Theodore L. Banks, Compliance and Competition Consultants, LLC
- Strategies for maximizing existing staff and resources when faced with cutbacks
- How to enlist support in your ethics and compliance program during times of heightened risk
- How to develop messaging and communi¬cate awareness in a difficult economy
Let’s give them something to talk About: Publicizing business conduct violations Inside Your company John Stoxen, Director, Business Conduct and Compliance, 3M Company Gwen Schwebel, Compliance Specialist, 3M Company
- Discuss the difficult process 3M went through in deciding to make this major cultural shift
- Show numerous examples of how viola¬tions can be effectively communicated in a manner that does not create litigation risk or other negative results
- Discuss the many positive outcomes 3M has experienced as a result of this program
Supply Chain Integrity Michael R. Levin, Esq., CCEP, Vice President, Integrity Interactive
- Provide insight to risks typically ignored
- Benchmark: Show how peer companies are managing risks
- Review survey data to show best practices
- Heighten awareness of relevant manage¬ment processes
Ethics / Compliance hotline benchmarking: best practices and data trends Nick Ciancio, Sr. Vice President, Marketing and Business Development, Global Compliance Carrie Penman, Vice President, Ethical Leadership Group, A Global Compliance Company
- How effective is anonymous ethics help-line reporting?
- What is the most effective way to advertise your hotline/helpline?
- How do you know if you are getting the right numbers and types of calls through your ethics hotline/helpline?
- How should you interpret findings and trends, and how do those findings corre¬late to actions?
- What types of data should be tracked and reported to executive leadership?
Applying corporate compliance principles in a federal agency Emil Moschella, JD, Attorney at Law
- Flexibility in the Federal Sentencing Guidelines
- Describe motivational differences between government and corporate agencies in adopting the corporate compliance methodology
- Benefits to the governmental agency in having such a program
- Difference between ethics programs and compliance regardless of organization
Compliance programs on trial: Assessing programs through direct and cross-examination Rebecca Walker, Partner at Kaplan & Walker, LLP Paula Desio, Chair for Ethics Policy, Ethics Resource Centre Carl H. Moor, Partner, Munger, Tolles & Olson LLP
- Be the jury in assessing certain elements of compliance and ethics programs
- Explore effective methods of program assessment
- How would prosecutors, a judge or a jury view your program?
- How do best practices programs hold up to cross-examination?
How to Manage a Whistleblower process in the new regulatory environment David J. Heller, JD, Former Chief Ethics and Compliance Officer, Qwest Frank Lopez, Director, Ethics & Compliance, Qwest Associate General Counsel
- Learn about the potential impacts of the changed environment
- Learn about regulatory changes
- Learn how to adjust your investigative/ whistleblower process
Compliance at Siemens: A Management change process
- How to build up an efficient compliance organization in a crisis situation
- Core elements of a compliance program: prevent-detect-respond
- How to embed compliance in the business
- Collective market approach
3 c’s: culture, compliance& credibility: Dell’s approach to ethics and compliance Page Motes, Global Education Strategist, Dell Global Ethics & Compliance
- Aligning E&C structure to better support Dell’s business
- Focusing on Culture, Compliance & Credibility
- Developing business processes to “opera¬tionalize” compliance
Values-based approach to ethics and compliance: the only sustainable way and how to achieve it Ruth N. Steinholtz, (former) General Counsel and Group Security Coordinator, Borealis AG
- Why values are the only sustainable foundation for an ethics & compli¬ance program and how to develop and embed them in an international organization
- How to ensure that your company’s pro¬cesses and systems do not sabotage an ethics & compliance program
- What additional attitudes and skills do ethics & compliance officers need to develop in order to champion this approach
A practical guide to building and maintaining an anti-corruption compliance program Mark Snyderman, Senior Advisor on Anti-Corruption to the United Nations Global Compact and former Chief Ethics & Compliance Officer, The Coca-Cola Company
- Learn how to build and maintain a program that actually works to prevent corruption
- Learn what to expect when moving into difficult environments
- Learn how to monitor the effectiveness of your program
Lower your costs and implement best practices in building a reputation risk due diligence program for the emerging Markets Mark Garfinkel, Esq., CEO, Diligence International, LLC, Former VP and GC of OPIC
- The session will teach attendees the nuts and bolts of effective reputation risk due diligence.
- They will learn how the due diligence and background information industry is segmented and outsourcing options and various resources will be discussed and compared.
- Attendees will learn how to set up an in-house information center that will save their company money and allow them to demonstrate best practices.
- All of the elements of an effective due dili¬gence program will be discussed.
Next Generation compliance & ethics programs and challenges for Government contractors William A. Roberts III, JD, LLM, Partner and Co-Chair, Government Contracts Practice Group, Wiley Rein LLP Kevin Cassel, Director, Instructional Design, SAI Global Mark Rowe, CCEP, Director, Compliance & Ethics Advisory Service, SAI Global
- Provide an update on developments in 2008/2009 affecting the implementa¬tion and effectiveness of C&E programs for companies that sell to the federal government
- Identify the areas in which government contractors would be advised to place greatest focus
- Provide a roadmap that will assist par¬ticipants in navigating around potential pitfalls and in sustaining an effective C&E effort in a more demanding era
Private eye 101: Investigations principles Meric Bloch, JD, CFE, Vice President Compliance & Corporate Investigations, Adecco Group North America
- Learning about investigations best practices
- Learning about how to protect yourself when your investigation comes under scru¬tiny or allegations of improper conduct
- Learning about how to integrate the inves¬tigation with the larger business goals of your company
