2019 Compliance & Ethics Institute (CEI)

26. Building Ethics and Compliance Programs with Public-Sector Employees

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Angelique P. Dorsey  | September 17, 2019 

    • What are the best ways to impact ethical culture with employees who have been with the agency for over a decade?

    • How does a program overcome the “this is the way we’ve always done it” syndrome?

    • Techniques to translate ethics laws governing public employees into practice.

27. Choosing and Using KPIs and Metrics that Matter: How to Assess and Sell Your Program from the Inside Out

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Kristy Grant-Hart, Susan Du Becker  | September 17, 2019 

    • Learn how to choose Key Performance Indicators that actually matter: meaningful, impactful and business relevant.

    • Find out how to evaluate your program from the inside out by using cutting edge metrics that not only tell the story of your program’s progression, but also how you’ve supported business initiatives.

    • Hear over 40 specific Key Performance Indicators so you can choose those that best fit your program. You’ll find out how to track, monitor, and manage in a more effective way.

28. Compliance by Contract - Drafting and Negotiating Terms for Peer-to-Peer Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jason B. Meyer, Amy E. McDougal  | September 17, 2019 

    • When you negotiate a commercial contract that includes terms about compliance -- whether with customers, contractors, vendors or suppliers -- the right terms can boost your own C&E program, and the wrong terms can undermine it.

    • From “Quality Agreements” to extensive “reps and warranties” to auditing and indemnification clauses, current trends in commercial contracts mean that transactional lawyers and compliance leaders must be effective partners.

    • We’ll share our experiences, exchange pitfalls and engage in facilitated exercises. The goal: getting better at closing good deals that support great compliance programs.

29. Culturally Sensitive & Regionally Specific - Ensuring Your Message Resonates Globally and is Effective Across a Multidimensional Corporate Landscape

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Ana-Paola A. Capaldo Aoun, Jannica Houben  | September 17, 2019 

    • Know Where You Are - How to tailor critical aspects of your program, such as communications and policies to a global audience, and how to ensure your message resonates across various countries, employee profiles, and operations.

    • Know Who They are - how to asses and develop a program that is effective in many geographies, specifically as it relates to policies, communications, and training. Exploring statistics and studies on how messaging is interpreted by various cross-sections.

    • Brief highlights on other considerations (regulatory, legal landscape, investigations, privacy, and more).

30. Cultures of Integrity - We Know What They Are and What They Should Look Like, but How Do We Get There?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Mary Shirley  | September 17, 2019 

    • Discussion of behaviors that define a good culture and what initiatives compliance can lead to inspire those behaviors

    • Mood in the middle - how to get middle management to buy into demonstrating a culture of compliance and integrity

    • Examples of what other companies just like yours are doing to build and establish a strong culture

31. Go Big or Go Home: How to Hold an Ethics Month Event

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Michelle Cantu  | September 17, 2019 

    • Planning: How to plan a month-long event, including creating a communication plan, engaging stakeholders, deciding on giveaways (purchased and free), and marketing your event.

    • How to Brand Your Ethics Month: Using logos, themes, and colors to brand your event.

    • Ethics Month Events: Examples of different events and communications used as part of an Ethics Month, including easy to plan events, elaborate events for large groups, newsletters, and surveys.

32. DOJ's Guidance on Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Billy Jacobson, Steven Gyeszly  | September 17, 2019 

    • What new ground is covered by the new, enhanced DOJ compliance guidance

    • How the DOJ is utilizing the guidance.

    • How companies are and should be utilizing the new guidance.

33. Designing Actionable, Memorable Risk Reports

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Melanie Herman  | September 17, 2019 

    • Attend this session to learn how to create compelling risk reports for a variety of audiences.

    • Learn how risk dashboards have evolved including design tips for choosing data for a risk dashboard.

    • Leave this session with ideas and insights you can use to inspire risk-aware decision-making by management and governing teams.

34. Next Generation Anti-Corruption Compliance Programs: Transforming a Policy-Based Program to a Controls-Based Program

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Parth Chanda, Samantha Badlam, Natasha Trifun  | September 17, 2019 

    • Hear from a DOJ-appointed monitor, a current in-house compliance lawyer, and a former in-house compliance lawyer turned technologist on how to implement a robust controls system to mitigate corruption risks that will pass muster with enforcement agencies

    • Using real-life examples, understand how to map your controls gaps to operationalize end-to-end systems and controls, from preapproval systems and third-party due diligence, to payment controls and compliance monitoring and analytics platforms

    • Learn about how to prioritize improvements with limited resources and how to leverage resources outside of Compliance, such as Procurement, IT, Internal Audit and Finance, from three speakers with hands-on experience as in-house and outside counsel

35. RIM 101: Managing Risk and Designing a Compliant Information Management Plan

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jacki Cheslow  | September 17, 2019 

    • While we live in the Information Age, not all information created or received is equal

    • This session will focus on building a compliant and legally defensible plan to manage your records and information

    • During the session we will explore the record and information lifecycle, General Accepted Accounting Principles and the steps required to design a compliant and legally defensible record retention plan

36. Role of the Compliance Officer in Preventing Perverse Performance Incentives that Can Drive the Wrong Employee

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Eric R. Feldman  | September 17, 2019 

    • Discuss why employee incentives, such as bonuses and promotions, should be properly aligned with corporate ethics and integrity objectives.

    • Identify through sharing of case examples how perverse incentives can contribute to employee misconduct.

    • Learn how Compliance Officers can play a value-added role in corporate performance management processes.

37. The College Admissions Scandal: Lessons for Other Organizations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jonathan E. Turner  | September 17, 2019 

    • What we know is that: Unexpected ethical lapses expose organizational blind spots; we are still only as strong as our weakest employees; reputational risk has exponentially increased

    • Given that, what specific action steps do organizations take today?

38. Sexual Misconduct in Olympic Sports: Compliance in the Post-Nassar Environment

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Regis Becker  | September 17, 2019 

    • Fair, objective, and timely investigation of alleged sexual misconduct is a top priority in every organization today

    • Learn about the creation and rapid growth of the US Center for SafeSport, the entity created to address sexual misconduct and promote athlete safety in the US Olympic Movement

    • Gain insight from the Center’s effort to train over half a million athletes, coaches and administrators on all aspects of sexual misconduct in sport, while investigating more than 2000 reports of misconduct

39. Transformation! 5 Success Strategies for Compliance Changemakers

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Amii L. Barnard-Bahn, Virginia MacSuibhne  | September 17, 2019 

    • Organizations have a natural tendency to resist change. Compliance leaders need to adopt change management principles to successfully manage this natural resistance

    • Learn the 5 change management principles that will enable you to manage compliance initiatives for optimal acceptance, cultivate positive business relationships, and create an information funnel that enables continuous improvement

    • Explore a Roche case study illustrating how change management principles transformed the business. Attendees will come away with a deep understanding that change management ensures our most important work is built to last

40. The Compliance Officer's Guide to Keeping Calm and Carrying On: Strategies and Tools for Thriving in a Stressful Profession

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Diana L. Trevley, Lisa Beth B. Lentini  | September 17, 2019 

    • Share and discuss the unique challenges and stressors facing compliance officers in today’s corporate world

    • Learn simple but effective life hacks for managing burnout, jet lag, crises, and crying babies (of both the corporate and infant variety)

    • Discover the science behind the mindfulness, meditation, and gratitude practices that helped transform one company’s compliance team

41. Using Automation for Compliance Management and Reporting That Will Bring a Smile to the Face of Any Prosecutor

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Theodore L. Banks, Heidi Randolph, Gene Stavrou  | September 17, 2019 

    • Technology tools to facilitate collaboration/delegation with other parts of the business (including case management systems, learning management, policy management, etc.)

    • Aligning and evaluating your compliance program to fit the recommendations of the Federal Sentencing Guidelines and the DOJ Evaluation of Corporate Compliance Programs tool

    • Using technology tools for management reporting and engagement (including risk assessment, financial management, ROI, etc.)

42. What do Starbucks Coffee, Jimmy Buffet and a Can of Cheez Whiz Have in Common? A Unique Look at How to Explain Ethics and Compliance and Successfully Embed it Within the Operations.

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Beth Colling  | September 17, 2019 

    • Learn how to introduce or refresh a compliance and ethics program into your organization, especially where buy-in seems lacking

    • Develop methods to market your program to internal stakeholders using real-life examples

    • Take away practical tips for establishing and defining the program and embedding it within your organization using the operational leaders as your Compliance Ambassadors

43. Global Compliance on Limited Resources

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Domenick DiCicco, Thomas A. Doyle, Robert Kent Jr.  | September 17, 2019 

    • Challenge of Increased Compliance Regs. Globally.

    • Cost of Such programs for mid-cap companies is burdensome.

    • How we can still create an effective program.

44. Human Risk: Bringing Science to Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Christian J. Hunt  | September 17, 2019 

    • In the Knowledge Economy, people are often seen as the greatest asset of an organisation. Yet those assets also pose a bigger risk than ever before.

    • In fact, Human Risk, the risk of people doing things they shouldn’t or not doing things they should, is the largest single risk facing most organisations.

    • Yet this risk is widely managed by using techniques that rely on presumptions about human decision-making that aren’t valid. This presentation will explore how Behavioral Science can facilitate the management of Human Risk.

45. Ethical Lapses of Executives and Other Notable Public Figures: Lessons Learned, and Lessons Never Learned

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Stuart L. Pardau  | September 17, 2019 

    • Spectacular ethical failings of corporate and other business leaders now appear commonplace. What drives already and otherwise successful people to commit ethical violations or even engage in criminal conduct?

    • Are there common attributes that can be identified in the acts or omissions of these business actors? Equally important, can factors or circumstances be located that inform us as of early warning signs that can modify behaviors or even prevent them

    • This presentation will identify specific case studies of notable recent examples to try to identify commonalities or root causes of these lapses.

46. How a Twenty Year Military Career Developed Me as an Ethics & Compliance Professional!

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Mark Revel  | September 17, 2019 

    • Part One: Integrity First! The USAF #1 Core Value is the very foundation of all we do as CEPs. Learn how basic core values can be applied to your working life with integrity lessons learned and applied.

    • Part Two: Employee Engagement when the bullets are flying! — Everyone knows engaged employees are more productive. Here’s why....You will learn how and why you should become the most engaged employee on your organization’s team.

    • Part Three: Leadership is everything! You will learn what true leadership is and will be given practical examples and tips for learning and applying the crucial art of leadership in our roles as CEPs. Leadership is essential for our professional development at CEPs.

47. ISO 37001: The Global Future of Compliance or a Turn Down the Wrong Trail?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Walter E. Johnson, Joseph E. Murphy  | September 17, 2019 

    • What is ISO 37001 and what are its implications for compliance globally?

    • In what ways does it impact compliance professionals and our organizations?

    • Can the standard be improved to achieve betters results in fighting corruption?

48. Making Connections Count: Tips to Gain Value Through Networking

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Samantha Kelen  | September 17, 2019 

    • Don’t be caught alone. Networking with other professionals ensures you’ll have the support you need to fulfill the challenges of an ethics and compliance role.

    • Don’t be afraid. It’s not nearly as complicated, challenging, or scary as it seems. We’ll discuss concrete steps you can take to improve your network.

    • Don’t delay. Networking can lead to countless opportunities if you put in the effort, so come prepared to exchange business cards and get connected.

49. Making the Most of Your E&C Network

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jessica A. Tjornehoj, Eric Brotten  | September 17, 2019 

    • Professionals from all generations will learn about and share ideas around best practices for networking, being a connector, paying it forward, and thought leadership as an ethics & compliance professional

    • Learn to leverage in-person events (like this conference!), affinity and professional associations, mentoring, networking, publishing, and social media to expand & share your expertise in E&C

    • Increase your reach as an E&C professional and influencer and participate in the #SCCEcei thread for hands-on practice of your new/improved networking skills! Let’s get #SCCEcei trending together!

50. It's Not Where You've Been; It's Where You Are Going: Improving Compliance and the Employee Experience by Tackling Policy Proliferation

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Cynthia Creech, Laura Ellis  | September 17, 2019 

    • How Cisco set to reduce complexity and frustration and improve compliance with an aspirational goal of reducing the number of companywide policies from 330+ to 33 and, along the way, align compliance posture with risk tolerance.

    • How did we do this? Why did we do this? And how did the collaboration between Policy Governance and Compliance & Ethics set off a chain reaction within Cisco to make compliance easier across the company?

    • In this session, we will walk through our often complex and frustrating process to optimize and consolidate, clear up inconsistencies and overlap and stop the madness of policy proliferation to improve both compliance and the employee experience.