ECI's Annual Conference

Elevating E&C: Building High Quality Programs

 

Sunday, APRIL 23, 2017 - E2C track
8:00 AM - 9:00 AM

Registration & Continental Breakfast

9:00 AM - 12:00 PM

E2C Certification Track - Breakout Sessions 1

12:00 PM - 1:00 PM

Lunch

1:00 PM - 4:00 PM

E2C Certification Track - Breakout Sessions 2


MONday, APRIL 24, 2017
7:30 AM - 8:30 AM

Registration & Continental Breakfast

8:30 AM - 9:00 AM

Conference Welcome

Patricia Harned, Chief Executive Officer, ECI
Larry Thompson, Chair, ERC Board of Directors
Matthew Pachman, Chair, ECA Board of Directors

9:00 AM - 9:15 AM

Transition Break

9:15 AM - 10:30 AM

Breakout Sessions

10:30 AM - 11:00 AM

Refreshment & Networking Break

11:00 AM - 12:15 PM

Breakout Sessions

12:15 AM - 1:30 PM

Lunch

1:30 PM - 2:45 PM

Breakout Sessions

2:45 PM - 3:15 PM

Refreshment & Networking Break

3:15 PM - 4:00 PM

Keynote Session

Remarks from Jeff Sessions, Attorney General of the United States

4:00 PM - 5:30 PM

General Session Panel:

  • Larry Thompson, Chair of the Board, Ethics Research Center (ERC), Former United States Deputy Attorney General under President George W. Bush, 2001-2003
  • Paul McNulty, Former United States Deputy Attorney General under President George W. Bush, 2005-2007
  • Jamie Gorelick, Former United States Deputy Attorney General under President Bill Clinton, 1994-1997
  • David Ogden, Former United States Deputy Attorney General under President Barack Obama, 2009-2010
  • Mark Filip, Former United States Deputy Attorney General under President George W. Bush, 2008-2009
5:30 PM - 5:45 PM

Transition Break


5:45 PM - 6:45 PM

Networking Reception: "Take Me Out to the Ball Game"

Sponsored by ECI’s 2017 Gold Level Integrity Leader, LRN

6:45 PM - 8:00 PM

Meet Up


Tuesday, April 25, 2017
7:30 AM - 9:00 AM

Continental Breakfast

8:15 AM - 8:45 AM

Ethics & Compliance Association Membership Meeting

9:00 AM - 10:30 AM

Keynote Session

10:30 AM - 11:00 AM

Refreshment Break

11:00 AM - 12:15 PM

Breakout Sessions

10:45 AM - 12:45 PM

LPEC Examination (Separate registration required.)

The Leadership Professional in Ethics & Compliance (LPEC) Certification Examination is open to those who completed the E2C Track. Please note the exam begins at 10:45 AM and may end as late as 12:45 PM.

12:30 PM - 1:45 PM

Lunch

2:00 PM - 3:15 PM

Breakout Sessions

3:15 PM - 3:45 PM

Refreshment Break

3:45 PM - 5:15 PM

Keynote, Presentation of the Carol R. Marshall Award for Innovation in Corporate Ethics & Raffle

Sponsored by: Northrop Grumman Corporation

5:30 PM - 6:45 PM

Networking Reception

Sponsored by ECI’s 2017 Gold Level Integrity Leader, NAVEX Global

6:45 PM - 8:30 PM

Meet Up


Wednesday, April 26, 2017
7:30 AM - 8:30 AM

Continental Breakfast

8:30 AM - 9:45 AM

Breakout Sessions

 9:45 AM - 10:00 AM

Refreshment Break

10:00 AM - 11:00 AM

Plenary Session

11:00 AM - 11:15 AM

Conference Closing



BREAKOUT SESSIONS

Sunday, April 23

9:00 AM - 12:00 PM

E2C

E2C Track: Introduction to Strategic Ethics & Compliance (E&C)

This session will provide an overview of the Elevating Ethics & Compliance (E2C) Track, including ECI’s five principles of High Quality E&C Programs (HQPs). Facilitators will discuss how leaders can apply the principles to build and sustain HQPs. The second half of the session will address how to work with the C-suite and the board to make E&C central to business strategy and, in turn, how to use business strategy to inform an E&C program.
1:00 PM - 4:00 PM

 E2C

E2C Track: Identifying and Mitigating Risk; Leadership and Culture; Encouraging Reporting

In the first hour of this session, facilitators will delve into the E&C risk management process and how it intersects with Enterprise Risk Management. The second hour will focus on how leaders across an organization build and sustain a culture of integrity. To finish the day, the track will explore how an organization should encourage, protect and show it values the reporting of concerns and suspected wrongdoing, discussing best practices in helplines and combatting retaliation.

Monday, April 24

9:15 AM - 10:30 AM

Beyond Check the Box: Operationalize your E&C Program by Focusing on Values & Behavior

Susan Divers, Senior Advisor, LRN Corporation

In February 2017, the US Department of Justice Fraud Section published guidance on their evaluation of corporate compliance programs as part of resolving misconduct investigations. DOJ’s guidance emphasized operationalizing ethics and compliance rather than relying on a checklist of program elements to determine effectiveness. LRN’s latest annual Program Effectiveness Report, provides insights into how the most effective compliance programs focus on fostering ethical behaviors—and go beyond checking the box.


Life on Mars: The E&C Compliance Ecosystem at a Global FMCG

Ash Mishra
Chief Compliance Officer, Mars Incorporated

Mars, Incorporated is a $37B global consumer goods company with operations in 80 countries. What E&C concerns does the maker of Snickers and m&ms have that are similar to other companies? How does Mars identify and mitigate risk from corruption and commercial bribery? The CCO of the company will describe how Mars identifies and mitigates such risks using a tailored heat map and share other resources used to manage risk in Mars' compliance eco-system.


Boardroom Ethics Strategy & Effective Communication within the Boardroom

Yusef Azizullah, CEO, Global Board Advisors Corporation 

Learn how to effectively communicate with the boards. What’s relevant to the boardroom strategy discussions on Compliance Metrics & reporting? How to advance yourself for a board position, learning from Global 500 Board of Directors.

 

Investigative Accountability: From Intake to Final Report

Wendy Evans, Senior Corporate Ethics Investigator, Lockheed Martin Corporation
Roxane MacGillivray, Senior Ethics Investigator, Lockheed Martin Corporation

Investigative Accountability: From Intake to Final Report, is a presentation which takes you from the HelpLine Report to the Investigative Report. This fun and experiential learning session will cover critical steps in the investigative process, including: the intake, the investigative plan, evidence collection, witness interviews and report writing. Short scenarios are coupled with key learning points to create a unique learning experience—whether you are a new Ethics and Compliance Officer or a seasoned professional.

 

Becoming an Ethical Leader: Guidance from The Business Ethics Field Guide

Brad Agle, George W. Romney Professor, Brigham Young University
Bill O’Rourke, Inaugural President, Alcoa Russia

In this highly educational and lively session, you’ll hear an award-winning teacher and a widely acclaimed executive speaker discuss the research behind their new book The Business Ethics Field Guide. This research identifies the 13 fundamental ethical dilemmas encountered in organizations and explores how to deal with them, based on experiences from hundreds of practicing managers. Come learn about these dilemmas, illustrated by fascinating experiences from the first American leader of Russia’s billion-dollar aluminum industry.

 

Rewarding Ethical Courage

Carlos Vecino, USAA

Telling people to speak-up about misconduct is easy. Finding a way to reward those who do is hard. How do you recognize those who demonstrate ethical courage by reporting, especially when it's politically sensitive or confidential? Come hear about USAA's Ethical Courage Award and ideas other companies use to recognize and reward those who speak-up.

 
E2C

E2C Track: Accountability and Continuous Improvement

In the last E2C Track session, facilitators will turn to how organizations should take action and hold themselves accountable when wrongdoing occurs. They will concentrate on internal investigations and disciplinary action as well as how root cause analysis and effectiveness metrics can support continuous program improvement.

11:00 AM - 12:15 PM

Codes of Conduct: Best Practices, Common Mistakes & Engaging Millennials

Jacki Trevino, Senior Consultant, Advisory Services, SAI Global
Tricia Ryan, Business Ethics & Compliance Project Specialist, ConEdison

The Code of Conduct has long been considered the foundation of compliance and ethics programs, but what makes one effective? How is this crucial representation of company values and principles changing? In our breakout session, we’ll discuss the key aspects of a modern, engaging code of conduct, common mistakes that organizations make when they write or refresh their code, and what Millennials and the next generation of leaders within organizations expect when they read one.


Transforming Compliance in a 100+ Year Old Company – Where Does One Start?

Kevin Jamieson, Director, Compliance Management, Con Edison of NY
Howard Friedman, Managing Director, Deloitte & Touche, LLP

Hear how Consolidated Edison of New York and Deloitte & Touche collaborated to create a strategy for engaging leadership and driving a new operating model for enterprise compliance with other stakeholders. The presenters will share insights on both the successes and challenges of shifting both the focus and the commitment to compliance. They will also provide perspective on the current concentration of efforts by the team to create and sustain a leading practice compliance program.

 

High quality conflicts of interest compliance programs

Jeff Kaplan, Partner, Kaplan & Walker, LLP
Mark Snyderman, Chief Ethics & Compliance Officer, Assistant General Counsel, Laureate Education

In 2016 a working group of ECI members conducted benchmarking research into effective conflict of interest (COI) compliance measures. The research covered all aspects of dealing ethically with COIs - including identifying COIs, setting standards, training, certifications and disclosure mechanisms, tracking COIs, audit and risk assessment. The working group's co-chairs will present the highlights of the research and also help attendees understand how to use this information to enhance their own companies' programs.

 

The Challenges of Self-Reporting and a Vision for Increased Use

Ralph Hall, Levitt Partners, University of Minnesota Law School

Enforcement authorities have signaled increased importance for the role of self-reporting for various compliance violations. However, regulated companies have little incentive to self-report potential non-compliance in the current environment.  This session will explore the challenges of self-reporting and how specific experiences, such as the Self-Referral Disclosure Protocol and Antitrust self-reporting, can be used to develop and advance specific reforms that will add predictability and certainty to self-reporting more broadly.

 

Methods for Determining Deception and Truthfulness in Investigations

Michael Johnson, CEO, Clear Law Institute

Scientists have found that people, even professionals such as compliance officers, are very poor at spotting deception, often because they are looking for invalid cues. This session from former U.S. Department of Justice attorney Michael Johnson will cite only research published in peer-reviewed academic journals to teach (1) what are valid and invalid cues to deception and truthfulness, and (2) interviewing techniques designed to make it more difficult for liars to maintain their deception.

 

Giving Voice To Values: The "How" of Values-Driven Leadership Development

Mary Gentile, Creator/Director, Giving Voice to Values Professor of Practice, Darden School of Business, University of Virginia
John Heiser, President & Chief Operating Officer, Magnetrol International, Incorporated

Mary Gentile will share this pioneering approach to values-driven leadership development that builds the skills, confidence, habits, and ethical muscle to act. Drawing on business experience and research, Giving Voice to Values (GVV) focuses on ethical implementation (rather than ethical analysis) and asks: "What if I were going to act on my values? What would I say/do?" John Heiser, President/COO, Magnetrol and Marilyn Maduka (video), Leadership Development Manager, Unilever Nigeria will share their organizations’ experiences.

1:30 PM - 2:45 PM
 

How Dynamic Insights Arm Compliance and Ethics Leaders to Be Proactive

Angus Robertson, Vice President Product Marketing, Convercent

While reporting provides data, tables and trends, this information is flat and leaves C&E executives with little to act on. Insights provides interactivity, flexible segmentation and rich data visualizations. Join us for this highly interactive session to hear—and share—how organizations bringing the C&E function can leverage to an entirely new level, utilizing company and external data, surfacing risky behaviors and conditions, and driving program performance and ROI forward.


Mentoring to Reduce Ethics & Compliance Risk in the Supply Chain

Lauren Schultz, Ethics Analyst, Lockheed Martin Corporation
Birtina Clayburn, Ethics Officer, Lockheed Martin

Customers, regulators and the public are increasingly holding organizations responsible for misconduct in their supply chains. Unfortunately, ethics and compliance risks can be particularly difficult to mitigate due to the sheer number and geographic diversity of the suppliers. During this session, you’ll hear about one company’s efforts to address ethics and compliance risk in the supply chain by creating a supplier code, promoting an industry supplier code and helping suppliers create effective ethics programs.

 

Engaging Senior Executives in E&C through Effective Communication

Emmanuel Tchividjian, Senior Vice President, Ethics Officer, Ruder Finn, Inc.

It is essential for Ethics & Compliance officers to communicate effectively. An efficient and effective way to get your message across is often telling the right story at the right time and in the right way can enhance E&C’s reputation among senior executives. Forming these relationships overtime can position you as a trusted advisor, and resource to the C-Suite during strategic discussions. This presentation will first address the challenges related to establishing E&C as a resource for senior management, and suggest some potential strategic approaches. In addition, the group will explore the art of effective communications and the features of a good story through practical examples.

 

Measuring Up: Using Formal & Informal Systems to Make a Difference

Celia Moore, Associate Professor, Department of Management and Technology, Bocconi University
Azish Filabi, CEO, Ethical Systems

In today’s complex and evolving business environments, companies are focusing on culture to limit reputational risk and as a systemic way to strengthen organizational commitment, employee morale and financial performance. To align formal and informal systems, companies need to accurately assess their organizational culture to identify vulnerabilities. Participants will learn about the various components of what constitutes an ethical culture and discuss practical ways to use assessment methodologies to address challenges faced by their own companies.

 

Embedding your Values: Driving Leadership Accountability

Angela Balduzzi, Director, Values Strategy, GlaxoSmithKline

Most organizations have defined values and pursue values-based leadership. But how do you get leadership to embed the values into their day to day operations, have in-depth conversations, and drive meaningful actions? Learn about the innovative methodologies of the Values Maturity Assessment (VMA) and the Values Assurance framework used at GlaxoSmithKline, where the VMA defines the behaviors and expectations of senior leaders and the Values Assurance process provides an evaluation against these leadership controls.

 

Whistleblowing: Can E&C Programs Induce Reporting and Reduce Retaliation?

Dr. Cary Ann Greenwood, Assistant Professor of Public Relations, Middle Tennessee State University

Dr. Cary A. Greenwood presents her quantitative and qualitative research on whistleblowers, some of which has been published in Public Relations Review and Communication Research Reports. She is under contract to Routledge for Public Relations and Whistleblowing: Golden Handcuffs in Corporate Wrongdoing, available in 2017. She provides a definition of whistleblowers, outlines protections for whistleblowers, addresses Sarbanes-Oxley provisions for whistleblowers, shares stories from whistleblowers and suggests ways to improve the climate for whistleblowers within organizations.

Tuesday, April 25

11:00 AM - 12:15 PM

Up to Standard: Leveraging ISO 37001 to Protect Your Organization

Randy Stephens, Vice President, Advisory Services, NAVEX Global


“Speak Up” or “Listen Up” Culture? Aligning Talk & Walk to Foster Compliance

Dana Gold, Senior Fellow, Government Accountability Project

Disconnect between a company’s purported commitment to compliance and its actual practices creates risk, and a significant source of misalignment between a company’s talk and its walk is how it treats its whistleblowers. This session will discuss ways to address three common problems that deter employees from identifying serious problems internally: misaligned incentives; the Human Resources and general counsel functions; and focusing on creating a “Speak Up” rather than a “Listen Up” culture.

 

Infiltration: A Collaborative Way to Build or Expand Your Program

Chris Collin, Senior Manager, Ethics & Compliance, General Mills
Suzan McGinnis, Director, Compliance & Ethics, Best Buy

How do you use existing processes and internal partnerships to expand the reach of your Ethics & Compliance messaging? Best Buy and General Mills will share their experiences in identifying and making the most of employee touchpoints and functional partners to deliver key messages and receive feedback on their effectiveness.

 

Elements of Program Effectiveness - What Should You Measure and How?

Andrea Falcione, Managing Director, PwC
Kyle Lorenz, Director of Foresics, PwC
Alan Gibson, Senior Attorney - Office of Legal Compliance, Microsoft

Proactive, ongoing compliance monitoring - how can data analytics and dashboarding drive program effectiveness? As an example for the audience, presenters will demonstrate how data analytics and dashboarding are used to detect and prevent potential bribery and corruption in an FCPA program. Demonstrable detection and prevention are hallmarks of an effective compliance program. Characteristics of an effective program - what are the other indicators of an effective program and effective compliance leadership?

 

Effective E&C Training: Developing Strategies to Get Results

Katherine Lang, Researcher, Ethics & Compliance Initiative
Earnie Broughton, Senior Advisor, Ethics & Compliance Initiative 

When it comes to training, it is all about impact. This session will highlight the ECI's latest research on employee perceptions of both in-person and online ethics & compliance training programs. We will also discuss activities such as case studies, role playing and similar. The facilitators will discuss which techniques appear to be most effective, and lead a discussion to consider how companies can use this information to shape future training strategies.

 

Putting a Face on the Human Side of Misconduct and Fraud

Tom Caulfield, Chief Operating Officer, Procurement Integrity Consulting Services

Misconduct and fraud is a product of human behavior and performed with willful intent. Even within the most effective ethics and compliance program(s), misconduct does occur, and when it does, high quality programs will respond quickly and act responsibly. This session will allow the participants to understand the people that commit misconduct and the elements which allows it to occur.

2:00 PM - 3:15 PM

The New Administration & the Evolving Regulatory Enforcement Landscape

Rich Girgenti, Principal, KPMG

With a new President pledged to creating a more business-friendly and less regulated environment, Republican majorities in both Houses of Congress committed to dismantling Dodd-Frank and replacing the Affordable Care Act, and new heads of the SEC, DOJ, Departments of Energy, Health and Human Services and other federal agencies who will bring new perspectives to their roles, we have entered a new period of uncertainty and change. What can we expect and how can we prepare?

 

Whistling in the Dark? Reporting Systems that Satisfy Laws and Work!

Win Swenson, Partner, Compliance Systems Legal Group (CSLG)

Enlightened companies strive to have trusted internal reporting systems. However, these systems are not operating in a vacuum. New laws and legal rulings are influencing whether employees stay “inside” or report their compliance issues to the government. New legal developments are also putting companies at greater risk of being found liable for retaliation. This session will examine strategies to address these developments and, more generally, foster a culture where trust in internal reporting is strong.

 

Integrating A Culture of Integrity Across All Levels of the Organization

Bernie Barber, Director, Global Compliance Programs, Johnson Controls

Tyco's leading edge education program is a key pillar of the overall compliance program and an integral element in sustaining the culture of compliance at the company. It is a blend of online training, live sessions, informal team discussions, game play and multimedia learning objects. This has resulted in improved employee satisfaction ratings for the past 3 years resulting in the fact that employees report misconduct at a higher rate. Join us to learn more.

 

Ways to make ethics & compliance central to business strategy.

Ivy Walker, Chief Executive Officer, Helios Digital Learning

Emotional intelligence is a key competency that E&C programs must master in order to design effective training and messaging.  Employees are not only impacted by whether they know the appropriate policies or corporate values, but also by their emotions. Understanding this and recognizing the emotions while deciding whether and how to do the right thing is critical. Learn how to equip your employees with all the skills they will need to make the best decisions.

 

Fostering Accountability with the Code of Conduct

Kim Ingham, Director, Office of Ethics, Merck & Co. Inc.
Noreen Lenart, Associate Director, Office of Ethics, Merck & Co., Inc.

Like most companies, we view ethics and compliance as employee-owned, manager supported, and company enabled. We launched an interactive Code of Conduct equipped with tools and resources that help colleagues be accountable for making decisions and taking actions consistent with our values and standards. Participants in this breakout session will learn how we use the Code of Conduct to enable ethics and compliance accountability at our company.

 

Compliance Officers and In-House Counsel As Whistleblowers

Mary Blatch, Association of Corporate Counsel
Matt Pachman, Vice President, Chief Ethics and Compliance Officer and Acting Chief Risk Officer, FTI Consulting

In this session we will discuss whether compliance personnel and in-house counsel can be treated as whistleblowers entitled to monetary awards from the SEC, and if so, under what circumstances. In addition, the panel will address the question of whether a compliance officer or in-house counsel who blows the whistle internally is fully protected by whistleblower protection statutes that would apply to other employees, and how can a CECO work with counsel to consider such situations in advance and develop appropriate protocols to avoid such an outcome?

Wednesday, April 26

8:30 AM - 9:45 AM

Re-imagining Training to Create an Ethical Culture: The Power of Social Learning

Christopher Adkins, Executive Director, Notre Dame Deloitte Center for Ethical Leadership

Creating an ethical culture requires effective training. This session explores how organizations can reimagine ethics training using the science of social learning, specifically research in neuroscience and social psychology. This workshop provides an overview of this science, and strategies for reinventing corporate ethics training, including techniques for: 1) integrating training into on-the-job learning moments; 2) discussing ethical issues in everyday practice through story-telling; 3) facilitating opportunities to emulate and practice ethical behaviors.

 

(Not The) Best Practices: Compliance Lessons Learned from Recent FCPA Actions

Jim Barratt, Managing Director, FTI Consulting
Matthew Pachman, Vice President, Chief Ethics and Compliance Officer and Acting Chief Risk Officer, FTI Consulting
Jeffery Clark, Partner, Willkie, Farr & Gallagher, LLP

Financial penalties and disgorgement from FCPA settlements have reached record highs! This session will explore the underlying compliance and control weaknesses identified in recent FCPA enforcement actions and discuss practical steps that compliance professionals can take to detect and prevent potential violations. Topics will include the high-risk areas of using third party agents, gift and entertainment expenses, hiring practices and whistleblower tips and retaliation issues.


From Tactical to Strategic: The Evolution of Today’s Compliance Professional

Bill Coffin, Editor in Chief,    Compliance Week
Ellen Hunt, SVP, Audit, Ethics & Compliance Officer, AARP
Carsten Tams, Former Senior Vice President, Ethics & Compliance, Bertelsmann
Victoria McKenney, Deputy General Counsel - Regulatory and Compliance & Deputy Chief Compliance Officer, United States Steel Corporation

Regulatory change, reputational risk, and executive accountability have made the role of the CECO more relevant than ever. But how do you evolve from a simple oversight role to a strategic and risk management partner? Can E&C be elevated from cost center to value generator? How do you create a culture where doing things right and doing the right thing are one and the same? Join us in this panel discussion that is sure to inform and inspire.

 

Hindsight & Foresight:  Leveraging Big Data to Monitor and Control E&C

John Lucker, Advisory Principal-Global Advanced Analytics Market Leader, Deloitte & Touche

This session will present innovative concepts to use big data and advanced analytic methods to further progress monitoring and control of business practices and provide early warnings for ethics, integrity, and compliance breaches. Topics will include how to combine past approaches with new and predictive approaches to lay a forward looking infrastructure for corporate ethics ecosystems, the types of data and information management approaches necessary for proactive strategies, common data stewardship FAQ’s, KPI’s for enhanced monitoring and analysis, promising analytic approaches, and suggestions for enhanced business practices to avoid damaging customers, the firm, its employees, and the larger market place.

 

Compliance 3.0 – Shaping the Next Generation of Compliance Programs

Neha Gupta, Director of Learning Solutions & Strategic Initiatives, NYSE Governance Services
Lori Littlejohn, Compliance Counsel, NYSE Governance Services

Behavioral analytics are reinventing the way organizations look at compliance programs. Companies who go beyond traditional performance metrics are gaining actionable insights about their employee base. In this session, hear real life case studies of how organizations have used behavioral analytics to transform their compliance program, assess and mitigate risk, and drive change across the organization.

Be Sure Not to Miss...

 

Elevating Ethics & Compliance (E2C) Track

Leadership Professional in Ethics & Compliance
 

All sessions designated as "E2C Track" are meant for attendees pursuing their Leadership Professional in Ethics & Compliance (LPEC) certification. The exam will begin shortly after the end of the conference and requires separate registration of $250.

The E2C Track will run at the same time as Pre-Conference Workshops and Breakout sessions, so attendees are still able to participate in networking breaks, general session presentations, and receptions. There is a 40 person cap and registration is required to attend these sessions.

Click here to learn more about the E2C course or contact certification@ethics.org.

Continuing Education Credits

Click the "Certification" tab for information.

Content provided by the Ethics & Compliance Association (ECA), the membership community of ECI.