SCCE Conference Slides and Recordings

  1. Bringing Effective Ethics and Compliance Training to a Multi-Generational Workforce

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Lea Williams  | September 16, 2020 

    • How to share a consistent message with a diverse multi-generational workforce. Adult learners require training that is tailored to the adult learner

    • Why utilizing multiple training platforms is more effective than trying to shoehorn your workforce into a one size fits all training. Different generations require an approach that reaches out to them

    • Learn from my mistakes and successes. There is no perfect solution but follow along and avoid reinventing the wheel

  2. Coming into a Crisis Situation: Surviving, Transforming, and Finding the Opportunities

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Martha Cummings  | September 16, 2020 

    • Evaluating the crisis: Root causes, current impacts, potential further impacts. Is there anything good here?

    • Getting buy-in and changing people or changing (out) people

    • Moving forward (and on the to the next crisis!)

  3. What Compliance Professionals Need to Know about Privacy & Cybersecurity Law

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Elliott Siebers, Laurel Burke, Leona Lewis  | September 16, 2020 

    • Provide a general overview of the various privacy and cybersecurity laws that may impact ethics and compliance

    • Discuss how to interact with internal personnel to address the ethics and compliance risks that may arise under various laws

    • Provide guidance on managing security incidents and interacting with regulatory agencies that enforce privacy and cybersecurity laws

  4. Conducting Thorough Corporate Investigations: Don't Get Lost in the Data

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Brian Mich  | September 16, 2020 

    • What does a strategic investigative framework look like? We'll discuss key considerations for establishing a strong investigation and right-sizing your response to maximize effort and resources

    • How to focus your resources on what matters most: Navigating privacy considerations, preserving evidence and accounting for regional nuance

    • Leverage data analytics to help focus and streamline your investigation - eliminate irrelevant documents and false positives while clustering and visualizing evidence of interest

  5. Crisis and Compliance: Maintaining Oversight and Corporate Culture During the Pandemic

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Eric Feldman  | September 16, 2020 

    • Identify current challenges and practical responses to help organizations maintain the effectiveness of their ethics and compliance programs during the current pandemic crisis

    • Explore the challenges and risks facing companies as they try to maintain a strong corporate culture in a remote working environment

    • Discover some of the key compliance program elements described in the revised DOJ program evaluation guidance that require additional attention as we navigate through "the new normal"

  6. Crystal Gazer, Magical Man: Tell the Future of Compliance, If You Can

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Louis Perold, Paul Zietsman, Denis Jacob  | September 16, 2020 

    • Compliance by Design: Utilizing strategic thinking to position compliance as an integral part of the business from the very beginning or conception phase of projects/products/services, instead of an afterthought

    • Technology: Understanding the different emerging technologies (e.g. block chain, machine learning) and how it can be applied to avoid the trap of mere incremental improvements

    • Positioning: Where and how should the compliance function be positioned in the future? What’s the profile of the compliance professional for those future needs?

  7. ERM and Compliance: A Preview of Soon-to-be Released Guidance from SCCE and COSO

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Daniel Roach, Urton Anderson  | September 16, 2020 

    • Apply the COSO Enterprise Risk Management framework to the management of compliance risk

    • Map the elements of an effective compliance and ethics program to ERM

    • Understand how to apply the soon-to-be-published guidance from COSO authored by SCCE

  8. Effective E&C Risk Management Practice: Program Essentials and Core Practice Considerations

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Greg Triguba, Virginia MacSuibhne  | September 16, 2020 

    • Gain a deeper understanding of the basic roles, resources, and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program

    • Explore the challenges planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes

    • Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management and mitigation

  9. Effective Partnership Strategies with Your Board of Directors

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): John Fons, Michael Volkov  | September 16, 2020 

    • Chief Compliance Officers must develop an effective working relationship with its Board of Directors to ensure that the company's compliance program has adequate authority, resources and independence

    • Recent court decisions -- Marchand v. Barnhill and Clovis Oncology, Inc. Derivative Litigation -- have increased risks for individual Board member liability; as a result, CCOs must train board members on proper oversight and monitoring functions

    • Given this new environment, this session will identify positive strategies to increase board engagement, ensure effective reporting, and increase overall board support of the compliance function

  10. Expanding into the Federal Marketplace: Compliance Issues to Consider When Doing Business with the Government

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Robert Wagman, Matthew Nielsen  | September 16, 2020 

    • Through this session, attendees will gain a deeper understanding of the compliance requirements for doing business with the government, including the mandatory disclosure obligations in the Federal Acquisition Regulation (FAR)

    • We will discuss the unique risks that primarily commercial companies face -- and the best ways those risks can be addressed -- when doing business with the government while expanding into the federal marketplace

    • The session will also cover recent developments, best practices and practical steps for structuring and maintaining an effective compliance program that complies with the FAR

  11. Polishing Your Investigation Skills, Part I

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert Gagne  | September 16, 2020 

    • Discuss common investigation scenarios you are likely to encounter and how to respond correctly

    • Sharpen some important investigation skills that are key to your success as an investigator

    • Learn how to avoid some pitfalls that can jeopardize your success

    • Focus your investigations on business insights, as well as misconduct, to contribute to the success of your organization

  12. From Paper to Practice: Best Practices for Compliance Professionals to Collaborate with Tech Teams and Monitor Data Regulatory Compliance

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Martha Lackritz-Peltier, Whittney Tom  | September 16, 2020 

    • As the compliance/legal focal point responsible for monitoring your company's data regulatory compliance, learn best practices when working with your tech team on data management. Come away with a foundational glossary of terms for you to use

    • Recent legal cases studies in the U.S., as well as outside the U.S., in countries with new and emerging data privacy laws, and lessons learned

    • Peer-to-peer knowledge sharing on how companies work to comply with ever-evolving privacy and data security regulations. Come ready to participate in small group discussions and activities!

  13. How to Promote and Reinforce Your Company's Values Through an Ambassador Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): James Shotwell, Michael Chinn, Toni-Lynne Langeveld  | September 16, 2020 

    • Want to start an ambassador program at your company, but don't know where to start? In this session, learn how to garner leadership support for your program, select the right ambassadors, and engage them through meaningful dialogue, tools and resources

    • How can you promote an ethical and compliant culture? Start an ambassador program! In this session, learn what it takes to start a program from the ground up and sustain it with the right people to reinforce behaviors you want your employees to embody

    • Want to reinvent your ambassador program to promote a values-based culture? Learn how SCE transformed its Ethics Ambassador Program to its current Values Ambassador Program and the impact its ambassadors have had on fostering a positive work environment

  14. How to Reach Your Global Workforce

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Suzan McGinnis, Rachel Batykefer  | September 16, 2020 

    • Hear from practitioners at global corporations about their challenges and solutions

    • Learn how and when to develop a single messaging solution - and when to differentiate

    • See examples of creativity that reach workforces around the globe

  15. Individual Accountability for Corporate Wrongdoing

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joel-lyn McCormick  | September 16, 2020 

    • A discussion of what prosecutors review and consider when determining whether to charge a corporate entity. The presentation will discuss the federal principles of prosecution of business organizations and corporate management

    • Application of sentencing guidelines will focus on what features within a compliance program are most favorable to the corporation under the advisory sentencing guidelines

    • Building a prosecution-proof Compliance Program: This part of the presentation will provide an interactive exercise for participants to outline and develop a model compliance program

  16. Large-Scale Investigations in Multinational Companies

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Katarzyna Golonka, Jannica Houben  | September 16, 2020 

    • Discuss various aspects of internal investigations; from planning through assembling the investigative team and designing investigative steps to interviews, reporting and discipline

    • A comprehensive analysis of the investigation process, offering the perspectives of both a lawyer/compliance officer and an external forensic expert/fraud investigator

    • Practical examples and mini case studies, including for areas such as interviews, data capture and analysis and the investigative team

  17. Managing Investigations Before They Start: Organizing an Effective Investigation Process through Thoughtful Preparation

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Michael Ortwein, Marianne Ibrahim, Danield Wendt  | September 16, 2020 

    • Key investments to make when starting or revamping an investigation process for multinational companies

    • Improving investigation policies and procedures during quiet times, including guidelines for preparing reports, reviewing findings across functions, and deciding on remediation and discipline

    • Managing external counsel, forensic accountants, ediscovery vendors, and other providers across multiple jurisdictions before issues arise

  18. Managing an Effective Export Compliance Program in a Global Market, Because Nobody Looks Good in Day Glow Orange

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Lindsay Cloonan, Salvatore Ceraolo  | September 16, 2020 

    • We will examine the licensing and compliance requirements for exporting under the EAR and ITAR, beginning with proper product classification

    • We will examine various internal compliance controls to mitigate risk once Export Authorizations have been approved by the US Government

    • We will examine some compliance monitoring processes to mitigate risk that can be performed on an annual basis

  19. Measuring and Maintaining Culture: Benchmarking, Surveys, and Operational Best Practices

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Caroline McMichen, Junna Ro, Luis Canuto  | September 16, 2020 

    • Practical strategies and real-world examples of how to measure culture, ethical behavior, and compliance program effectiveness

    • How to use benchmarking to gather actionable insights into compliance program strengths and weaknesses, make improvements, and identify potential risks

    • Operationalizing ethics and compliance in your organization by making it more accessible, relatable, and real

  20. Polishing Your Investigation Skills, Part II

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Meric Bloch  | September 16, 2020 

    • Discuss common investigation scenarios you are likely to encounter and how to respond correctly

    • Sharpen some important investigation skills that are key to your success as an investigator

    • Learn how to avoid some pitfalls that can jeopardize your success

    • Focus your investigations on business insights, as well as misconduct, to contribute to the success of your organization

  21. Weaving Compliance into the Operations of Your Organization

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joseph Agins, Deena King  | September 16, 2020 

    • According to one source, in 1993 there were 4,369 final rules in the Federal Register. Over the years that number has expanded exponentially. In 2017, there were 101,380 final rules. How can compliance leaders keep up?

    • One strategy is to strengthen the compliance front lines in your organization by identifying existing compliance subject-matter experts, building a compliance network, and leveraging that expertise for the good of the entire organization

    • This session will discuss how to weave compliance into the operations of your organization. This approach can result in stronger and more effective compliance function

  22. Website Accessibility: Practical Steps to Reduce Risk, Promote Compliance, and Understand the Laws that Apply to Devices, Websites and Apps

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Robert Bond, Steven Helland, Michele Landis, Sudha Rajan  | September 16, 2020 

    • Business and technical context: Explanation of what "accessibility" means for websites, apps, and digital tools. Litigation explosion

    • Action items to increase accessibility. Demo of screen-reading tool JAWS

    • Legal: Highlights of the Americans with Disabilities Act and other laws. Top recent cases

  23. What Compliance Professionals Need to Know about Employment Law

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Louis Sapirman, James Oh  | September 16, 2020 

    • Provide a general overview of the various employment laws that may impact ethics and compliance

    • Discuss trending compliance-related employment issues, including #MeToo, Cannabis legalization, and government agency initiatives focusing on the workplace, such as the NLRB’s position that social media can be used to engage in protected concerted activity and the EEOC’s Equal Pay Act focus, including the requirement that employers submit pay data to the EEOC

    • Provide guidance regarding how to leverage HR to drive success in your ethics and compliance program

  24. What Compliance Professionals Need to Know about Environmental Law

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joshua Van Eaton, Craig Sturtz  | September 16, 2020 

    • Provide a general overview of the various environmental laws that may impact ethics and compliance

    • Discuss how to interact with internal environmental professionals to address the ethics and compliance risks that may arise under environmental laws

    • Provide guidance regarding how to interact with environmental regulators and other stakeholders to drive success in your ethics and compliance program

  25. What Compliance Professionals Need to Know about Immigration Law

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Angelo A. Paparelli, Nicole Kersey, Brendan Ryan  | September 16, 2020 

    • Provide a general overview of the various immigration laws that may impact ethics and compliance

    • Discuss how to interact with internal environmental professionals to address the ethics and compliance risks that may arise under environmental laws

    • Provide guidance regarding how to interact with environmental regulators and other stakeholders to drive success in your ethics and compliance program