Compliance Ethics Institute · Estée Lauder Companies, Inc. Qualcomm ... Track, a Case Study Track and an ... Opportunities at the Compliance & Ethics Institute

Compliance & Ethics Institute October 14–17, 2012 | Las Vegas, Nevada | ARIA in Las Vegas

11th annual

CEUs offered: ACHE | CLE | CCB | NASBA/CPE | Nursing Credit

PLATINUM SPONSORS

Learn more & register online atwww.complianceethicsinstitute.org

Pepsi Co

Microsoft

UPS

Molson Coors Brewing Co

Allstate Insurance Company

Waste Management

Bausch & Lomb

Novartis

The Boeing Company

Morgan Stanley

TIAA-CREF

BAE Systems

Paychex, Inc

Adecco

Comverse

Lockheed Martin Corp

Fluor

Estée Lauder Companies, Inc.

Qualcomm

Accenture

Navistar, Inc

OVER 90 SESSIONS AND MORE THAN

130 SPEAKERS

Join us at this year’s annual meeting and hear from leading companies, including

https://www.corporatecompliance.org/source/Meetings/cMeetingFunctionDetail.cfm?section=All_Events&product_major=CEI09

2 www.complianceethicsinstitute.org

Dear Compliance and Ethics Leader:Each year brings a new set of chal‑lenges and stressors for ethics and compliance professionals. Problems in the banking industry, significant mis‑steps in retail and technology, and record settlements and enforcement activity in healthcare all underscore the fact that we still face significant challenges. The continued struggles of the economy and the incentives for bad behavior inherent in a weak economy only make matters worse. Fortunately, the 2012 Compliance & Ethics Institute promises to be the big‑gest and best event that we have ever put together; an event built around getting you the information, network‑ing and ideas that you will need to be more effective in your organization.

Recent surveys suggest that serving as an ethics and compliance professional is an extremely stressful undertaking. The 11th Annual SCCE Compliance & Ethics Institute is an opportunity to meet with nearly 1,000 of your col‑leagues and experts to share ideas and tools, discuss challenges, develop new strategies and find other opportunities that will mitigate some of your stress.

The 2012 Compliance and Ethics Institute has been designed to help you tackle some of your thorniest problems, including:

P Dealing with the stress of your job

P Tackling social media

P Addressing whistleblower threats

P Managing third‑party risk

P Navigating international issues, including bribery and the FCPA

P Enhancing your standing as the ethics & compliance officer

P Conducting effective internal investigations

P Responding to Dodd‑Frank

P Developing meaningful incentives and metrics

Moreover, we’ve continued the Ethics Track, a Case Study Track and an Advanced Discussion Group Track and the very popular Risk Track and have now added the Multinational/International Track.

In total, you will get to choose from 90 sessions from over 130 speakers, which means you’ll hear from a wide range of perspectives. And you’ll have ample networking opportunities to become reacquainted with old friends, develop valuable new friends, and learn directly from your peers. So mark your calendar for October 14–17, and join us in Las Vegas at an amazing property, ARIA in Las Vegas, for the 11th Annual SCCE Compliance and Ethics Institute. It’s the must‑attend event for the ethics and compliance community.

Sincerely,

Daniel R. Roach SCCE Advisory Board Co-Chair VP Compliance & Audit, Dignity Health

Odell Guyton SCCE Advisory Board Co-Chair Assistant General Counsel & Compliance Director (Retired), Microsoft Corporation

www.complianceethicsinstitute.org 3

SCCE’s annual Compliance & Ethics Institute is the primary education and networking event for professionals working in the compliance and ethics profession across all industries around the world. Sessions at the 2012 confer‑ence will offer the latest compliance information on hot topics and current events. Sessions have been carefully selected and will be presented by leading experts who will explore real‑world compliance issues, practical application, emerging trends, and state of the art techniques.

Pre‑Conference sessions will be offered on Sunday, October 14. The day is divided into two longer ses‑sions: morning and afternoon. The longer time frame allows for in‑depth discussion and interaction covering topics in more detail.

Post‑Conference workshops will be offered on Wednesday, October 17. The sessions are three‑hour interactive workshops designed to cover some of the most important and timely topics.

Learning Objectives P Provide your organization with the most current views concerning the corporate regulatory environment, internal controls and the overall con‑duct of business

P Enhance strategic thinking on how to develop compliance and ethics programs to address potential cor‑porate regulatory problems

P Address compliance, internal audit, and ethics issues common to all industries and professions

P Obtain insight on how to develop and implement compliance and ethics programs that reflect current trends and guidance from broad industry segments

Who Should AttendThe Compliance & Ethics Institute is designed for compliance and ethics professionals and those who work with them in either an advisory or partnership capacity, including (but not limited to):

P Compliance and ethics professionals P Audit managers P Compliance and ethics journalists P Compliance and ethics trainers and analysts

P Consultants P Corporate executives (including CEOs and CFOs)

P Ethics professionals P Human resource managers P Information officers P In‑house and outside counsel P Privacy officers P Regulators and other government personnel

P Researchers and policy makers P Risk managers P Staff educators and trainers

About the Compliance & Ethics Institute

PLATINUM GOLD

SILVER

Marjorie W. Doyle, JD, CCEP-F, CCEP-I, Multinational/International Track Program Chair; Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP

SCCE would like to thank the 2012 Compliance & Ethics Institute Planning Committee

Odell Guyton, CCEP, CCEP-I, SCCE Advisory Board Co-Chair; Assistant General Counsel & Compliance Director (Retired), Microsoft Corporation

John Falcetano, CHC-F, CIA, CCEP-F, CHRC, CHPC, Advanced Discussion Group Program Chair, Chief Audit & Compliance Officer, Vidant Health

Joseph E. Murphy, JD, CCEP, CCEP-I, Of Counsel, Compliance Systems Legal Group

Daniel Roach, JD, Co-Chair, SCCE Advisory Board; VP Compliance & Audit, Dignity Health

Roy Snell, CHC, CCEP, CEO, Society of Corporate Compliance and Ethics

Greg Triguba, JD, CCEP, Risk Track Program Chair, Principal, Compliance Integrity Solutions, LLC

Adam Turteltaub, CHC, CCEP, Vice President of Membership Development, Society of Corporate Compliance and Ethics

Rebecca Walker, JD, Partner, Kaplan & Walker LLP

SCCE WOULD LIKE TO THANK OUR CONFERENCE SPONSORS


What’s New at the Compliance & Ethics InstituteMore Concurrent SessionsThis year you will have up to nine concurrent sessions to choose from each hour! That’s more than 90 ses‑sions at the conference, offering you the largest selection of compli‑ance‑related topics in one conference.

New Multinational/International Learning TrackLearning tracks are a great way to help you narrow down your session choices when there are so many to choose from. Each track is arranged around a specific area of interest, enabling you to quickly find the sessions that match your needs. You can follow one track all the way through, or hop around among all nine sessions. But, no matter what you choose, you’ll find our tracks a fast, easy way to help pick the right session for you. This year’s tracks are:

P Risk P Ethics P Case Study P Multinational/International P Advanced Discussion Group

Sessions that don’t fit within one of the above tracks are listed as General Compliance/Hot Topics. These sessions are not necessarily broad‑based general compliance topics. Many of them cover very specific issues or hot topics, so we’ve grouped them all together.

SpeedMentoringLast year we introduced SpeedNetworking as a way to quickly match compliance and ethics professionals with similar interests. This year, in addition to a SpeedNetworking session, we’re also conducting a SpeedMentoring ses‑sion. SpeedMentoring is designed to help you find a mentor or become a mentor while on‑site at the Compliance & Ethics Institute. This session is set up to take place at the beginning of the conference and uses the SpeedNetworking software in a similar way to con‑nect you with someone who is either seeking expertise in a certain area or someone who has expertise in an area for which you are seeking guidance. Both SpeedNetworking and the SpeedMentoring require pre‑registration—you’ll be asked to complete a profile and answer a few questions, which will allow the soft‑ware to find your best matches. See more details and learn how to sign up on page 11 of this brochure.

Mobile Conference AppSCCE has used a mobile app for the last three years, but this year we’ve found the most robust app to guide you through the conference. Sponsored by SAI Global, the app allows you to prepare for the con‑ference early by viewing speaker, exhibitor, and session information, and building your personal itinerary ahead of time. Learn about event buzz (or even generate some yourself) and communicate with other attendees before and during the event via the live in‑app Twitter feed (make sure to use the hashtag #SCCEcei).

While onsite, interactive mapping within the app will direct you right to your session or help you find a vendor in the Exhibit Hall. It will also give you access to the presentation slides and allow you to take session notes! It even collects all your notes and any other event information you need into a single downloadable post‑event report. Download the mobile app in Apple’s App Store and the Android Market starting August 20. If you don’t have an iPhone, iPad, or Android device, you can still use the mobile website.

Networking ReceptionEthicsPoint, a NAVEX Global Company, is sponsoring this year’s networking reception on Monday, October 15, and we’re going to dress in style! The past few years we’ve themed this reception as the Tailgate Party, but this year we’re doing some‑thing more glamorous. Prepare to be stars and walk the red carpet as you meet mock celebrities, sample hors d’ouvres, and get ready to cel‑ebrate at the International Compliance and Ethics Awards Dinner (following the reception), where you’ll support and congratulate your peers for their achievements in the compliance and ethics profession. The event is compli‑mentary for all CEI attendees. This is not a black‑tie affair—business casual dress is acceptable—but we encour‑age you to put on your best and have a little fun with it!


Airline DiscountsAmerican Airlines is offering a 5% airline discount for travel to SCCE’s Compliance & Ethics Institute. Make reservations online at www.AA.com and include this promotion code: 83H2BV.

Passengers are responsible for all applicable baggage fees at time of travel. Please refer to www.aa.com/baggage for current baggage allowance and fees and bag/box embargo information.

AFFINITY GROUP MEETINGS IN 2012Make the Compliance & Ethics Institute the Site for Your Next Team Off-Site

Meeting with your team can be dif-ficult, especially at the office with so many distractions. Why not use your time at the Compliance & Ethics Institute for an off-site meeting?

SCCE will make it easier by providing your organization with a private meet-ing space, along with a complimentary refreshment break. This will enable you to gain the most from your meeting experience. Additionally, all members from your organization will receive the SCCE member rate to attend the Compliance & Ethics Institute.

Meeting space is limited, so act now to reserve yours before we run out. Requests must be sent to Lizza Catalano at lizza.catalano @ corporatecompliance.org. Affinity group meetings may be held:

P Saturday, October 13, 2012

P Wednesday, October 17, 2012

P Thursday, October 18, 2012

Approved requests will receive com-plimentary meeting room space at the conference hotel, ARIA in Las Vegas, and your choice of one of the following complimentary refreshment options:

P Continental breakfast

P am snack/beverage break

P pm snack/beverage break

All additional food and beverage, deco-rating, or audio visual orders must be arranged directly with the hotel and are not part of the complimentary offer.

Contact Lizza Catalano at +1 952 405 7919 or lizza.catalano @ corporatecompliance.org.

Opportunities at the Compliance & Ethics Institute

Compliance & Ethics Center, LLP

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celus®

Meet with these Exhibitors at the Compliance & Ethics Institute

BDO Consulting


SCCE is in the process of applying for additional continuing education credits, and these credit totals are subject to change. If you have questions, please call +1 952 933 4977 or 888 277 4977 or email [email protected].

IMPORTANT: All individuals seeking NASBA/CPE credit (listed below), must sign in before EACH session attended and must also submit the CEU application on the following pages. Signing in is required ONLY for NASBA/CPE credit.

ACHE: The Health Care Compliance Association is autho-rized to award 20 hours of pre-approved ACHE Qualified Education credit (non-ACHE) for this program toward advancement, or recertification in the American College of Healthcare Executives. Participants in this program wish-ing to have the continuing education hours applied toward ACHCE Qualified Education credit should indicate their attendance when submitting application to the American College of Healthcare Executives for advancement or recertification.

CLE: The Society of Corporate Compliance and Ethics is a State Bar of California Approved MCLE provider, a Pennsylvania Accredited Provider, a Rhode Island Accredited Provider, and a Texas Accredited Sponsor. An approximate maximum of 20.25 clock hours of CLE credit will be available to attendees of this conference. All CLE credits will be awarded based on individual attendance. Please see the Compliance & Ethics Institute website (www.complianceethicsinstitute.org) for individual states’ approvals.

NASBA/CPE: The Society of Corporate compliance and Ethics is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continu-ing professional education on the National Registry of CPE sponsors, Sponsor Identification No: 105638. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit and may not accept one-half credits. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Website: www.nasba.org. A recommended maximum of 24.0 credits based on a 50-minute hour will be granted for the entire learning activity. This program addresses topics that are of a current concern in the compliance environment. This is an update, group-live activity. For more information regarding administrative policies such as complaints or refunds, call the SCCE at 888 277 4977 or +1 952 933 4977.

Nursing Credit: The Health Care Compliance Association is preapproved by the California Board of Registered Nursing, Provider Number CEP 12990, for a maximum of 24.3 con-tact hour(s). The following states will not accept CA Board of Nursing contact hours: Delaware, Florida, New Jersey and Utah. Massachusetts and Mississippi nurses may submit CA Board of Nursing contact hours to their state board, but approval will depend on review by the board. Please contact the Accreditation Department at [email protected] with any questions you may have. Oncology Nurses who are cer-tified by ONCC may request CA Nursing Credit (check box or indicate “Nursing” on the CEU form).

Compliance Certification Board (CCB): Certified Compliance & Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional-International (CCEP-I), Certified in Healthcare Compliance (CHC)®, Certified in Healthcare Privacy Compliance (CHPC)®, Certified in Healthcare Research Compliance (CHRC)®: CCB has awarded a maximum of 24.3 CEUs (based on a 50-minute hour) for these accreditations in the following subject areas: Application of management Practices for the Compliance Professional; Application of Personal and Business Ethics in Compliance; Written Compliance Policies and Procedures; Designation of Compliance Officers and Committees; Compliance Training and Education; Communication and Reporting Mechanisms in Compliance; Enforcement of Compliance Standards and Discipline; Auditing and Monitoring for Compliance; Response to Compliance Violations and Corrective Actions; and Complying with Government Regulations. Note: CEUs are subject to change. See below for credit breakdowns based on attendance.

Sunday Pre-Conference: 6.6 full day | 3.3 am only | 3.3 pm only

Monday: 7.2

Tuesday: 7.2

Wednesday Post Conference: 3.3

Continuing Education Units

Proactive Policy Management

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PolicyHub ensures that the right policies get to the right people, that they become accountable by signing up to them and that the entire process is recorded and auditable

PROACTIVE POLICY MANAGEMENT

POLICY MANAGEMENT THE EASY WAY

Do you know who has, or more importantly who has not received, read & signed up to your critical policies? Can you prove it? Many organizations who rely on paper, email or a largely ignored intranet, find this almost impossible to achieve efficiently & are often under the spotlight from regulators and auditors; especially when it comes to multiple languages and a distributed workforce. Practical and cost effective PolicyHub is built for purpose and automates the entire policy lifecycle process, from creation and review, through to communication, knowledge assesment and reporting, with an audit trail at each step.Many organizations turn to us for a practical and cost effective solution to avoid the significant risks and fines associated with non-compliance.

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- Fully Intergrated Language Support

- Flexible delivery: Cloud or On Premise

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Plan Now to Take the CCEP or CCEP-I Exam

The following Compliance & Ethics Institute sessions may be helpful if you’re planning to sit for the CCEP exam (marked with CCEP throughout the agenda):

PREAM1 Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice

PREAM3 Investigations Workshop

PREAM4 Anti-Corruption Workshop

PREPM1 Effective Auditing and Monitoring in Practice: Managing Ethics and Compliance Risk

PREPM3 Investigations Workshop

PREPM4 BRIC Countries: What Risks Are Waiting For You?

PREPM5 Compliance 101

101 Anti-Corruption/Anti-Bribery Programs: Advanced Practices and Risk Assessment

104 International Privacy and Data Protection

107 Considerations for Effective Report Writing in the Investigative Process

108 The New Policy Management: Keeping Your Policies Organized, Current, and Thorough

201 Antitrust & Competition Law: Don’t Underestimate the Real Risk Facing Your Organization—Use Tools that Work

204 Complying with Global Anticorruption Laws: A Case Study

207 Effective Interactions Between Chief Ethics & Compliance Officer and the Board

301 Conflicts of Interest: Sex, Money and Family and the Risks They Create

306 Dodd Frank Whistleblower Provisions: A New Challenge for Ethics and Compliance Professionals

404 Global Antitrust Compliance Enforcement

405 Changing Face of Privacy

406 How to Assess and Mitigate the Risk of Misconduct Occurring and Not Being Reported

501 Trade Compliance and Exports: Getting Maximum Results with Limited Resources—Creating a Practical, Risk-Based Trade Compliance Program

505 Complying with Multi-National Privacy and Security Requirements in the Cloud

506 Corporate Liability, Compliance and Governance Issues Faced by Boards, Executives and In-House Counsel

601 Privacy & Data Protection: Practical Approaches to Risk Assessment and Management

604 Auditing for Corruption in Emerging Markets: Applying Fraud Detection Skills to Reduce Corruption

605 Compliance Auditing Workshop

701 Records and Information Management: Managing the Real Risks Facing Your Organization

704 Internal Investigations in a Multi-jurisdictional Environment

705 Hotline Call to Press Release: Three Perspectives on Investigation and Disclosures

707 Ethics and Compliance Due Diligence in Mergers, Acquisitions and Major Corporate Events

803 Getting it Right: Minimizing Risk in Conducting Internal Investigation Interviews

804 Cultural Aspects of a Global Compliance Program

806 Developing and Implementing an Effective Ethics and Compliance Training Program

807 Background Checks Under Fire: Is Your Screening Process at Risk?

W1 Bad Day in the Boardroom: Identifying Global Risks and Managing a Crisis

W4 Compliance as Competitive Advantage: Designing a Cost-Effective Global Anti-Corruption Program

The following Compliance & Ethics Institute sessions may be helpful if you’re planning to sit for the CCEP-I exam (marked with CCEP-I throughout the agenda):

PREAM1 Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice

PREAM3 Investigations Workshop

PREAM4 Anti-Corruption Workshop

PREPM1 Effective Auditing and Monitoring in Practice: Managing Ethics and Compliance Risk

PREPM3 Investigations Workshop

PREPM4 BRIC Countries: What Risks Are Waiting For You?

PREPM5 Compliance 101

101 Anti-Corruption/Anti-Bribery Programs: Advanced Practices and Risk Assessment

104 International Privacy and Data Protection

107 Considerations for Effective Report Writing in the Investigative Process

108 The New Policy Management: Keeping Your Policies Organized, Current and Thorough

201 Antitrust & Competition Law: Don’t Underestimate the Real Risk Facing Your Organization—Use Tools that Work

204 Complying with Global Anticorruption Laws: A Case Study

301 Conflicts of Interest: Sex, Money and Family and the Risks They Create

404 Global Antitrust Compliance Enforcement

501 Trade Compliance and Exports: Getting Maximum Results with Limited Resources—Creating a Practical, Risk-Based Trade Compliance Program

505 Complying with Multi-National Privacy and Security Requirements in the Cloud

601 Privacy & Data Protection: Practical Approaches to Risk Assessment and Management

604 Auditing for Corruption in Emerging Markets: Applying Fraud Detection Skills to Reduce Corruption

605 Compliance Auditing Workshop

803 Getting it Right: Minimizing Risk in Conducting Internal Investigation Interviews

804 Cultural Aspects of a Global Compliance Program

806 Developing and Implementing an Effective Ethics and Compliance Training Program

POST1 Bad Day in the Boardroom: Identifying Global Risks and Managing a Crisis

POST4 Compliance as Competitive Advantage: Designing a Cost-Effective Global Anti-Corruption Program

Take the CCEP or CCEP-I Exam at SCCE’s 2012 Compliance & Ethics Institute

Wednesday, October 17, 2012 2:00 – 4:00 pm (till 4:30 pm for the CCEP-I exam)

ARIA in Las Vegas

Deadline for receipt of applications is Thursday, September 13, 2012. To down‑load the exam application please visit www.complianceethicsinstitute.org and click on the “Certification” tab.

To qualify to sit for the CCEP or CCEP‑I exam, 20 CCB CEUs are required. Compliance & Ethics Institute sessions qualify as follows: One clock hour equals 1.2 CCB CEUs.

To obtain CEUs for this conference, complete and submit the “Application for Continuing Education Credit” found in your on‑site Program at a Glance.

Visit www.compliancecertification.org for more information about the CCEP and CCEP‑I certifications.


Topics include: – Organizational Ethics

– Compliance Infrastructure

– Risk Assessment

– Auditing & Monitoring

– Creating & Reviewing Policies & Procedures

– Education & Training

– Privacy

– Internal Investigations

– Using Incentives

– Conflicts of Interest

– Anti-Bribery

Attend an upcoming

November 12–15, 2012orlando, fl

December 10–13, 2012san diego, ca

February 4–7, 2013san francisco, ca

March 11–14, 2013new orleans, la

June 3–6, 2013scottsdale, az

April 8–11, 2013chicago, il

Basic Compliance & Ethics

Academy

More 2013 dates and cities will be announced soon!


Networking OpportunitiesVolunteer ProjectSaturday, October 13, 11:00 am – 3:30 pm United States Veterans Initiative

In addition to networking with your peers and listening to expert speak‑ers, attending the SCCE Compliance & Ethics Institute gives you the oppor‑tunity to give back to the Las Vegas community. Come to Las Vegas early and volunteer with us to help those who have served in the U.S. Military. SCCE is partnering with United States Veterans Initiative–Las Vegas to assist in the painting and cleanup of a hous‑ing project for U.S. Veterans. SCCE will provide volunteers with lunch and transportation to and from the housing project location. Sign up on your registration form (it’s free) and start the week out right!

SpeedNetworking/SpeedMentoringSunday, October 14, 7:30 – 8:30 am, 3:00 – 4:00 pm

Maximize your compliance contacts by enrolling in either (or both) of our SpeedNetworking or SpeedMentoring sessions. The registration software will schedule a series of quick intro‑ductions to the types of people you’ve indicated you want to meet with. It’s an efficient way to quickly connect with peers who share your challenges and to make new contacts at the start of the Compliance & Ethics Institute.

Networking DinnersSunday, October 14 & Tuesday, October 16 Dining opportunities with reservations, 7:00 pm

Looking for someone to have dinner with? Selected venue choices will be posted at the conference with price range and estimated cab fare or dis‑tance from hotel to help make your decision simple. Just sign up for the one you’re interested in and meet at the restaurant. This is a great oppor‑tunity to meet some new people in a smaller setting.

Opening ReceptionSunday, October 14, 4:30 – 6:00 pm

Enjoy beverages, light appetizers and networking during your first look at the exhibit hall this year. Catch up with old friends and meet new peers.

Author’s ReceptionSunday, October 14, 6:00 – 7:00 pm

Whether you contribute to a SCCE book or to its magazine, SCCE authors are a significant force behind the suc‑cess of SCCE and the development of the compliance profession. Join SCCE in recognizing the contribution of this esteemed group of individuals at the Compliance & Ethics Professional Author’s Reception. Those who are interested in learning how to contrib‑ute are also welcome.

Academies ReunionSunday, October 14, 6:00 – 7:00 pm

Are you an Academy Alumni? Looking to re‑connect with the col‑leagues you studied with during the Academy? This event is for all past SCCE Academy attendees. Come net‑work with people you’ve met while attending an SCCE Academy as well as meet new people.

Networking ReceptionMonday, October 15, 5:30 – 7:00 pm

We’re rolling out the Red Carpet for this year’s themed networking recep‑tion sponsored by EthicsPoint, a NAVEX Global Company. Prepare to be a star as you walk the Red Carpet, hold off the paparazzi and meet mock celebrities. Sample hors d’oeuvres, enjoy beverages and network with your conference peers and vendors

as we get ready to celebrate the International Compliance and Ethics Awards (following the reception and complimentary for all CEI attendees). Business casual dress is fine, but we encourage you to put on your best and have a little fun with it!

Annual International Compliance & Ethics Awards DinnerMonday, October 15, 7:00 – 10:00 pm

You’re invited! As an attendee of the SCCE Compliance & Ethics Institute, you’re invited to attend (complimen‑tary) a celebratory dinner and awards presentation honoring two selected individuals and two organizations for their contributions to the compliance and ethics profession. Their achieve‑ments deserve to be supported and congratulated by their peers. And by taking some time to recognize their significant achievements, we also reserve time to celebrate the profession and the things we accomplish every day as compliance and ethics profes‑sionals. This year we will recognize:

P Lew Morris, Former Deputy Inspector General and Chief Counsel to the Inspector General of the U.S. Department of Health & Human Services

P The late Kendra Diamond Campbell, Research Compliance Specialist, Office of Research & Commercialization, University of Central Florida

P Office of Fair Trading

P Defense Industry Initiative

Please be sure to RSVP on your reg‑istration form to let us know if you are coming. Dress is business casual. Buffet dinner and beverages will be served.


Learning Tracks Are BackWe’ve added even more sessions this year. To make course selection easier, we’ve identified special learning tracks:

P Risk

P Ethics

P Case Studies

P Multinational/International

P Advanced Discussion Groups

Each track is arranged around a spe‑cific area of interest, enabling you to quickly find the sessions that match your needs. You can follow one track all the way through, or hop around. No matter what you choose, you’ll find our tracks a fast, easy way to help pick the right sessions for you.

RISK Learn to effectively manage the risks your company faces

Risk and how to effectively manage it has become a top priority for most organizations. Developed by our Risk Track Program Chair, Greg Triguba, these sessions are focused on top com‑pliance and ethics risks. Interactive sessions are led by experts in the com‑pliance, ethics, and risk management field. Participants will take a deep dive into important risk areas and will learn strategies for effectively manag‑ing these risks.

ETHICSImmerse yourself in ethics

There are few things more challenging or rewarding to manage than ethics issues. It’s a topic where everyone has an opinion. The subtleties are great, and they can make all the difference in the world. Ethics Track sessions will cover the ethical considerations that C&E professionals need to understand and manage effectively.

CASE STUDIESJust the facts: Case studies in ethics and compliance

It’s one thing to discuss the issues compliance and ethics professionals face. It’s another thing to see what companies have actually done to effec‑tively manage these challenges. The Case Study track will take you inside companies and show you how they’ve handled specific issues.

MULTINATIONAL/INTERNATIONALGlobal compliance and ethics programs face added and fast-changing complexities

Chaired by Marjorie Doyle, the Multinational/International Track will dive deeper into the needs of the global program and the topics that are creating the biggest challenges for global companies today.

ADVANCED DISCUSSION GROUPSBeen there, done that? Join an advanced discussion group and share what you know

If you’re an experienced compliance and ethics professional, or looking for a more interactive program, you’ll enjoy the sessions in our Advanced Discussion Group Track. Each of these sessions is designed to involve every‑one in the room. There is no formal presentation, just discussion led by an industry expert.

Pre-registration is required for Advanced Discussion Groups. Attendance is limited to 50 participants. Please indicate your attendance on your registration form.


Become a Mentor. Find a Mentor. Connect with Your Peers.Find a Connection and Support the Development of the Profession at the Compliance & Ethics Institute

EARN 1.5 CEUs*

SpeedNetworkingSunday, October 14, 2012 | 7:30–8:30 am

Maximize your compliance contacts by enrolling in the SpeedNetworking session. Just complete a profile and prioritize the types of compliance professionals you would like to meet, and the software behind the scenes will schedule a series of quick introductions to the right people.

SpeedMentoringSunday, October 14, 2012 | 3:00–4:00 pm

Want to give back to the profession by sharing your expertise? Sign up to be a mentor. When you come to the SpeedMentoring session, you’ll connect face-to-face with compliance professionals looking for an experienced practitioner to guide them. Looking for a mentor? The SpeedMentoring session is the place to meet one-on-one with potential mentors.

*A maximum of 1.5 CCB credits for networking may be awarded per year

We welcome all attendees of the 11th Annual Compliance & Ethics Institute to participate. The events are specifically focused on sharing knowledge and information relating to compliance and ethics. We respectfully request no solicitation of services or products during these sessions.

Take advantage of our new, live SpeedMentoring and SpeedNetworking sessions. You can try one or both.

www.complianceethicsinstitute.org/speedmentorSPACE IS LIMITED. SIGN UP NOW:

Whichever option you choose, you are in control of the people you will connect with!

Participating is easy. Just sign up online at the link below.

You can even earn CEUs by participating.


Monday, October 15, 8:30 – 9:30 am

Why Do We Root for the Good Guy Even If He’s Doing Bad?

Chris Bohjalian, New York Times Bestselling Author of The Sandcastle Girls

Jay Kogen, Co-Executive Producer, Happily Divorced

Jon Turteltaub, Director, National Treasure

Moderator Adam Turteltaub, Vice President of Membership Development, Society of Corporate Compliance & Ethics

Ask most people if they’re good, decent and moral and they’ll say yes. Ask them whether they want other people to be good, decent and moral, and they’ll say yes. Then turn on the TV and go to the movies or read a good book, and suddenly everyone likes the person who doesn’t care what the rules are and operates under his own moral code. Why is it that “bad” characters are often so compelling? How does Hollywood make bad guys so likeable? What does that say about our efforts to teach compliance and ethics effectively? And what does it say about how workers react to people who break the rules around them? We’ll discuss this issue with a Hollywood movie maker, a TV producer and a bestselling author to hear how they make characters that are good, bad, and everything in between, both inter‑esting and likeable.

Monday, October 15, 9:30 – 10:30 am

Strategies for Enhancing Your Effectiveness as a Compliance and Ethics Officer

Daniel R. Roach, JD Co-Chair, SCCE Advisory Board VP Compliance & Audit, Dignity Health

The role of compliance and ethics officer is not for the faint of heart. We have all struggled with the question of how to improve visibility, get the attention of senior management, or secure the resources necessary to build an effective com‑pliance and ethics program. This session will be focused on helping individuals identify strategies and tactics for improving their own performance and the performance of the organization by identifying the following:

P What does it mean to be effective? P What am I and why am I here? P Buy‑in: How to get it and keep it

Tuesday, October 16, 8:30 – 9:30 am

Ethics, Leadership and Temptation in the Workplace

James B. Stewart, Pulitzer Prize Winner; Columnist, The New York Times; Author, Tangled Webs: How False Statements Are Undermining America: From Martha Stewart to Bernie Madoff

Our system of justice rests on a simple proposition: that witnesses will raise their hands and tell the truth. In Tangled Webs, James B. Stewart reveals in vivid detail the consequences of the perjury epidemic that has swept our country, undermining the very foundation of our courts.

With many prosecutors, investigators, and participants speaking for the first time, Tangled Webs goes behind the scene of the trials of media and homemaking entrepreneur Martha Stewart; top White House political adviser Lewis “Scooter” Libby; home‑run king Barry Bonds; and Wall Street money manager Bernard Madoff.

Tuesday, October 16, 9:30 – 10:30 am

Lessons We Don’t Learn: Corporate Scandals, Why We Repeat Them, and How We Can Learn From Them

Donna C. Boehme, Principal, Compliance Strategists LLC

David J. Heller, VP and Chief Ethics and Compliance Officer, Edison International

Joseph E. Murphy, JD, CCEP, CCEP-I, Of Counsel, Compliance Systems Legal Group

Duane C. Woods, Senior Vice President, Waste Management

Moderator Adam Turteltaub, Vice President of Membership Development, Society of Corporate Compliance & Ethics

Businesses sometimes fall into the same pattern: major scandal, lull where the lessons are seemingly learned, and then yet another scandal. In this discussion we’ll look at what organizations can do to learn from major scandals (both theirs and those of others), and strengthen their com‑pliance and ethics programs.

Don’t Miss the Keynote & General Sessions

Saving money on the Compliance & Ethics In‑stitute is great, but it’s only one of the many rea‑sons to join the Society of Corporate Compliance and Ethics. SCCE provides compliance and eth‑ics professionals with a host of benefits all year round, and all around the world.

Our magazine and electronic newsletter will keep you informed of the latest issues and give you insight into how to effectively manage both current and long‑term challenges. Our confer‑ences will enable you to build your network and hear directly from other professionals, at a dis‑counted, members‑only rate. Can’t travel? Our online social network is the next best thing, pro‑viding online interaction with thousands of com‑pliance and ethics professionals globally. Or try a web conference, and enjoy a live presentation direct to your desktop.

SCCE can help you tap into a vast network of in‑formation and resources to help move your ethics and compliance program forward, even if you never make it to the Compliance & Ethics Insti‑tute or any of our other meetings.

To learn more about SCCE and how we can help, visit us online at www.corporatecompliance.org, and join more than 3,000 other professionals who already call themselves members of the Society of Corporate Compliance and Ethics.

Join SCCE?Why It’s not just about saving on your registration for the Compliance & Ethics Institute…


SpeakersSulaiman Afzal [PREAM4], FCA, Chief Compliance Officer, US Data Solutions, Canton, MI

Mark Albers [604], Senior Manager, Deloitte FAS LLP, Chicago, IL

Marti Arvin [601], JD, CHC-F, CPC, CCEP-F, CHRC, CHPC, Chief Compliance Officer, UCLA Health System, Los Angeles, CA

Ambroise Augé [704], Director, Compliance European Union & Operations Center, Philip Morris International

Shelley Aul [AD4], CCEP, Sr. Ethics & Compliance Manager, Apollo Group, Inc., Phoenix, AZ

Theodore L. Banks [507], President, Compliance & Competition Consultants, LLC, Highland Park, IL

Amii Barnard-Bahn [PREPM1], JD, CCEP, Compliance & Ethics Officer, McKesson Corporation U.S. Pharmaceutical, San Francisco, CA

Courtney Barton [601], CCEP, CIPP, Director, Corporate Compliance & Global Data Privacy, Bausch & Lomb, Inc., Rochester, NY

Rachel Batykefer [603], CCEP, Senior Manager, Ethics and Compliance Programs, Tyco International, Princeton, NJ

Jeffrey A. Belkin [705], JD, Partner, Alston & Bird LLP, Atlanta, GA

Heather Bell, [607], AGDC Sales & Training Compliance, Altria, Richmond, VA

Luciana Bittar [804], Managing Director, International Corporate Governance & Compliance Consulting, Chestnut Ridge, NY

Meric Bloch [PREAM3, PREPM3], Esq., CCEP, PCI, CFE, Vice President–Compliance & Special Investigations, Adecco, Livingston, NY

Donna C. Boehme [PREPM6, 407, GS4], Principal, Compliance Strategists LLC, New Providence, NJ

Chris Bohjalian [GS1], New York Times Bestselling Author of The Sandcastle Girls, Burlington, VT

Robert Bond [POST1], Partner, Speechly Bircham LLP, London, UK

Emily Bone [701], Manager Global Records Management, Molson Coors Brewing Company, Denver, CO

Angela Bosworth [807, AD7], Esq., Vice President of Compliance and General Counsel, EmployeeScreenIQ

Seth D. Bruckner [705, ADG], JD, Regulatory Compliance and Ethics Attorney, United Parcel Service, Atlanta, GA

Marcelo Calliari [404], Partner, TozziniFreire Advogados, São Paulo, Brazil

Randy Chartash [705], Assistant U.S. Attorney and Chief of Economic Crime, U.S. Attorney’s Office, Northern District of Georgia

Melissa Chia [PREAM4], JD, Global Head of Anti-Corruption Compliance, Morgan Stanley, New York, NY

Karen Clapsaddle [102], Director, Ethics Engagement & Enterprise Operations, Lockheed Martin Corporation, Bethesda, MD

Bob Conlin [108], Chief Products Officer, NAVEX Global, Lake Oswego, OR

Domenick Claudio, [806], Executive Director, Global Financial Compliance, The Estee Lauder Companies Inc., Melville, NY

Stephen L. Cohen, [Lunch Presentation Monday], Associate Director, Division of Enforcement, Securities and Exchange Commission, Washington, DC

Kendra L. B. Cook [303], CCEP, CUSECO, PMP, Director of Corporate Compliance, Integrity Applications Incorporated, Chantilly, VA

Scott Cook [PREPM2], Vice President, HR, Aramark Corporation, St. Paul, MN

John Cross [802], JD, CPCU, CLU, ChFC, Associate General Counsel, Veterinary Pet Insurance Co., Brea, CA

Rick L. Crosser [202], PhD, CPA, CCEP, Professor & Chair of Accounting, Metropolitan State University of Denver, Denver, CO

C. Simon Davidson [702], JD, Author of Roll Call column “A Question of Ethics”; Partner, McGuireWoods LLP, Richmond, VA

Shawn DeGroot [POST5], Vice President, Corporate Responsibility, Regional Health, Rapid City, SD

Jim Donaldson [703], MS, MPA, CHC, CIPP/US, CISSP, Director of Compliance, Privacy and Security Officer, Baptist Health Care Corporation, Pensacola, FL

Marjorie W. Doyle [PREAM2, 107, POST4], JD, CCEP-F, CCEP-I, Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP, Landenberg, PA

John Falcetano [AD1], CHC-F, CCEP-F, CHRC, CHPC, Chief Audit & Compliance Officer, Vidant Health, Greenville, NC

Eric R. Feldman [401], CFE, CIG, President, Core Integrity Group LLC; Principal/Director, Corporate Compliance Programs, Affiliated Monitors, Inc., Redondo Beach, CA

Paul Fiorelli [106, AD6], Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University, Cincinnatti, OH

Kevin J. Ford [PREAM4], JD, Managing Director, RDC, New York, NY

Katherine C. Franklin [406], Shareholder, Littler Mendelson P.C., Seattle, WA

David Frishkorn [801, POST1], CPA, CFE, Vice President, Chief Compliance Officer, Comverse Technology, Inc., New York, NY

Al Gagne [PREAM3, PREPM3, AD5], CCEP, Director, Ethics & Compliance, Textron Systems Corporation, Wilmington, MA

David Gebler [POST2], JD, President, Skout Group, LLC, Boston, MA

Patrick Gnazzo [407, AD3], Principal, Better Business Practices LLC, Washington, DC

Helen A. Goodwin [402], MPA, CCEP, Ethics Program Manager, Bonneville Power Administration, Portland, OR

Lindsey Greig [104], Managing Editor, DataGuidance

Odell Guyton [PREPM4], SCCE Advisory Board Co-Chair; Assistant General Counsel & Compliance Director (Retired), Microsoft Corporation

Krister A. Hampton [607], AGDC Sales & Training Compliance, Altria, Richmond, VA

John Hanson [805], CPA, CFE, CCEP, Executive Director, Artifice Forensic Financial Services, LLC, Washington, DC

Barbara L. Harmon [307], CCEP, Compliance Program Supervisor, Alyeska Pipeline Service Company, Anchorage, AK

David Harris [606], Head of Business Conduct, BAE Systems Plc., Hants, UK

Speakers


Gwendolyn Hassan [501], JD, Manager of Corporate Compliance, Office of the General Counsel, Navistar, Inc., Lisle, IL

Benjamin Hayes [505], Esq., CIPP, CIPP/G, CIPP/C, CIPP/IT, North America Data Privacy Compliance Lead, Accenture, Washington, DC

David J. Heller [GS4], VP and Chief Ethics and Compliance Officer, Edison International, Rosemead, CA

Lynne Hennessey [802], CCEP, AIC, MCM, Compliance Director, Veterinary Pet Insurance Co., Brea, CA

Jessica Hoffman [102], Ethics Analyst Sr., Lockheed Martin Corporation, Bethesda, MD

Kitty Holt, CCEP [203], Ethics & Compliance Officer, Plan International USA, Warwick, RI

Web Hull [104], Senior Privacy & Compliance Specialist, Iron Mountain, Boston, MA

Amy E. Hutchens [706], JD, CCEP, General Counsel–VP Compliance & Ethics Services, Watermark Risk Management International, LLC, Leesburg, VA

Gabriel L. Imperato [506], JD, CHC, Managing Partner, Broad and Cassel, Fort Lauderdale, FL

Janice Innis-Thompson [407], JD, Senior Managing Director and Chief Ethics & Compliance Officer, TIAA-CREF, New York, NY

Earl (Chip) Jones [406], JD, Shareholder, Littler Mendelson, P.C., Dallas, TX

Amy Block Joy [503], PhD, Faculty, University of California, Davis, CA

Judy S. Kalisker [803], JD, Vice President of Compliance and Compliance Officer, The MENTOR Network, Boston, MA

Jeffrey M. Kaplan [502], Partner, Kaplan & Walker LLP, Princeton, NJ

Dev Suroop K. Khalsa [307], MBA, CCEP, Chief Compliance Officer, Akal Security, Inc., Espanola, NM

Scott Killingsworth [302], JD, Partner, Bryan Cave LLP, Atlanta, GA

Renata Muzzi [PREPM4], Partner, TozziniFreire Advogados, São Paulo, Brazil

Barbara (Bobby) Kipp [207], Partner, PricewaterhouseCoopers, Boston, MA

Robert A. Knox [805], Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of the Interior, Springfield, VA

Jay Kogen [GS1], Co-Executive Producer, Happily Divorced, Westwood, CA

Jennifer Kugler [PREAM5], Senior Director, Corporate Executive Board, Arlington, VA

Latour (LT) Lafferty [PREAM3, PREPM3], CCEP, CHC, Shareholder, Fowler White Boggs, P.A., Tampa, FL

Kevin Lashus [105], Partner, Jackson Lewis LLP, Austin, TX

Michael R. Levin [103], CCEP, Director, Ethics & Business Conduct, Government Operations & International Ethics & Business Conduct, The Boeing Company, Arlington, VA

Diana Liska [605], JD, CCEP, CAMS, CFE, SADR, Senior Auditor, First National Bank of Omaha, Omaha, NE

Kirsten Liston, [603], CCEP, Senior Compliance Advisor, SAI Global, Waltham, MA

James M. Lord [506], JD, Senior Director, Alvarez & Marsal; Former Assistant United States Attorney, Seattle, WA

Gayle L. Macias [203], MBA, CCEP, CGMS, NGMA, Senior Director, Corporate Compliance, Office of Accountability, Compliance and Ethics, World Vision, Inc., Federal Way, WA

Sally March [504, 804], CCEP-I, Principal, Drummond March & Co, London, UK

Jacilyn Margeson [402], Assistant General Counsel, Bonneville Power Administration

Carolyn Marks, [AD10], CCEP, International Operations Compliance Manager, Office of the Vice President and General Counsel, Yale University, New Haven, CT

Brent McDaniel [504], Director, KPMG, LLP, Houston, TX

Caroline K. McMichen [PREPM1], Chief Ethics and Compliance Officer, Molson Coors Brewing Company, Denver, CO

Brian J. Mich [PREAM4], JD, CAMS, Managing Director, BDO Consulting, New York, NY

Robert Miromonti [603], Vice President, Ethics & Compliance, Centene Corporation, Apple Valley, MN

Joseph E. Murphy [PREPM6, 201, GS4], JD, CCEP, CCEP-I, Of Counsel, Compliance Systems Legal Group, Haddonfield, NJ

Matthew Murray [304], Deputy Assistant Secretary for Europe and Eurasia, U.S. Department of Commerce, International Trade Administration

Stephen M. Naughton [407], Senior Vice President, Global Litigation, PepsiCo, Inc.

Rhys Novak [POST1], Partner, Speechly Bircham LLP

Jenny O’Brien [POST5], Esq., CHC, Chief Medicare Compliance Officer, Unitedhealthcare Medicare & Retirement, Minnetonka, MN

Robert H. Ossoff [POST5], DMD, MD, CHC, Assistant Vice-Chancellor for Compliance and Corporate Integrity, Vanderbilt University Medical Center, Nashville, TN

Larry Parsons [301], JD, CCEP, Former Vice President and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc., Austin, TX

Stephen Paskoff [PREPM2], President and CEO, ELI, Inc., Atlanta, GA

Carrie S. Penman [207, AD8], President, The Ethical Leadership Group, NAVEX Global, Bedford, MA

Ed Petry [707], Vice President, The Ethical Leadership Group, NAVEX Global, Worcester, MA

Bill Pollard [604], Partner, Deloitte FAS LLP, Chicago, IL

Luis Ramos [602], Chief Executive Officer, The Network, Inc., Norcross, GA

Cherie Raven [401], Director, Ethics & Business Conduct, BAE Systems, McLean, VA

Grace F. Renbarger [801, POST3], Former Chief Ethics & Compliance Officer, Dell, Inc., Austin, TX

Christina Reese, [AD4], CCEP, Director, Ethics & Compliance Services, Apollo Group, Inc., Phoenix, AZ

Daniel R. Roach [GS2, POST 3], JD, Co-Chair, SCCE Advisory Board; VP Compliance & Audit, Dignity Health, San Francisco, CA

Susan A. Roberts [204], JD, CCEP, Executive VP and Chief Compliance Officer, Bausch & Lomb Inc., Rochester, NY


SpeakersTodd B. Rowen [206], Knowledge Leader–Culture & Leadership Solutions, LRN, New York, NY

Isabella Maciel de Sá, [PREPM4], Country Legal Head, Novartis Biociencias S.A., São Paulo, Brazil

Lyn Scrine [205], Ethics Director, Allstate Insurance Company, Northbrook, IL

Bradley A. Siciliano [406], Shareholder, Littler Mendelson P.C., New York, NY

David M. Sims [805], Debarment Program Manager, Office of Acquisition and Property Management, U.S. Department of the Interior and Chair of Interagency Suspension and Debarment Committee (ISDC), Washington, DC

James B. Stewart [GS3], Pulitzer Prize Winner; Columnist, The New York Times; Author, Tangled Webs: How False Statements Are Undermining America: From Martha Stewart to Bernie Madoff, New York, NY

Stanley Stocker [805], Debarment Program Manager, Office of Inspector General, U.S. Department of the Interior, Washington, DC

Cindy Strzelecki [108], Vice President, Ethics & Compliance, Methodist Healthcare System

Jennifer Swayze [105], CCEP, GPHR, SPHR, SPHR-CA, CEBS, RPA, CMS, CPP, Senior Compliance Analyst–Employment Law, Paychex, Inc., Rochester, NY

John Szabo [305], Special Counsel for Ethics, US Nuclear Regulatory Commission, Rockville, MD

Lisa A. Taylor [AD2], CCEP, Assistant Manager, Corporate Responsibility, Compliance & Ethics, Toyota Motor Engineering & Manufacturing North America, Inc., Erlanger, KY

Vanessa Taylor [405], CIPP/US, Risk & Compliance Manager, National Association of State Boards of Accountancy, Nashville, TN

Charles Thomas [PREPM4], Executive Director of Due Diligence Services, Dow Jones & Company

Jordan A. Thomas [306], Partner, Labaton Sucharow LLP, New York, NY

Robert Tietjen [108], Former CEO, Policy Tech, Current Vice President, NAVEX Global, Rexburg, Idaho

Todd Tilk [AD2], CCEP, Compliance/Risk Mitigation Manager, Legal & Corporate Responsibility, Toyota Motor Sales USA, Inc. Torrance, CA

Jacki Trevino [707], Senior Manager, Corporate Compliance, Fluor Corporation, Irving, TX

Greg Triguba [PREAM1], JD, CCEP, Principal, Compliance Integrity Solutions, LLC, Highlands Ranch, CO

Debbie Troklus [PREPM5], CCEP-F, CCEP-I, CHC-F, CHRC, CHPC, Managing Director, Aegis Compliance and Ethics Center, Chicago, IL

Adam Turteltaub [GS1, GS4], VP Membership Development, Society of Corporate Compliance & Ethics, Encino, CA

Jon Turteltaub [GS1], Director, National Treasure, Los Angeles, CA

Sheryl Vacca [PREAM1, 107], CCEP, CCEP-I, CHC-F, CHRC, CHPC, Senior Vice President/Chief Compliance & Audit Officer, University of California, Oakland, CA

Rebecca Walker [PREPM5, 301], JD, Partner, Kaplan & Walker LLP, Santa Monica, CA

Jason Weintraub [POST4], Esq., Director, International Legal Affairs, Broadcom Corporation, Irvine, CA

Art Weiss [PREAM2, AD9], JD, CCEP, CCEP-I, Chief Compliance & Ethics Officer, TAMKO Building Products, Joplin, MO

Christine S. White [701], Global Business Continuity, Molson Coors Brewing Company, Denver, CO

Katie Wilson [403], Staff Employee Relations Specialist, Qualcomm, San Diego, CA

Duane C. Woods [GS4], Senior Vice President, Waste Management, Scottsdale, AZ

Justin M. Wozniski [205], AIC, SCLA, Ethics & Communication Consultant, Allstate Insurance Company, Northbrook, IL

The App will be available in August 2012

Download the 2012 CEI

Mobile Conference AppSCCE has used a mobile app for the last three years, but this year we’ve found the most robust app to guide you through the conference. Sponsored by SAI Global, the app allows you to prepare for the conference early by viewing speaker, exhibitor, and session information, and building your personal itinerary ahead of time. Learn about event buzz (or even generate some yourself) and communicate with other attendees before and during the event via the live in‑app Twitter feed (make sure to use the hashtag #SCCEcei).

While onsite, interactive mapping within the app will direct you right to your session or help you find a vendor in the Exhibit Hall. It will also give you access to the presentation slides and allow you to take session notes! It even collects all your notes and any other event infor‑mation you need into a single downloadable post‑event report. Download the mobile app in Apple’s App Store and the Android Market starting August 20. If you don’t have an iPhone, iPad, or Android device, you can still use the mobile website.

Schedule at a Glance


Saturday, October 13 11:00 am – 3:00 pm Volunteer Project with United States Veterans Initiative

3:00 – 7:00 pm Registration Desk Open

Sunday, October 147:00 am – 6:00 pm Registration Desk Open

7:30 – 8:30 am SpeedNetworking

9:00 am – 12:00 pm

PRE-CONFERENCE(includes 15-min. break)

PREAM1 Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice – Sheryl Vacca, Senior Vice President/Chief Compliance & Audit Officer, University of California; Greg Triguba, Principal, Compliance Integrity Solutions, LLC CCEP CCEP-I

PREAM2 Practical Methods for Building an Ethical Culture – Marjorie W. Doyle, Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP; Art Weiss, Chief Compliance & Ethics Officer, TAMKO Building Products

PREAM3 Investigations Workshop CCEP CCEP-IPart I (9:00-10:00 am): Beginning the Investigation and Interviewing the Reporter – Al Gagne, Director, Ethics & Compliance, Textron Systems Corporation; Latour (LT) Lafferty, Shareholder, Fowler White Boggs, P.A.Part II (10:00-11:00 am): Planning the Investigation – Meric Bloch, Vice President-Compliance & Special Investigations, AdeccoPart III (11:15 am-12:00 pm): Taking Effective Interviews – Meric Bloch, Vice President-Compliance & Special Investigations, Adecco

PREAM4 Anti-Corruption Workshop – Sulaiman Afzal, Chief Compliance Officer, US Data Solutions; Melissa Chia, Global Head of Anti-Corruption Compliance, Morgan Stanley; Kevin J. Ford, Managing Director, RDC; Brian J. Mich, Managing Director, BDO Consulting CCEP CCEP-I

PREAM5 Assessing Global Readiness: Adapting the Corporate Core to New Markets – Jennifer Kugler, Senior Director, Corporate Executive Board

12:00 – 1:30 pm Lunch (on your own)

1:30 – 4:30 pm

PRE-CONFERENCE(includes 15-min. break)

PREPM1 Effective Auditing and Monitoring in Practice: Managing Ethics and Compliance Risk – Amii Barnard-Bahn, Compliance & Ethics Officer, McKesson Corporation U.S. Pharmaceutical; Caroline K. McMichen, Chief Ethics & Compliance Officer, Molson Coors Brewing Company CCEP CCEP-I

PREPM2 The Marriage of Values and Compliance: Building a More Productive WorkplacePart I (1:30-2:30 pm): Create a Viable Set of “Standards of Behavior” that Will Help Develop a Culture that Fosters Business Performance – Stephen Paskoff, President and CEO, ELI, Inc.Part II (2:45-3:45 pm): How Changing Behaviors Helped Drive Business Outcomes: Client Testimonial – Scott Cook, Vice President, HR, Aramark, Inc.Part III (3:45-4:30 pm): Build a Lasting, Unified Culture of Values and Compliance – Stephen Paskoff, President and CEO, ELI, Inc.

PREPM3 Investigations Workshop CCEP CCEP-IPart IV (1:30-2:30 pm): Revealing and Analyzing Documents – Latour (LT) Lafferty, Shareholder, Fowler White Boggs, P.A.Part V (2:45-3:45 pm): Preparing the Investigation Report – Al Gagne, Director, Ethics & Compliance, Textron Systems CorporationPart VI (3:45-4:30 pm): Q&A Panel – Meric Bloch, Vice President-Compliance & Special Investigations, Adecco; Al Gagne, Director, Ethics & Compliance, Textron Systems Corporation; Latour (LT) Lafferty, Shareholder, Fowler White Boggs, P.A.

PREPM4 BRIC Countries: What Risks Are Waiting For You? – (Moderator) Charles Thomas, Executive Director of Due Diligence Services, Dow Jones & Company; Renata Muzzi, Partner, TozziniFreire Advogados; Odell Guyton, SCCE Advisory Board Co-Chair; Assistant General Counsel & Compliance Director (Retired), Microsoft Corporation; Isabella Sá, Country Legal Head, Novartis Biociencias S.A. CCEP CCEP-I

PREPM5 Compliance 101 – Debbie Troklus, Managing Director, Aegis Compliance and Ethics Center; Rebecca Walker, Partner, Kaplan & Walker LLP CCEP CCEP-I

PREPM6 Compliance and Ethics for Lawyers and In-House Counsel – Donna C. Boehme, Principal, Compliance Strategists LLC; Joseph E. Murphy, Of Counsel, Compliance Systems Legal Group

3:00 – 4:00 pm SpeedMentoring

4:30 – 6:00 pm Opening Reception in Exhibit Hall

6:00 – 7:00 pm Compliance & Ethics Professional Authors’ Reception and Basic Compliance & Ethics Academies Reunion

Monday, October 157:00 am – 6:00 pm Registration Desk Open

7:00 – 8:30 am Continental Breakfast in Exhibit Hall

8:15 – 8:30 am Opening Remarks

8:30 – 9:30 am General Session 1: Why Do We Root for the Good Guy Even If He’s Doing Bad? – Chris Bohjalian, New York Times Bestselling Author of The Sandcastle Girls; Jay Kogen, Co-Executive Producer, Happily Divorced; Jon Turteltaub, Director, National Treasure; Moderator Adam Turteltaub, VP Membership Development, Society of Corporate Compliance & Ethics

9:30 – 10:30 am General Session 2: Strategies for Enhancing Your Effectiveness as a Compliance & Ethics Officer – Daniel R. Roach, Co-chair, SCCE Advisory Board, VP Compliance & Audit, Dignity Health

10:30 – 11:00 am Networking Break in Exhibit Hall

RISK ETHICS CASE STUDIES MULTINATIONAL/ INTERNATIONAL

GENERAL COMPLIANCE/HOT TOPICS

ADVANCED DISCUSSION GROUPS



Monday, October 15 (continued)11:00 am – 12:00 pm 101 Anti-Corruption/Anti-Bribery Programs: Advanced Practices and Risk Assessment – Diana Lutz, Principal, Diana Lutz LLC

102 Internal Ethics Officer Training: Driving Program Consistency – Karen Clapsaddle, Director, Ethics Engagement & Enterprise Operations, Lockheed Martin Corporation; Jessica Hoffman, Ethics Analyst Sr., Lockheed Martin Corporation103 Boeing’s International Ethics Program: Case Studies in Global Culture – Michael R. Levin, Director, Ethics & Business Conduct, Government Operations & International Ethics & Business Conduct, The Boeing Company104 International Privacy and Data Protection – Web Hull, Senior Privacy & Compliance Specialist, Iron Mountain; Lindsey Greig, Managing Editor, DataGuidance CCEP CCEP-I

105 Playing the Don’t Pass Line: Minimizing Exposure Resulting from M&A—I-9s, E-Verify and IMAGE – Kevin Lashus, Partner, Jackson Lewis LLP; Jennifer Swayze, Senior Compliance Analyst-Employment Law, Paychex, Inc.106 Viewing Misconduct Through the Lens of Film – Paul Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University107 Considerations for Effective Report Writing in the Investigative Process – Marjorie W. Doyle, Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP; Sheryl Vacca, Senior Vice President/Chief Compliance & Audit Officer, University of California CCEP CCEP-I108 The New Policy Management: Keeping Your Policies Organized, Current and Thorough – Bob Conlin, Chief Products Officer, NAVEX Global; Robert Tietjen, Former CEO, Policy Tech, Current Vice President, NAVEX Global; Cindy Strzelecki, Vice President, Ethics & Compliance, Methodist Healthcare System CCEP CCEP-I

AD1 Effectively Managing the Administrative Aspects of Compliance – John Falcetano, Chief Audit & Compliance Officer, Vidant Health Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.

12:00 – 1:00 pm Lunch Presentation – Stephen L. Cohen, Associate Director, Division of Enforcement, Securities and Exchange Commission

1:00 – 1:30 pm Dessert in Exhibit Hall

1:30 – 2:30 pm 201 Antitrust & Competition Law: Don’t Underestimate the Real Risk Facing Your Organization—Use Tools that Work – Joseph E. Murphy, Of Counsel, Compliance Systems Legal Group CCEP CCEP-I202 Barriers to Ethical Behavior – Rick L. Crosser, Professor & Chair of Accounting, Metropolitan State University of Denver203 Compliance Programs in Non-Profits: The 3 Ws—Working Together, Watchdogs, and Wonderful Ideas – Kitty Holt, Ethics & Compliance Officer, Plan International USA; Gayle L. Macias, Senior Director, Corporate Compliance, Office of Accountability, Compliance and Ethics, World Vision, Inc.204 Complying with Global Anticorruption Laws: A Case Study – Susan A. Roberts, Executive VP and Chief Compliance Officer, Bausch & Lomb Inc. CCEP CCEP-I205 Multi-Generational and Millennial Communications – Lyn Scrine, Ethics Director, Allstate Insurance Company; Justin M. Wozniski, Ethics Communication Consultant, Allstate Insurance Company206 Measuring the ROI of Culture: Data Connecting Culture to Critical Business Outcomes – Todd B. Rowen, Knowledge Leader, Culture & Leadership Solutions, LRN207 Effective Interactions Between Chief Ethics & Compliance Officer and the Board – Barbara (Bobby) Kipp, Partner, PricewaterhouseCoopers LLP; Carrie S. Penman, President, The Ethical Leadership Group, NAVEX Global CCEPAD2 How Do You Evaluate Your Compliance Program? – Lisa A. Taylor, Assistant Manager, Corporate Responsibility, Compliance & Ethics, Toyota Motor Engineering & Manufacturing North America, Inc.; Todd Tilk, Compliance Risk Mitigation Manager, Legal & Corporate Responsibility, Toyota Motor Sales, USA, Inc. SESSION IS FULL. Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.AD3 What to Do When Everything Goes Wrong – Patrick Gnazzo, Principal, Better Business Practices LLCPre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.

2:30 – 3:00 pm Networking Break in Exhibit Hall

3:00 – 4:00 pm 301 Conflicts of Interest: Sex, Money and Family and the Risks They Create – Larry Parsons, Former Vice President and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc.; Rebecca Walker, Partner, Kaplan & Walker LLP CCEP CCEP-I302 Command, Control, Culture and Compliance – Scott Killingsworth, Partner, Bryan Cave LLP303 A Case Study of the Ethical (and not so Ethical) Decisions Leading to the 1986 Challenger Tragedy – Kendra L. B. Cook, Director of Corporate Compliance, Integrity Applications Incorporated304 How to Reduce Risk in US-Russia Trade and Investment – Matthew Murray, Deputy Assistant Secretary for Europe and Eurasia, U.S. Department of Commerce, International Trade Administration305 You Want to Hire a Fed? – John Szabo, Special Counsel for Ethics, US Nuclear Regulatory Commission306 Dodd Frank Whistleblower Provisions: A New Challenge for Ethics and Compliance Professionals – Jordan A. Thomas, Partner, Labaton Sucharow LLP CCEP307 Zen and the Art of Compliance Program Maintenance – Barbara L. Harmon, Compliance Program Supervisor, Alyeska Pipeline Service Company; Dev Suroop K. Khalsa, Chief Compliance Officer, Akal Security, Inc.AD4 Your Board is Engaged, But What About Management? – Shelley Aul, Sr. Ethics & Compliance Manager, Apollo Group, Inc.; Christina Reese, Director, Ethics & Compliance Services, Apollo Group, Inc. Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.AD5 Ethics & Compliance Officer’s Role in Corrective and Disciplinary Actions – Al Gagne, Director, Ethics & Compliance, Textron Systems Corporation Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.







Monday, October 15 (continued)4:30 – 5:30 pm 401 Government Contracting and Relationships: Risks and Opportunities in a Complex Regulatory Environment – Eric R. Feldman, President, Core Integrity Group LLC;

Principal/Director, Corporate Compliance Programs, Affiliated Monitors, Inc.; Cherie Raven, Director, Ethics & Business Conduct, BAE Systems402 Taking Your Ethics Program to the Next Level – Helen A. Goodwin, Ethics Program Manager, Bonneville Power Administration; Jacilyn Margeson, Assistant General Counsel, Bonneville Power Administration 403 Tying Compliance to Culture: The Qualcomm Way – Katie Wilson, Staff Employee Relations Specialist, Qualcomm 404 Global Antitrust Compliance Enforcement – Marcelo Calliari, Partner, TozziniFreire Advogados CCEP CCEP-I405 Changing Face of Privacy – Vanessa Taylor, Risk & Compliance Manager, National Association of State Boards of Accountancy CCEP406 How to Assess and Mitigate the Risk of Misconduct Occurring and Not Being Reported – Earl (Chip) Jones, Shareholder, Littler Mendelson, P.C.; Katherine C. Franklin, Shareholder, Littler Mendelson P.C.; Bradley A. Siciliano, Shareholder, Littler Mendelson P.C. CCEP407 Building the Ship While Sailing: Winning Strategies for Developing, Educating and Empowering a High Performing Compliance and Ethics Team – Donna C. Boehme, Principal, Compliance Strategists LLC; Stephen Naughton, Senior Vice President, Global Litigation, PepsiCo, Inc.; Janice Innis-Thompson, Senior Managing Director and Chief Ethics & Compliance Officer, TIAA-CREF; Patrick Gnazzo, Principal, Better Business Practices LLCAD6 Engaging Employees in Ethics – Paul Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.AD7 Social Media Policies, the NLRB, and Privacy – Angela Bosworth, Esq., Vice President of Compliance and General Counsel, EmployeeScreenIQ Pre-registration required for Advanced Discussion Groups. Attendance limited to 50 participants.

5:30 – 7:00 pm Networking Reception in Exhibit Hall sponsored by EthicsPoint, a NAVEX Global Company

7:00 – 9:00 pm 8th Annual International Compliance and Ethics Awards Dinner

Tuesday, October 167:00 am – 5:30 pm Registration Desk Open



8:30 – 9:30 am General Session 3: Ethics, Leadership and Temptation in the Workplace – James B. Stewart, Pulitzer Prize Winner; Columnist, The New York Times; Author, Tangled Webs: How False Statements Are Undermining America: From Martha Stewart to Bernie Madoff

9:30 – 10:30 am General Session 4: Lessons We Don’t Learn: Corporate Scandals, Why We Repeat Them, and How We Can Learn From Them – Donna C. Boehme, Principal, Compliance Strategists LLC; David J. Heller, VP and Chief Ethics and Compliance Officer, Edison International; Joseph E. Murphy, Of Counsel, Compliance Systems Legal Group; Duane C. Woods, Senior Vice President, Waste Management; Moderator Adam Turteltaub, VP Membership Development, Society of Corporate Compliance & Ethics


11:00 am – 12:00 pm 501 Trade Compliance and Exports: Getting Maximum Results with Limited Resources—Creating a Practical, Risk-Based Trade Compliance Program – Gwendolyn Hassan, Manager, Corporate Compliance, Office of the General Counsel, Navistar, Inc. CCEP CCEP-I502 What Behavioral Ethics Means for Compliance and Ethics Programs – Jeffrey M. Kaplan, Partner, Kaplan & Walker LLP503 A Whistleblower’s Case Study: Blowing the Whistle on Fraud at the University – Amy Block Joy, Faculty, University of California 504 How Does Your Company Select Top Management of Your Foreign Subs: Awareness of Compliance Aspects – Sally March, Principal, Drummond March & Co; Brent McDaniel, Director, KPMG LLP505 Complying with Multi-National Privacy and Security Requirements in the Cloud – Benjamin Hayes, North America Data Privacy Compliance Lead, Accenture CCEP CCEP-I506 Corporate Liability, Compliance and Governance Issues Faced by Boards, Executives and In-House Counsel – Gabriel L. Imperato, Managing Partner, Broad and Cassel; James M. Lord, Senior Director, Alvarez & Marsal, Former Assistant United States Attorney CCEP507 Automating Compliance in the iPhone Age – Theodore L. Banks, President, Compliance & Competition Consultants, LLC AD8 Movers and Shapers of Your Corporate Culture: What Are They and How Do You Influence Them? – Carrie S. Penman, President, The Ethical Leadership Group, NAVEX Global Pre-registration required for Advanced Discussion Groups (see Step 3 on registration form). Attendance limited to 50 participants.AD9 You Don’t Have to Be Big to Be Compliant – Art Weiss, JD, CCEP, CCEP-I, Chief Compliance & Ethics Officer, TAMKO Building Products Pre-registration required for Advanced Discussion Groups (see Step 3 on registration form). Attendance limited to 50 participants.

12:00 – 1:00 pm Networking Lunch

1:00 – 1:30 pm Networking Break

1:30 – 2:30 pm 601 Privacy & Data Protection: Practical Approaches to Risk Assessment and Management – Marti Arvin, Chief Compliance Officer, UCLA Health System; Courtney Barton, Director, Corporate Compliance & Global Data Privacy, Bausch & Lomb CCEP CCEP-I602 Defining Your Ethics Quotient: An Integrated Approach to GRC – Luis Ramos, Chief Executive Officer, The Network, Inc.603 Fostering Ethical Leadership in the Shadow of Dodd-Frank – Kirsten Liston, Senior Compliance Advisor, SAI Global; Rachel Batykefer, Senior Manager, Ethics and Compliance Programs, Tyco International; Robert Miromonti, Vice President, Ethics & Compliance, Centene Corporation604 Auditing for Corruption in Emerging Markets: Applying Fraud Detection Skills to Reduce Corruption – Bill Pollard, Partner, Deloitte FAS LLP; Mark Albers, Senior Manager, Deloitte FAS LLP CCEP CCEP-I605 Compliance Auditing Workshop – Diana Liska, Senior Auditor, First National Bank of Omaha CCEP CCEP-I606 Finding a Way to Answer the Question: Does it Work, and How Do You Know? – David Harris, Head of Business Conduct, BAE Systems Plc 607 Want to Race? Bring Your Code of Conduct to Life in a Training Meets Reality TV Meets Choose Your Own Adventure Experience – Krister Hampton, AGDC Sales Training & Compliance, Altria; Heather Bell, AGDC Sales Training & Compliance, AltriaAD10 Enhancing Your Compliance Communications – Carolyn Marks, International Operations Compliance Manager, Office of the Vice President and General Counsel, Yale University Pre-registration required for Advanced Discussion Groups (see Step 3 on registration form). Attendance limited to 50 participants.







Tuesday, October 16 (continued)3:00 – 4:00 pm 701 Records and Information Management: Managing the Real Risks Facing Your Organization – Christine S. White, Global Business Continuity, Molson Coors Brewing

Company; Emily Bone, Manager, Global Records Management, Molson Coors Brewing Company CCEP702 Government Ethics Rules: How Organizations Can Comply – C. Simon Davidson, Author of Roll Call column “A Question of Ethics”; Partner, McGuireWoods LLP, Richmond, VA 703 Social Networking: Managing the Risks and Realizing the Benefits – Jim Donaldson, Director of Compliance/Privacy and Security Officer, Baptist Health Care Corporation 704 Internal Investigations in a Multi-Jurisdictional Environment – Ambroise Augé, Director, Compliance European Union & Operations Center, Philip Morris International CCEP705 Hotline Call to Press Release: Three Perspectives on Investigations and Disclosures – Jeffrey A. Belkin, Partner, Alston & Bird, LLP; Seth D. Bruckner, Regulatory Compliance and Ethics Attorney, United Parcel Service; Randy Chartash, Assistant U.S. Attorney and Chief of Economic Crime, U.S. Attorney’s Office, Northern District of Georgia CCEP706 Wage & Hour: Managing This Risk in a New Era of Enforcement – Amy Hutchens, General Counsel-VP Compliance & Ethics Svs., Watermark Risk Management International, LLC 707 Ethics and Compliance Due Diligence in Mergers, Acquisitions and Major Corporate Events – Ed Petry, Vice President, The Ethical Leadership Group, NAVEX Global; Jacki Trevino, Senior Manager, Corporate Compliance, Fluor Corporation CCEP


4:15 – 5:15 pm 801 Social Media in the Workplace: Legal Trends, Ethical Considerations and Managing Risk – David Frishkorn, Vice President, Chief Compliance Officer, Comverse Technology, Inc.; Grace F. Renbarger, Former Chief Ethics & Compliance Officer, Dell, Inc.802 Creating and Maintaining an Authentic Organization – John Cross, Associate General Counsel, Veterinary Pet Insurance Co.; Lynne Hennessey, Compliance Director, Veterinary Pet Insurance Co. 803 Getting it Right: Minimizing Risk in Conducting Internal Investigation Interviews – Judy S. Kalisker, Vice President of Compliance and Compliance Officer, The MENTOR Network CCEP CCEP-I804 Cultural Aspects of a Global Compliance Program – Sally March, Principal, Drummond March Co; Luciana Bittar, Managing Director, International Corporate Governance & Compliance Consulting CCEP CCEP-I805 Federal Government Suspension & Debarment – John Hanson, Executive Director, Artifice Forensic Financial Services, LLC; Robert A. Knox, Assistant Inspector General for Investigations, Office of the Inspector General, U.S. Department of Interior; David M. Sims, Debarment Program Manager, Office of Acquisition and Property Management, U.S. Department of the Interior and Chair of the Interagency Suspension and Debarment Committee (ISDC); Stanley Stocker, Debarment Program Manager, Office of the Inspector General, U.S. Department of the Interior806 Developing and Implementing an Effective Ethics and Compliance Training Program – Domenick Claudio, Executive Director, Global Financial Compliance, The Estee Lauder Companies Inc. CCEP CCEP-I807 Background Checks Under Fire: Is Your Screening Process at Risk? – Angela Bosworth, Vice President of Compliance and General Counsel, EmployeeScreenIQ CCEP

Wednesday, October 178:00 am – 12:30 pm Registration Desk Open

9:00 am – 12:00 pm

POST-CONFERENCE(includes 15-min. break)

POST1 Bad Day in the Boardroom: Identifying Global Risks and Managing a Crisis – Robert Bond, Partner, Speechly Bircham LLP; Rhys Novak, Partner, Speechly Bircham LLP; David Frishkorn, Vice President, Chief Compliance Officer, Comverse Technology, Inc. CCEP CCEP-IPOST2 Make Culture Matter! Show Leadership that Ethics is the Key to Performance – David Gebler, President, Skout Group, LLCPOST3 Making the Grade: Developing and Implementing an E&C Scorecard for Executives – Grace F. Renbarger, Former Chief Ethics & Compliance Officer, Dell, Inc.; Daniel R. Roach, Co-Chair, SCCE Advisory Board, VP Compliance & Audit, Dignity HealthPOST4 Compliance as Competitive Advantage: Designing a Cost-Effective Global Anti-Corruption Program – Marjorie W. Doyle, Managing Director, Aegis Compliance & Ethics Center LLP; Jason Weintraub, Director, International Legal Affairs, Broadcom Corporation CCEP CCEP-IPOST5 Results of the SCCE/HCCA Stress Survey and What We Can Do About It – Shawn DeGroot, VP Corporate Responsibility, Regional Health; Robert H. Ossoff, Assistant Vice-Chancellor for Compliance and Corporate Integrity, Vanderbilt University Medical Center; Jenny O’Brien, Chief Medicare Compliance Officer, Unitedhealthcare Medicare & RetirementPOST6 Cyber Warfare – David Childers, President and Chief Executive Officer, Compli; Vivek Krishnamurthy, Associate, Foley Hoag LLP

1:00 – 2:00 pm CCEP and CCEP-I Exams Check-In

2:00 – 4:00 pm CCEP Exam (optional)

2:00 – 4:30 pm CCEP-I Exam (optional)





SATURDAY/SUNDAY October 14

Saturday, October 13

3:00 – 7:00 pm

Registration OpenArriving early? Check in on Saturday to save time waiting in line, plus we’ll automatically enter you into a drawing for a free registration to the 2013 Annual Meeting in Washington DC!

11:00 am – 3:30 pm

Volunteer Project with United States Veterans InitiativeCome to the annual meeting early and help us give back to the community! We are partnering again this year with the United States Veterans Initiative–Las Vegas to assist in the painting and cleanup of a housing project for U.S. Veterans. Registration is free for this event and provides you with a volunteer T‑shirt, lunch and transportation to and from the housing project location. It is a great networking opportunity with fellow conference attendees, speakers, and SCCE board members.

Sunday, October 14

7:00 am – 6:00 pm

Registration Open

7:30 – 8:30 am

SpeedNetworking

9:00 am – 12:00 pm (includes 15-minute break)

PRE-CONFERENCE AM BREAKOUT SESSIONS

RISK TRACK

PREAM1 Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice CCEP CCEP-ISUNDAY 9:00 am – 12:00 pm

Sheryl Vacca, CCEP, CCEP‑I, CHC‑F, CHRC, CHPC, Senior Vice President/Chief Compliance & Audit Officer, University of California

Greg Triguba, JD, CCEP, Principal, Compliance Integrity Solutions, LLC

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

P Engage in simulated exercises that explore challenges, planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes

P 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

ETHICS TRACK

PREAM2 Practical Methods for Building an Ethical CultureSUNDAY 9:00 am – 12:00 pm

Marjorie W. Doyle, JD, CCEP‑F, CCEP‑I, Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP

Art Weiss, JD, CCEP, CCEP‑I, Chief Compliance & Ethics Officer, TAMKO Building Products

P Why good people who know right from wrong make unethical choices

P Why practicing making ethical choices is important

GENERAL COMPLIANCE/HOT TOPICS TRACK

PREAM3 Investigations Workshop CCEP CCEP-ISUNDAY 9:00 am – 12:00 pm

Part I (9:00 – 10:00 am): Beginning the Investigation and Interviewing the Reporter

Al Gagne, CCEP, Director, Ethics & Compliance, Textron Systems Corporation

Latour (LT) Lafferty, CCEP, CHC, Shareholder, Fowler White Boggs, P.A.

P Some investigation fundamentals P Gather as much information as possible P Safeguard the integrity of the investigation

Part II (10:00 – 11:00 am): Planning the Investigation

Meric Bloch, Esq., CCEP, PCI, CFE, Vice President–Compliance & Special Investigations, Adecco

P Determining the precise allegation you need to investigate

P Making your investigation plan P Developing your investigation strategy

Part III (11:15 am – 12:00 pm): Taking Effective Interviews


P Learn the investigation basics P Know the difference between an interview and interrogation

P Documenting your interview

MULTINATIONAL/INTERNATIONAL TRACK

PREAM4 Anti-Corruption Workshop CCEP CCEP-ISUNDAY 9:00 am – 12:00 pm

Sulaiman Afzal, FCA, Chief Compliance Officer, US Data Solutions

Melissa Chia, JD, Global Head of Anti‑Corruption Compliance, Morgan Stanley

Kevin J. Ford, Managing Director, RDC

Brian J. Mich, JD, CAMS, Managing Director, BDO Consulting

P UK Bribery Act and Third Party Risks P FCPA and Dodd Frank Act P Continuous Controls Monitoring (CCM) and use of technology in compliance

P Lean Six Sigma in compliance


SUNDAY October 14GENERAL COMPLIANCE/HOT TOPICS TRACK

PREAM5 Assessing Global Readiness: Adapting the Corporate Core to New MarketsSUNDAY 9:00 am – 12:00 pm

Jennifer Kugler, Senior Director, Corporate Executive Board

P Promote a culture of integrity to surface and mitigate key risks

P Leverage your integrity capital to maximize financial and operational performance

P Reduce the likelihood of employee misconduct

12:00 – 1:30 pm

Lunch (on your own)

1:30 – 4:30 pm (Includes 15 minute break)

PRE-CONFERENCE PM BREAKOUT SESSIONS

RISK TRACK

PREPM1 Effective Auditing and Monitoring in Practice: Managing Ethics and Compliance Risk CCEP CCEP-ISUNDAY 1:30 – 4:30 pm

Amii Barnard-Bahn, JD, CCEP, Compliance & Ethics Officer, McKesson Corporation U.S. Pharmaceutical

Caroline K. McMichen, Chief Ethics & Compliance Officer, Molson Coors Brewing Company

P Overview of various auditing and monitoring practices, tools and resources that support the effective management of risk in the organization and target important “hot spots”

P Benefit and value of leveraging strategic partnerships in the organization such as Internal Audit to improve the auditing and monitoring components of your ethics and compliance program

P Creating targeted and strategic action plans for the effective implementation and management of auditing and monitoring program and practices

ETHICS TRACK

PREPM2 The Marriage of Values and Compliance: Building a More Productive WorkplaceSUNDAY 1:30 – 4:30 pm

Part I (1:30–2:30 pm): Create a Viable Set of “Standards of Behavior” that Will Help Develop a Culture Which Fosters Business Performance

Stephen Paskoff, President and CEO, ELI, Inc.

Part II (2:45–3:45 pm): How Changing Behaviors Helped Drive Business Outcomes: Client Testimonial

Scott Cook, Vice President, HR, Aramark, Inc.

Part III (3:45–4:30 pm): Build a Lasting, Unified Culture of Values and Compliance

Stephen Paskoff, President and CEO, ELI, Inc.


PREPM3 Investigations Workshop (continued from PREAM3) CCEP CCEP-ISUNDAY 1:30 – 4:30 pm

Part IV (1:30–2:30 pm): Revealing and Analyzing Documents


P Understanding the critical role of documents in your investigation

P Identify & explain the purpose of documentary evidence in your investigation

P Review & discuss key issues involving documentary evidence

Part V (2:45–3:45 pm): Preparing the Investigation Report


P Sticking to the facts P Key considerations to include in the report P Benefits of preparing a good report

Part VI (3:45–4:30 pm): Q&A Panel





PREPM4 BRIC Countries: What Risks Are Waiting For You? CCEP CCEP-ISUNDAY 1:30 – 4:30 pm

(Moderator) Charles Thomas, Executive Director of Due Diligence Services, Dow Jones & Company

Renata Muzzi, Partner, TozziniFreire Advogados

Odell Guyton, SCCE Advisory Board Co‑Chair; Assistant General Counsel & Compliance Director (Retired), Microsoft Corporation

Isabella Maciel de Sá, Country Legal Head, Novartis Biociencias S.A., São Paulo, Brazil

P Most common risk typologies by country, with real examples and survey insights

P Ways to identify accurate information for risk assessments and Due Diligence

P Strategies for effectively managing corruption risk whilst controlling costs and workload


PREPM5 Compliance 101SUNDAY 1:30 – 4:30 pm

Debbie Troklus, CCEP‑F, CCEP‑I, CHC‑F, CHRC, CHPC, Managing Director, Aegis Compliance and Ethics Center


P An in-depth look into the seven elements of an effective compliance program

P Understanding the factors to consider when developing and implementing a compliance program

P Project and program management techniques, systems, tools, etc.

MONDAY October 15



PREPM6 Compliance and Ethics for Lawyers and In-House CounselSUNDAY 1:30 – 4:30 pm

Donna C. Boehme, Principal, Compliance Strategists LLC

Joseph E. Murphy, Of Counsel, Compliance Systems Legal Group

P Privilege & confidentiality: impact on compliance program

P Analysis of “scary topics”: risk assessments, investigations, and reporting

P Not your father’s internal investigation P Role of the GC vs. compliance officer (including “double-hatted” roles)

P What your board needs to know about compliance and ethics

P Ripped from the headlines: Wal-Mart case study and more

P Compliance and ethics: an alternative career path for lawyers?

3:00 – 4:00 pm

SpeedMentoring

4:30 – 6:00 pm

Opening Reception in Exhibit Hall

6:00 – 7:00 pm

Authors’ Reception and Academies Reunion

MONDAY, OCTOBER 15

7:00 am – 6:00 pm

Registration Open



8:30 – 9:30 am General Session 1: Why Do We Root for the Good Guy Even If He’s Doing Bad?Chris Bohjalian, The New York Times Bestselling Author of The Sandcastle Girls

Jay Kogen, Co‑Executive Producer, Happily Divorced

Jon Turteltaub, Director, National Treasure

(Moderator) Adam Turteltaub, CCEP, VP Membership Development, Society of Corporate Compliance & Ethics

P Why is it that bad characters are often so compelling?

P How does Hollywood make bad guys so likeable? P What does that say about our efforts to teach compliance and ethics effectively?

P What does it say about how workers react to people who break the rules around them?

9:30 – 10:30 am

General Session 2: Strategies for Enhancing Your Effectiveness as a Compliance and Ethics OfficerDaniel R. Roach, JD, Co‑Chair, SCCE Advisory Board, VP Compliance & Audit, Dignity Health

P What does it mean to be effective? P What am I and why am I here? P Buy-in: How to get it and keep it


11:00 am – 12:00 pm CONCURRENT BREAKOUT SESSIONS

RISK TRACK

101 Anti-Corruption/Anti-Bribery Programs: Advanced Practices and Risk Assessment CCEP CCEP-IMONDAY 11:00 am – 12:00 pm

Diana Lutz, JD, Principal, Diana Lutz LLC

P An interactive discussion of global anti-corruption, anti-bribery risk identification and assessment

P Review a proposed risk matrix and assessment approach. Discuss criteria in the matrix, identify additional criteria, address industry specific customization, process, resources, frequency, mitigation and accountability

P Examine advanced mitigation practices, discuss how design and delivery of program elements can be tailored for greater effectiveness

ETHICS TRACK

102 Internal Ethics Officer Training: Driving Program Consistency MONDAY 11:00 am – 12:00 pm

Karen Clapsaddle, Director, Ethics Engagement & Enterprise Operations, Lockheed Martin Corporation

Jessica Hoffman, Ethics Analyst Sr., Lockheed Martin Corporation

P Ethics Officer training P Drive consistency in ethics program implementation

P Low-cost, customizable ethics officer training curriculum

CASE STUDY TRACK

103 Boeing’s International Ethics Program: Case Studies in Global CultureMONDAY 11:00 am – 12:00 pm

Michael R. Levin, CCEP, Director, Ethics & Business Conduct, Government Operations & International Ethics & Business Conduct, The Boeing Company

P How to ensure the proper ownership of ethics: a look at how Boeing creates its culture and ensures consistency

P What it looks like when it works and when it doesn’t: real case examples illustrating how culture affects performance


104 International Privacy and Data Protection CCEP CCEP-IMONDAY 11:00 am – 12:00 pm

Web Hull, Senior Privacy & Compliance Specialist, Iron Mountain

Lindsey Greig, Managing Editor, DataGuidance


MONDAY October 15GENERAL COMPLIANCE/HOT TOPICS TRACK

105 Playing the Don’t Pass Line: Minimizing Exposure Resulting from M&A—I-9s, E-Verify and IMAGEMONDAY 11:00 am – 12:00 pm

Kevin Lashus, Partner, Jackson Lewis LLP

Jennifer Swayze, CCEP, GPHR, SPHR, SPHR‑CA, CEBS, RPA, CMS, CPP, Senior Compliance Analyst–Employment Law, Paychex, Inc.

P Employment verification compliance: best practices after changes to the regulatory landscape

P Due diligence during mergers and acquisitions: minimizing historical exposure

P Learning from the public mistakes of others: lessons from Abercrombie, Chipotle and IFCO


106 Viewing Misconduct Through the Lens of FilmMONDAY 11:00 am – 12:00 pm

Paul Fiorelli, Professor of Legal Studies and Co‑Director, Cintas Institute for Business Ethics, Xavier University

P Analyze the “Fraud Triangle”: Pressure/Opportunity/Motivation

P Use video clips to discuss fraud, conflicts of interest and bribery

P Use scenarios to engage the audience and compliment the video clips


107 Considerations for Effective Report Writing in the Investigative Process CCEP CCEP-IMONDAY 11:00 am – 12:00 pm

Marjorie W. Doyle, JD, CCEP‑F, CCEP‑I, Managing Director, Aegis Compliance and Ethics Center; Of Counsel, Meade & Roach LLP

Sheryl Vacca, CCEP, CCEP‑I, CHC‑F, CHRC, CHPC, Senior Vice President/Chief Compliance & Audit Officer, University of California

P The participant will receive a generic roadmap for report writing considerations

P Case study application of report writing will be discussed

P Contributing factors to report writing format will be discussed


108 The New Policy Management: Keeping Your Policies Organized, Current, and Thorough CCEP CCEP-IMONDAY 11:00 am – 12:00 pm

Bob Conlin, Chief Products Officer, NAVEX Global

Robert Tietjen, Former CEO, Policy Tech; Current Vice President, NAVEX Global

Cindy Strzelecki, Vice President, Ethics & Compliance, Methodist Healthcare System

P Ideas on modernization of policies and methods to manage them

P Expert opinion on updating code of conduct and how that plays into policy creation

P The skinny on new certification forms and their intersection with policy management

ADVANCED DISCUSSION GROUP

AD1 Effectively Managing the Administrative Aspects of ComplianceMONDAY 11:00 am – 12:00 pm

Pre-registration required for Advanced Discussion Groups. Attendance limited to 50.

John Falcetano, CHC‑F, CCEP‑F, CHRC, CHPC, Chief Audit & Compliance Officer, Vidant Health

P Reporting to the Board: Metrics, dashboards and other reporting tools

P The best of the best: staff qualifications that best compliment an effective compliance program

P Staff empowerment resulting in job satisfaction and a self-directed highly motivated team

12:00 – 1:00 pm Lunch

12:40 – 1:00 pm Lunch PresentationStephen L. Cohen, Associate Director, Division of Enforcement, Securities and Exchange Commission

1:00 – 1:30 pm Networking Break & Dessert in Exhibit Hall

1:30 – 2:30 pm CONCURRENT BREAKOUTS

RISK TRACK

201 Antitrust & Competition Law: Don’t Underestimate the Real Risk Facing Your Organization—Use Tools that Work CCEP CCEP-IMONDAY 1:30 – 2:30 pm

Joseph E. Murphy, JD, CCEP, CCEP‑I, Of Counsel, Compliance Systems Legal Group

P Identify and understand antitrust and competition law risks facing your organization globally

P Explore strategies, tools and resources, including the USSGs elements, for effective management of antitrust risk

P Understand the global enforcement environment and how your compliance efforts may be treated

ETHICS TRACK

202 Barriers to Ethical BehaviorMONDAY 1:30 – 2:30 pm

Rick L. Crosser, Ph.D., CPA, CCEP, Professor & Chair of Accounting, Metropolitan State University of Denver

P Explore why good people sometimes do evil P Assess ways to change moral reasoning foundations

P Investigate dimensions of leadership when ethical dilemmas surface

CASE STUDY TRACK

203 Compliance Programs in Non-Profits: The 3 W’s—Working Together, Watchdogs, and Wonderful IdeasMONDAY 1:30 – 2:30 pm

Kitty Holt, CCEP, Ethics & Compliance Officer, Plan International USA

Gayle L. Macias, MBA, CCEP, NGMA, CGMS, Senior Director, Corporate Compliance, Office of Accountability, Compliance and Ethics, World Vision, Inc.

P Learn how two charities foster collaboration (internally and externally)

P Find out more about Charity Watchdogs/other non-profit overseers and how to meet their standards

P Take home some best practices

MONDAY October 15



204 Complying with Global Anticorruption Laws: A Case Study CCEP CCEP-IMONDAY 1:30 – 2:30 pm

Susan A. Roberts, JD, CCEP, Executive VP and Chief Compliance Officer, Bausch & Lomb Inc.

P How to position compliance with anti-corruption laws as a competitive advantage

P How to develop relevant, user-friendly policies to get maximum compliance

P How to best partner with your business leaders for maximum success


205 Multi-Generational and Millennial CommunicationsMONDAY 1:30 – 2:30 pm

Lyn Scrine, Ethics Director, Allstate Insurance Company

Justin M. Wozniski, AIC, SCLA, Ethics Communication Consultant, Allstate Insurance Company

P Learn about effectively communicating with multiple generations

P Learn about how to engage the millennial audience in corporate communications

P Achieve consistent ethics messaging while leveraging multiple communication mediums


206 Measuring the ROI of Culture: Data Connecting Culture to Critical Business OutcomesMONDAY 1:30 – 2:30 pm

Todd B. Rowen, Knowledge Leader, Culture & Leadership Solutions, LRN

P Furnish your program with key data that supports your current cultural initiatives

P Get critical leverage for collaboration with other functional stakeholders (HR, Finance, Sales)

P Understand regional differences between the U.S., Mexico, Brazil, Russia, Turkey, China, and India.


207 Effective Interactions Between Chief Ethics & Compliance Officer and the Board CCEPMONDAY 1:30 – 2:30 pm

Barbara (Bobby) Kipp, Partner, PricewaterhouseCoopers

Carrie S. Penman, President, The Ethical Leadership Group, NAVEX Global

P Learn leading practices on how to interact with the Board and key elements of Board training

P Discuss types of data and metrics that should be reported to the board

P Learn the top mistakes ethics and compliance officers make when dealing with their Boards and executive teams


AD2 How Do You Evaluate Your Compliance Program?MONDAY 1:30 – 2:30 pm

SESSION IS FULL. Pre-registration required for Advanced Discussion Groups. Attendance limited to 50.

Lisa A. Taylor, CCEP, Assistant Manager, Corporate Responsibility, Compliance & Ethics, Toyota Motor Engineering & Manufacturing North America, Inc.

Todd Tilk, CCEP, Compliance Risk Mitigation Manager, Legal & Corporate Responsibility, Toyota Motor Sales, USA, Inc.

P Discussion of compliance program evaluation methods

P What works/what doesn’t work? P Do you use an outside consultant or not?


AD3 What to Do When Everything Goes WrongMONDAY 1:30 – 2:30 pm

Patrick Gnazzo, Principal, Better Business Practices LLC

P A Crisis Management Strategic Plan is the first step

P The right team is essential for each occurrence P Develop a particular Plan ASAP but be prepared to deviate from the Plan


3:00 – 4:00 pm CONCURRENT BREAKOUT SESSIONS

RISK TRACK

301 Conflicts of Interest: Sex, Money, and Family, and the Risks They Create CCEP CCEP-IMONDAY 3:00 – 4:00 pm

Larry Parsons, JD, CCEP, Former Vice President, Legal and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc.


P Overview of conflicts of interest risk and its impact on the organization

P Share best practices for managing the risks created by conflicts of interest and implementing practical, flexible solutions, including policies, training, pre-approvals, questionnaires and audits

P Explore real world scenarios of conflicts situations (including those involving family, financial and personal relationships)

ETHICS TRACK

302 Command, Control, Culture, and ComplianceMONDAY 3:00 – 4:00 pm

Scott Killingsworth, JD, Partner, Bryan Cave LLP

P Understand the advantages of a values-based compliance program

P Learn how corporate ethical culture has been proven to influence employee compliance

P Learn how to promote specific cultural traits that most dramatically affect compliance

CASE STUDY TRACK

303 A Case Study of the Ethical (and Not So Ethical) Decisions Leading to the 1986 Challenger TragedyMONDAY 3:00 – 4:00 pm

Kendra L. B. Cook, CCEP, CUSECO, PMP, Director of Corporate Compliance, Integrity Applications Incorporated

P This case study examines some of the engineering and management decisions that led to the 1986 space shuttle Challenger tragedy

P It illustrates the complexities of making ethical decisions in a competitive environment

P It includes recommendations to aid engineers and managers in making ethical decisions


MONDAY October 15MULTINATIONAL/INTERNATIONAL TRACK

304 How to Reduce Risk in US-Russia Trade and InvestmentMONDAY 3:00 – 4:00 pm

Matthew Murray, Deputy Assistant Secretary for Europe and Eurasia, U.S. Department of Commerce, International Trade Administration

P Customized tools for mitigating corruption risk, transaction costs in the Russian market

P U.S. and Russia take initiative in the WTO, G-20, OECD, UN to counter corruption

P Examples of U.S./Russian business taking collective action to reduce corruption in specific sectors


305 You Want to Hire a Fed?MONDAY 3:00 – 4:00 pm

John Szabo, Special Counsel for Ethics, US Nuclear Regulatory Commission

P Knowing the legal restrictions when discussing employment with a Federal employee

P Knowing the legal post-employment prohibitions on former Federal employees

P Ways to avoid violating Federal laws and regulations on job negotiations and post-employment


306 Dodd Frank Whistleblower Provisions: A New Challenge for Ethics and Compliance Professionals CCEPMONDAY 3:00 – 4:00 pm

Jordan A. Thomas, Partner, Labaton Sucharow LLP

P New whistleblower program: eligibility, incentives, statute of limitations and protections.

P The impact the whistleblower guidelines will have on the compliance and ethics professionals.

P New strategies to encourage and more appropriately respond to reports of misconduct.


307 Zen and the Art of Compliance Program MaintenanceMONDAY 3:00 – 4:00 pm

Barbara L. Harmon, CCEP, Compliance Program Supervisor, Alyeska Pipeline Service Company

Dev Suroop K. Khalsa, MBA, CCEP, Chief Compliance Officer, Akal Security, Inc.

P The compliance romantic: Using creativity & intuition to maintain awareness of compliance & ethics

P The compliance classic: Utilizing problem-solving & rationalism to measure program performance

P Achieving inner peace: Nurturing the right maintenance strategy to ensure sustainability


AD4 Your Board is Engaged, But What About Management?MONDAY 3:00 – 4:00 pm


Shelley Aul, CCEP, Sr. Ethics & Compliance Manager, Apollo Group, Inc.

Christina Reese, CCEP, Director, Ethics & Compliance Services, Apollo Group, Inc.

P Everyone knows tone at the top is a necessity, but what about tone in the middle?

P Employees are most affected by the actions of their direct leaders; don’t overlook your organization’s leadership

P Share best practices to engage leadership’s support of your ethics and compliance program


AD5 Ethics & Compliance Officer’s Role in Corrective and Disciplinary ActionsMONDAY 3:00 – 4:00 pm



P The role of the CECO in the organization’s disciplinary action process and the effectiveness of these actions within the organization

P The pros and cons of disciplinary actions policies and procedures

P Concern for protection of employee information when making disclosures outside the organization and how should disciplinary actions as “lessons learned” or “teachable moments” be communicated to employees



RISK TRACK

401 Government Contracting and Relationships: Risks and Opportunities in a Complex Regulatory EnvironmentMONDAY 4:30 – 5:30 pm

Eric R. Feldman, CFE, CIG, President, Core Integrity Group LLC; Principal/Director, Corporate Compliance Programs, Affiliated Monitors, Inc.

Cherie Raven, Director, Ethics & Business Conduct, BAE Systems

P Learn how greater government attention to corporate culture and contract compliance matters is increasing organizational risk and driving greater attention to corporate governance.

P Explore how values-based ethics and compliance programs and proactive independent monitoring initiatives can give your company a competitive edge in obtaining and retaining government contracts in a declining budget environment.

P Identify strategic ways to demonstrate your company’s due diligence in managing risk to government customers and regulators, third-party suppliers and vendors, and the Justice Department.

ETHICS TRACK

402 Taking Your Ethics Program to the Next LevelMONDAY 4:30 – 5:30 pm

Helen A. Goodwin, MPA, CCEP, Ethics Program Manager, Bonneville Power Administration

Jacilyn Margeson, Assistant General Counsel, Bonneville Power Administration

P How to build and deliver an award winning ethics program.

P A risk based approach to building an effective ethics program that goes beyond the basics.

P Let’s get ethical. Making the most of a matrixed organization.

MONDAY October 15


CASE STUDY TRACK

403 Tying Compliance to Culture: The Qualcomm WayMONDAY 4:30 – 5:30 pm

Katie Wilson, Staff Employee Relations Specialist, Qualcomm

P Case study of promoting ethical behavior through company culture and values rather than rules

P How we are improving employee decision making through the use of internal case studies

P Creating a culture where employees feel individually responsible for compliance through values


404 Global Antitrust Compliance Enforcement CCEP CCEP-IMONDAY 4:30 – 5:30 pm

Marcelo Calliari, Partner, TozziniFreire Advogados

P Antitrust legal framework in foreign jurisdictions

P Some legal and cultural differences between Latin America and U.S./Europe

P Recent enforcement actions in Latin America


405 Changing Face of Privacy CCEPMONDAY 4:30 – 5:30 pm

Vanessa Taylor, CIPP/US, Risk & Compliance Manager, National Association of State Boards of Accountancy

P PII Defined: Changing Face of Privacy P Drivers of Change plus Challenges/Opportunities

P Privacy in Risk & Compliance


406 How to Assess and Mitigate the Risk of Misconduct Occurring and Not Being Reported CCEPMONDAY 4:30 – 5:30 pm

Earl (Chip) Jones, Shareholder, Littler Mendelson, P.C.

Katherine C. Franklin, Shareholder, Littler Mendelson, P.C.

Bradley A. Siciliano, Shareholder, Littler Mendelson, P.C.

P Learn how to effectively manage and report incidents of alleged misconduct

P Learn how to identify the high risk transactions P Hear how other employers are managing the risk


407 Building the Ship While Sailing: Winning Strategies for Developing, Educating and Empowering a High Performing Compliance and Ethics TeamMONDAY 4:30 – 5:30 pm

(Moderator) Donna C. Boehme, Principal, Compliance Strategists LLC

Stephen Naughton, Senior Vice President, Global Litigation, PepsiCo, Inc.

Janice Innis-Thompson, Senior Managing Director and Chief Ethics & Compliance Officer, TIAA‑CREF

Patrick Gnazzo, Principal, Better Business Practices LLC

P How to develop a portfolio of necessary key competencies unique to your C&E team that should be identified and built into hiring, training and promotion models

P Common pitfalls to avoid, whether team is newly established, developing or mature

P Real life practices in 2 multinationals from two very different business sectors, including organization charts and tools to takeaway


AD6 Engaging Employees in EthicsMONDAY 4:30 – 5:30 pm


Paul Fiorelli, Professor of Legal Studies and Co‑Director, Cintas Institute for Business Ethics, Xavier University

P What is the cost of employee disengagement? P How do we engage employees? P What is the future of employee engagement?


AD7 Social Media Policies, the NLRB, and PrivacyMONDAY 4:30 – 5:30 pm


Angela Bosworth, Esq., Vice President of Compliance and General Counsel, EmployeeScreenIQ

P How do the recent NLRB statements on Social Media impact companies and their approach to privacy?

P How are companies shifting their policies to allow for social media in the workplace without creating additional risk?

5:30 – 7:00 pm

Networking Reception in the Exhibit Hall, sponsored by EthicsPoint, a NAVEX Global Company

7:00 – 9:00 pm

8th Annual International Compliance & Ethics Awards Dinner(Business casual attire)

Tuesday, October 16

7:00 am – 5:30 pm

Registration Open

7:00 – 8:30 am

Continental Breakfast in Exhibit Hall


8:30 – 9:30 am

General Session 3: Ethics, Leadership and Temptation in the WorkplaceJames B. Stewart, Pulitzer Prize Winner, Columnist, The New York Times, Author, Tangled Webs: How False Statements Are Undermining America: From Martha Stewart to Bernie Madoff

9:30 – 10:30 am

General Session 4: Lessons We Don’t Learn: Corporate Scandals, Why We Repeat Them, and How We Can Learn From ThemDonna C. Boehme, Principal, Compliance Strategists LLC

David J. Heller, VP and Chief Ethics and Compliance Officer, Edison International

Joseph E. Murphy, JD, CCEP, CCEP‑I, Of Counsel, Compliance Systems Legal Group

Duane C. Woods, Senior Vice President, Waste Management

(Moderator) Adam Turteltaub, CCEP, VP Membership Development, Society of Corporate Compliance & Ethics

P What can organizations do to learn from major scandals (both their own and those of others)?

P How to strengthen your compliance and ethics programs to avoid repeating history

10:30 – 11:00 am

Networking Break in Exhibit Hall


TUESDAY October 1611:00 am – 12:00 pm CONCURRENT BREAKOUT SESSIONS

RISK TRACK

501 Trade Compliance and Exports: Getting Maximum Results with Limited Resources—Creating a Practical, Risk-Based Trade Compliance Program CCEP CCEP-ITUESDAY 11:00 am – 12:00 pm

Gwendolyn Hassan, JD, Manager, Corporate Compliance, Office of the General Counsel, Navistar, Inc.

P An overview of global trade and export compliance laws to help identify and quantify risk areas for your organization

P Recommendations and strategies for effectively staffing and managing your trade compliance program in an environment of limited resources

P Real-world examples of specific trade and export compliance challenges with tips and approaches for effective risk management and mitigation

ETHICS TRACK

502 What Behavioral Ethics Means for Compliance and Ethics ProgramsTUESDAY 11:00 am – 12:00 pm

Jeffrey M. Kaplan, Partner Kaplan & Walker LLP

P What are the principal findings from the emerging field of “behavioral ethics,” which studies the many seemingly irrational ways in which people make ethical decisions?

P How can compliance and ethics professionals use this information to enhance C&E programs in such areas as risk assessment, conflict of interest management, training/communications and imposing discipline for violations?

P What are implications of this research for ensuring ethical behavioral by business leaders, as well as for C&E public policy?

CASE STUDY TRACK

503 A Whistleblower’s Case Study: Blowing the Whistle on Fraud at the UniversityTUESDAY 11:00 am – 12:00 pm

Amy Block Joy, PhD, Faculty, University of California

P Employees need to know the red flags and warning signs of wrong-doing.

P Institutions need to have clear ethical standards and policies in place to deter wrong-doing.

P Institutions need to have a whistleblower program in place in order to detect fraud.


504 How Does Your Company Select Top Management of Your Foreign Subs: Awareness of Compliance AspectsTUESDAY 11:00 am – 12:00 pm

Sally March, CCEP‑I, Principal, Drummond March & Co

Brent McDaniel, Director, KPMG LLP

P Duties of directors of foreign subsidiaries P Selection and training of directors P Effective risk management and governance at subsidiary level


505 Complying With Multi-National Privacy and Security Requirements in the Cloud CCEP CCEP-ITUESDAY 11:00 am – 12:00 pm

Benjamin Hayes, Esq., CIPP, CIPP/G, CIPP/C, CIPP/IT, North America Data Privacy Compliance Lead, Accenture

P Pragmatic advice for rationalizing privacy requirements in cloud computing.

P Useful for companies who want to host privacy-regulated data in the cloud.

P How a global leader in cloud computing migration is addressing the issue of legal compliance.


506 Corporate Liability, Compliance and Governance Issues Faced by Boards, Executives and In-House Counsel CCEPTUESDAY 11:00 am – 12:00 pm

Gabriel L. Imperato, JD, CHC, Managing Partner, Broad and Cassel

James M. Lord, JD, Senior Director, Alvarez & Marsal; Former Assistant United States Attorney

P An overview of recent developments related to the United States Sentencing Guidelines for Effective Compliance Programs and Department of Justice Principles for Prosecution of Business Organizations

P The presentation will also specifically 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.

P The role of Compliance Officers, Executives and in-house counsel in internal and external compliance matters


507 Automating Compliance in the iPhone AgeTUESDAY 11:00 am – 12:00 pm

Theodore L. Banks, President, Compliance & Competition

Consultants, LLC

P What types of compliance issues are most effectively handled through an automation tool?

P How do you deal with remote employees who do not have an “office?”

P How would I obtain or start developing an automation tool?


AD8 Movers and Shapers of Your Corporate Culture: What Are They and How Do You Influence Them?TUESDAY 11:00 am – 12:00 pm


Carrie S. Penman, President, The Ethical Leadership Group, NAVEX Global


AD9 You Don’t Have to Be Big to Be CompliantTUESDAY 11:00 am – 12:00 pm


Art Weiss, JD, CCEP, CCEP‑I, Chief Compliance & Ethics Officer, TAMKO Building Products

12:00 – 1:00 pm

Networking Lunch

1:00 – 1:30 pm

Networking Break in Exhibit Hall

TUESDAY October 16


1:30 – 2:30 pm

CONCURRENT BREAKOUT SESSIONS

RISK TRACK

601 Privacy & Data Protection: Practical Approaches to Risk Assessment and Management CCEP CCEP-ITUESDAY 1:30 – 2:30 pm

Marti Arvin, JD, CHC‑F, CPC, CCEP‑F, CHRC, CHPC, Chief Compliance Officer, UCLA Health System

Courtney Barton, CCEP, CIPP, Director, Corporate Compliance & Global Data Privacy, Bausch & Lomb, Inc.

P Building and implementing an effective Privacy and Data Protection risk assessment and management process

P Managing Privacy and Data Protection risks in global organizational settings – Challenges, strategic solutions and effective management

P Legal considerations and enforcement trends in Privacy and Data Protection compliance

ETHICS TRACK

602 Defining Your Ethics Quotient: An Integrated Approach to GRCTUESDAY 1:30 – 2:30 pm

Luis Ramos, Chief Executive Officer, The Network, Inc.

P Quantifying your ethics program and adding clarity to gray areas of unethical behavior

P Addressing an incident report and what to capture from each incident

P Bringing together codes of conduct, training, corporate policy and remediation and resolution

P Gaining enterprise-wide visibility of your compliance activities through integration

CASE STUDY TRACK

603 Fostering Ethical Leadership in the Shadow of Dodd-FrankTUESDAY 1:30 – 2:30 pm

Kirsten Liston, CCEP, Senior Compliance Advisor, SAI Global

Rachel Batykefer, CCEP, Senior Manager, Ethics and Compliance Programs, Tyco International

Robert Miromonti, Vice President, Ethics & Compliance, Centene Corporation

P Identify ethics challenges and risks that can arise from Dodd-Frank and other whistleblower programs

P Learn from successes and challenges with organizations whistleblower programs through a case study

P Discuss questions facing ethics officers re: misconduct alerts and bounty-seeking whistleblowers


604 Auditing for Corruption in Emerging Markets: Applying Fraud Detection Skills to Reduce Corruption CCEP CCEP-ITUESDAY 1:30 – 2:30 pm

Bill Pollard, Partner, Deloitte FAS LLP

Mark Albers, Senior Manager, Deloitte FAS LLP

P Compare and contrast auditing for fraud and corruption in developing geographies

P Discuss how to detect and investigate fraud and corruption in these unique environments

P Discuss similarities and differences depending on what country is involved


605 Compliance Auditing Workshop CCEP CCEP-ITUESDAY 1:30 – 2:30 pm

Diana Liska, JD, CCEP, CAMS, CFE, SADR, Senior Auditor, First National Bank of Omaha

P Practical tips for compliance audit/review functions

P Industry best practices P Networking opportunities through small group discussions


606 Finding a Way to Answer the Question: Does It Work and How Do You Know?TUESDAY 1:30 – 2:30 pm

David Harris, Head of Business Conduct, BAE Systems Plc.

P Identifying and framing key indicators of ethical culture and risks

P Merging, relating and analyzing those indicators to identify trends, gaps and failings

P Based on findings, scope and develop interventions that are outcome specific, monitored and measured


607 Want to Race? Bring Your Code of Conduct to Life in a Training Meets Reality TV Meets Choose Your Own Adventure ExperienceTUESDAY 1:30 – 2:30 pm

Krister Hampton, AGDC Sales Training & Compliance, Altria

Heather Bell, AGDC Sales Training & Compliance, Altria

P Explore our Code of Conduct in an innovative, e-learning experience that highlights real-world issues that require application of our Code and its supporting principles and policies to find guidance when employees are not sure what to do

P This competitive game helps employees answer questions regarding several important topics such as conflicts of interest, raising concerns/speaking up, and social media


AD10 Enhancing Your Compliance CommunicationsTUESDAY 1:30 – 2:30 pm


Carolyn Marks, CCEP, International Operations Compliance Manager, Office of the Vice President and General Counsel, Yale University

P Engaging your audience and holding their attention

P Mind the gap: strategies for communicating across generations, interests, and other differences

P Feedback loops, metrics and other ways to tell whether it’s working


TUESDAY October 162:30 – 3:00 pm Networking Break


RISK TRACK

701 Records and Information Management: Managing the Real Risks Facing Your Organization CCEPTUESDAY 3:00 – 4:00 pm

Christine S. White, Global Business Continuity, Molson Coors Brewing Company

Emily Bone, Manager Global Records Management, Molson Coors Brewing Company

P Identifying and assessing organizational risks related to records and information management

P Global challenges, considerations and mitigation strategies

P Managing the risk: controls and education

ETHICS TRACK

702 Government Ethics Rules: How Organizations Can ComplyTUESDAY 3:00 – 4:00 pm

C. Simon Davidson, JD, Author of Roll Call column “A Question of Ethics”; Partner, McGuireWoods LLP

P How do government ethics rules apply to businesses and non-profits?

P How can organizations comply with prohibitions on gifts to government officials?

P What are the implications of employing or not employing in-house lobbyists under the ethics rules?

CASE STUDY TRACK

703 Social Networking: Managing the Risks and Realizing the BenefitsTUESDAY 3:00 – 4:00 pm

Jim Donaldson, MS, MPA, CHC, CIPP/US, CISSP, Director of Compliance/Privacy and Security Officer, Baptist Health Care Corporation

P Social networking: What is it and why does it matter?

P What are the risks and benefits of social networking in the workplace?

P A case study: Establishing policy to address compliance and ethics concerns.


704 Internal Investigations in a Multi-Jurisdictional Environment CCEPTUESDAY 3:00 – 4:00 pm

Ambroise Augé, Director, Compliance European Union & Operations Center, Philip Morris International

P Initial decisions on who will investigate, standards, roles and responsibilities

P Key challenges for ensuring effectiveness and consistency

P Follow-Up: from communication to investigations quality assurance


705 Hotline Call to Press Release: Three Perspectives on Investigations and Disclosures CCEPTUESDAY 3:00 – 4:00 pm

Jeffrey A. Belkin, JD, Partner, Alston & Bird LLP

Seth D. Bruckner, JD, Regulatory Compliance and Ethics Attorney, United Parcel Service

Randy Chartash, Assistant U.S. Attorney and Chief of Economic Crime, U.S. Attorney’s Office, Northern District of Georgia

P Step-by-step investigation from hotline call to DOJ settlement, including a set of facts distributed to facilitate audience participation

P In house counsel will walk through the process of commencing and managing an internal investigation, and outside counsel will discuss the legal and ethical considerations involved in deciding to turn an internal investigation into a disclosure

P Government counsel will provide insight on the process the government employs to decide how to proceed when receiving a disclosure, and all speakers will discuss resolution challenges and opportunities


706 Wage & Hour: Managing This Risk in a New Era of Enforcement CCEPTUESDAY 3:00 – 4:00 pm

Amy E. Hutchens, JD, CCEP, General Counsel‑VP Compliance & Ethics Services, Watermark Risk Management International, LLC

P Learn about the Department of Labor’s Strategic Enforcement Plan for 2011-2016

P Hear about DOL’s new campaigns to advocate for vulnerable workers

P Discover ways to supplement your existing program to further mitigate wage and hour risk

P Learn about the DOL’s targeted industries and how best to mitigate these risks through your compliance and ethics program


707 Ethics and Compliance Due Diligence in Mergers, Acquisitions and Major Corporate Events CCEPTUESDAY 3:00 – 4:00 pm

Ed Petry, Vice President, The Ethical Leadership Group, NAVEX Global

Jacki Trevino, Senior Manager, Corporate Compliance, Fluor Corporation

P Common areas of ethics and compliance risk associated with mergers and acquisitions

P Proactive tips for helping to make ethics, compliance and culture integration a priority

P Steps to get management on the same page, set the appropriate tone from the top and middle


TUESDAY October 16



RISK TRACK

801 Social Media in the Workplace: Trends, Ethical Considerations and Managing RiskTUESDAY 4:15 – 5:15 pm

David Frishkorn, Vice President, Chief Compliance Officer, Comverse Technology, Inc.

Grace F. Renbarger, Former Chief Ethics & Compliance Officer, Dell, Inc.

P Overview and discussion of social media issues and challenges, including current events and case law that clarify the risks of social media use at work

P Employees’ right to use social media at work vs. employers’ need to restrict such use – who’s winning?

P Recommended strategies and approaches to effectively and ethically managing social media use and mitigating organizational risk

ETHICS TRACK

802 Creating and Maintaining an Authentic OrganizationTUESDAY 4:15 – 5:15 pm

John Cross, JD, CPCU, CLU, ChFC, Associate General Counsel, Veterinary Pet Insurance Co.

Lynne Hennessey, CCEP, AIC, MCM, Compliance Director, Veterinary Pet Insurance Co.

P Creating a values-based organization P Creating a culture of authenticity P Answering the categorical question: Who are we and who do we want to be?

CASE STUDY TRACK

803 Getting it Right: Minimizing Risk in Conducting Internal Investigation Interviews CCEP CCEP-ITUESDAY 4:15 – 5:15 pm

Judy S. Kalisker, JD, Vice President of Compliance and Compliance Officer, The MENTOR Network

P Understand the rights of all parties to an investigation

P Develop an opening script for witness interviews P Minimize risk and maximize effectiveness of your interview


804 Cultural Aspects of a Global Compliance Program CCEP CCEP-ITUESDAY 4:15 – 5:15 pm

Sally March, CCEP‑I, Principal, Drummond March & Co

Luciana Bittar, Managing Director, International Corporate Governance & Compliance Consulting

P How to tell your boss that we are countries separated by a common language

P You gave what to whom for their son’s wedding?! P Do Works Councils have a role in Ethics and Compliance?


805 Federal Government Suspension & DebarmentTUESDAY 4:15 – 5:15 pm

(Moderator) John Hanson, CPA, CFE, CCEP, Executive Director, Artifice Forensic Financial Services, LLC

Robert A. Knox, Assistant Inspector General for Investigations, Office of the Inspector General, U.S. Department of the Interior

David M. Sims, Debarment Program Manager, Office of Acquisition and Property Management, U.S. Department of the Interior and Chair of the Interagency Suspension and Debarment Committee (ISDC)

Stanley Stocker, Debarment Program Manager, Office of the Inspector General, U.S. Department of the Interior

P Definition of suspension and debarment P Role of DOI OIG and the role of the suspending and debarring official

P How DOI and other Federal agencies coordinate and collaborate on suspension and debarment matters

P Importance of compliance and ethics programs in crafting administrative agreements


806 Developing and Implementing an Effective Ethics and Compliance Training Program CCEP CCEP-ITUESDAY 4:15 – 5:15 pm

Domenick Claudio, Executive Director, Global Financial Compliance, The Estee Lauder Companies Inc.

P Internal and external areas that are affected by an ethics and compliance program

P Steps on how to implement an effective ethics and compliance training program

P Developing the right approach and programs for your ethics and compliance programs

P Measuring success of your ethics and compliance program


807 Background Checks Under Fire: Is Your Screening Process at Risk? CCEPTUESDAY 4:15 – 5:15 pm

Angela Bosworth, Esq., Vice President of Compliance and General Counsel, EmployeeScreenIQ

P Understand the legal risks to your organization’s recruiting and hiring process

P Learn how to conduct a risk assessment for your organization to ensure best hiring practices.

P Take away practical strategies to mitigate legal risk and improve your background screening process.


WEDNESDAY October 17

Wednesday, October 17

8:00 am – 12:30 pm

Registration Open

9:00 am – 12:00 pm (includes 15 min break)

POST-CONFERENCE BREAKOUT SESSIONS

RISK TRACK

POST1 A Bad Day in the Boardroom: Identifying Global Risks and Managing a Crisis CCEP CCEP-IWEDNESDAY 9:00 am – 12:00 pm

Robert Bond, Partner, Speechly Bircham LLP

Rhys Novak, Partner, Speechly Bircham LLP

David Frishkorn, CPA, CFE, Vice President, Chief Compliance Officer, Comverse Technology, Inc.

ETHICS TRACK

POST2 Make Culture Matter! How to Show Leadership that Ethics is the Key to PerformanceWEDNESDAY 9:00 am – 12:00 pm

David Gebler, JD, President, Skout Group, LLC

P Understand how to measure and manage your organization’s culture and the role culture and values play in supporting ethics as well as performance

P Learn best practices shared by ethics leaders of several global organizations

P Take away tools to develop a strategy to discuss ethics with their leadership in the context of strategy and performance

CASE STUDY TRACK

POST3 Making the Grade: Developing and Implementing an E&C Scorecard for Executives BRISTLECONE 1 & 2, LEVEL 1

WEDNESDAY 9:00 am – 12:00 pm

Grace F. Renbarger, Former Chief Ethics & Compliance Officer, Dell, Inc.

Daniel R. Roach, JD, Co‑chair, SCCE Advisory Board, VP Audit & Compliance, Dignity Health

P Hold leaders accountable for setting the appropriate tone at the top

P Integrate ethics and compliance into executive performance evaluation and compensation systems

P Provide Board of Directors with meaningful feedback on executives’ E&C leadership


POST4 Compliance as Competitive Advantage: Designing a Cost-Effective Global Anti-Corruption Program CCEP CCEP-IWEDNESDAY 9:00 am – 12:00 pm

Marjorie Doyle, JD, CCEP‑F, CCEP‑I, Managing Director, Aegis Compliance & Ethics Center LLP; Partner, Meade & Roach LLP

P Practical tips and best practices on establishing an effective FCPA compliance program

P How to manage risk in various third-party relationships and acquisitions

P Strategies for creating a successful compliance culture


POST5 Results of the SCCE/HCCA Stress Survey and What We Can Do About ItWEDNESDAY 9:00 am – 12:00 pm

Shawn DeGroot, VP Corporate Responsibility, Regional Health

Robert H. Ossoff, DMD, MD, CHC, Assistant Vice‑Chancellor for Compliance and Corporate Integrity, Vanderbilt University Medical Center

Jenny O’Brien, Esq., CHC, Chief Medicare Compliance Officer, Unitedhealthcare Medicare & Retirement

THIS SESSION WILL NOT BE RECORDED


POST6 Cyber WarfareWEDNESDAY 9:00 am – 12:00 pm

David Childers, President and Chief Executive Officer, Compli

Vivek Krishnamurthy, Associate, Foley Hoag LLP

1:00 – 2:00 pm CCEP and CCEP-I Exams Check-In

2:00 – 4:00 pm CCEP Exam (optional)

2:00 – 4:30 pm CCEP-I Exam (optional)

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SCCE’s 11th Annual Compliance & Ethics Institute | October 14–17, 2012 | Las Vegas, Nevada | ARIA in Las Vegas

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attendees for pre-sale only. TOTAL

REGISTER on or before 9/30/12 after 9/30/12

SCCE Members .............................................................. $1,049 ................$1,099 Membership Renewal & Registration ............................. $1,344 ................$1,394 Non-Members ................................................................ $1,199 ................$1,249 New Membership & Registration* .................................. $1,249 ................$1,299 Pre-Conference Registration Morning ................................ $175 ...................$175 Pre-Conference Registration Afternoon ............................. $175 ...................$175 Post-Conference Registration ............................................ $175 ...................$175 Conference Binder† ............................................................ $75 .....................$75 Discount: 5 or more from same company ....................... ($100) .................($100)

2 CONTACT INFORMATION (please type or print)

3 SESSION SELECTION

4 REGISTRATION OPTIONS

5 PAYMENT OPTIONS

SCCE’s 11th Annual Compliance & Ethics Institute | October 14–17, 2012 | Las Vegas, Nevada | ARIA in Las Vegas

Please select ONE session per time slot to assist SCCE in room planning. You are not obligated to attend selected sessions, but note that sessions marked with a * below are limited to 50 participants. You must pre-register to reserve admission to these sessions.

SATURDAY, OCTOBER 13 Register me for the Volunteer Project, U.S. Vets Initiative, 11 am – 3:30 pm

SUNDAY, OCT 14 PRE-CONFERENCE

7:30 – 8:30 am

SpeedNetworking

9 am – 12 pm

PREAM1 PREAM 2 PREAM 3 PREAM 4 PREAM 5

1:30 – 4:30 pm

PREPM1 PREPM2 PREPM3 PREPM4 PREPM5 PREPM6

3 – 4 pm

SpeedMentoring

MONDAY, OCT 15Breakouts 11 am – 12 pm

101 102 103 104 105 106 107 108 AD1*

Breakouts 1:30 – 2:30 pm

201 202 203 204 205 206 207 AD2* AD3*

Breakouts 3 – 4 pm

301 302 303 304 305 306 307 AD4* AD5*


401 402 403 404 405 406 407 AD6* AD7*

TUESDAY, OCT 16Breakouts 11 am – 12 pm

501 502 503 504 505 506 507 AD8* AD9*


601 602 603 604 605 606 607 AD10*

Breakouts 3 – 4 pm

701 702 703 704 705 706 707


801 802 803 804 805 806 807

WEDNESDAY, OCT 17 POST-CONFERENCE

9 am – 12 pm

POST1 POST2 POST3 POST4 POST5 POST6

International Compliance & Ethics Awards Dinner, 7–10 pm (FREE)

Details


Conference Binders: Attendees will not automatically receive conference binders, but will receive electronic access to course materials. If you would like to purchase the binders for $75, check “Conference Binder” on your registration form. (Please note: Conference sessions require one 3‑inch D‑ring binder.)

Special Needs/Concerns: Prior to your arrival, please call SCCE at +1 952 933 4977 or 888 277 4977 if you have a special need and require accommodation to participate in the Compliance & Ethics Institute.

Dress Code: Business casual dress is appropriate for conference attendees.

Meals: Continental breakfast, lunch, and refreshment breaks are provided on Monday and Tuesday only. Coffee will be served on Sunday and Wednesday.

Prerequisites/Advanced Preparation: None.

Recording: No unathorized audio or video recording of SCCE conferences is allowed.

Agreements & Acknowledgements: I agree and acknowledge that I am undertaking participation in SCCE events and activities as my own free and intentional act, and I am fully aware that possible physical injury might occur to me as a result of my participation in these events. I give this acknowledgement freely and knowingly and assert that I am, as a result, able to participate in SCCE events, and I do hereby assume responsibility for my own well‑being. I agree and acknowledge that SCCE plans to take photographs at the SCCE Compliance & Ethics Institute and reproduce them in SCCE educational, news, or promotional material, whether in print, electronic, or other media, including the SCCE website. By participating in the SCCE Compliance & Ethics Institute, I grant SCCE the right to use my name, photograph, and biography for such purposes.

REGISTER ONLINE ATwww.complianceethicsinstitute.org

Conference Hotel

ARIA in Las Vegas 3730 Las Vegas Blvd, Las Vegas, Nevada 89158, USA phone +1 702 590 7757 | fax +1 702 590 9724 www.arialasvegas.com

Hotel Reservations: Visit https://resweb.passkey.com/go/SCCEM12 to make reservations online, or call 866 359 7757 (toll‑free U.S. and Canada) or +1 702 590 7757. When making your reservation via telephone, please indicate that you are with the Society of Corporate Compliance & Ethics (SCCE) Compliance & Ethics Institute or mention ID code SCCEM12 to receive the special group rate(s). These rates are good until Wednesday, September 19, 2012. Reservation requests received after this cut‑off date or after the group block is filled (whichever comes first) will be accepted on a space and rate availability basis only. Hotel accommodations are not included in your conference registration fee.

Registration Payment Terms: Checks are payable to SCCE. Credit cards accepted: American Express, Diners Club, MasterCard, or Visa. SCCE will charge your credit card the correct amount should your total be miscalculated.

Tax Deductibility: All expenses incurred to maintain or improve skills in your profession may be tax deductible; including tuition, travel, lodging and meals. Please consult your tax advisor.

Cancellations/Substitutions: No refunds will be given for no‑shows or cancellations. You may send a substitute or receive a conference credit. If you have questions, please call SCCE at +1 952 933 4977 or 888 277 4977. Additional charges may apply. Cancellation by telephone is NOT valid. Please fax written cancellations to +1 952 988 0146 or e‑mail helpteam @ corporatecompliance.org.

Group Discounts

5 or more: $100 discount for each registrant 10 or more: $150 discount for each registrant

Discounts take effect the day a group reaches the discount number of registrants. Please send registration forms together to ensure that the discount is applied. A separate registration form is required for each registrant. Note that discounts will NOT be applied retroactively if more registrants are added at a later date, but new registrants will receive the group discount.

SOCIETY OF CORPORATE COMPLIANCE AND ETHICS 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 United States+1 952 933 4977 or 888 277 4977 (p) / +1 952 988 0146 (f)www.corporatecompliance.org / helpteam @ corporatecompliance.org

6500 Barrie Road, Suite 250Minneapolis, MN 55435, United Stateswww.corporatecompliance.org

Compliance & Ethics Institute October 14–17, 2012 | Las Vegas, Nevada | ARIA in Las Vegas

11th annual

Learn more & register online atwww.complianceethicsinstitute.org

OVER 90 SESSIONS AND MORE THAN

130 SPEAKERS

https://www.corporatecompliance.org/source/Meetings/cMeetingFunctionDetail.cfm?section=All_Events&product_major=CEI09