Prepared for distribution at the ADVANCED COMPLIANCE AND ETHICS WORKSHOP 2013 New York City, October 24 25, 2013 San Francisco, November 18 19, 2013
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1 Prepared for distribution at the ADVANCED COMPLIANCE AND ETHICS WORKSHOP 2013 New York City, October 24 25, 2013 San Francisco, November 18 19, 2013 CONTENTS: PROGRAM SCHEDULE FACULTY BIOS BEHAVIOURAL ETHICS: DON T RELY SOLELY ON GOOD INTENTIONS (FEBRUARY 2013) AN OVERVIEW OF CORPORATE COMPLIANCE AND ETHICS PROGRAMS Paul E. McGreal Dean and Professor of Law University of Dayton School of Law 3. SELECTED ARTICLES ON COMPLIANCE PROGRAMS AND THE LAW FROM THE CONFLICT OF INTEREST BLOG THE EVOLUTION OF THE LAW OF CORPORATE COMPLIANCE IN THE UNITED STATES: A BRIEF OVERVIEW (MARCH 2013) COMPLIANCE AND ETHICS OFFICER POSITIONING: A BENCHMARKING SURVEY (DECEMBER 2009) SELECTED ARTICLES ON AUDITING AND MONITORING FROM THE CONFLICT OF INTEREST BLOG
2 7. ETHICS AND COMPLIANCE TRAINING STRATEGIES James M. René Chief Legal Officer and Chief Ethics and Compliance Officer Genesys Scott Wolfe Director of Ethics and Compliance Genesys Laura K. Song Legal Intern Genesys 8. PRINCIPLES OF ADULT LEARNING & INSTRUCTIONAL SYSTEMS DESIGN Jill M. Bruzga Senior Corporate Counsel Pfizer Inc. Matthew Heiman Vice President and Chief Compliance/Ethics Officer Tyco International 9. THINKING ABOUT TRAINING (MARCH/APRIL 2008) Written by: Jill M. Bruzga Senior Corporate Counsel Pfizer Inc. Matthew Heiman Vice President and Chief Compliance/Ethics Officer Tyco International 10. SELECTED ARTICLES ON TRAINING AND COMMUNICATIONS FROM THE CONFLICT OF INTEREST BLOG
3 11. KEYNOTE ADDRESS-HIGHLIGHTS Jeff Benjamin Senior Vice President, General Counsel and Chief Ethics & Compliance Officer Avon Products, Inc. 12. CREATING, CULTIVATING, AND SUSTAINING A SPEAK-UP CULTURE Jeff Benjamin Senior Vice President, General Counsel and Chief Ethics & Compliance Officer Avon Products, Inc. 13. PROMOTING & SUSTAINING AN ETHICS & COMPLIANCE CULTURE (POWERPOINT SLIDES) Jeff Benjamin Senior Vice President, General Counsel and Chief Ethics & Compliance Officer Avon Products, Inc. 14. REVISIONS TO THE FEDERAL SENTENCING GUIDELINES FOR ORGANIZATIONS THE IMPORTANCE OF PROGRAM ASSESSMENT: AN SCCE BENCHMARKING SURVEY (OCTOBER 2010) Written by: Larry Parsons Vice President, Ethics and Compliance McLane Company, Inc. 16. MEASURING THE HEALTH OF YOUR COMPLIANCE PROGRAM (AUGUST 19, 2013)
4 17. A SMART APPROACH TO COMPLIANCE PROGRAM ASSESSMENT (NOVEMBER 2, 2010) HOW TO TELL IF YOUR COMPLIANCE PROGRAMS WORK (JANUARY 4, 2011) SURVEYS AS INTERNAL AUDITING TOOL (SEPTEMBER 7, 2011) CAN YOU AUDIT CORPORATE CULTURE? (MAY 29, 2013) AUDITING THE COMPLIANCE HOTLINE (SEPTEMBER 11, 2012) MEASURING THE HEALTH OF YOUR PROGRAM (POWERPOINT SLIDES) Amii L. Barnard-Bahn Chief Compliance & Ethics Officer McKesson U.S. Pharmaceutical Larry Parsons Vice President, Ethics and Compliance McLane Company, Inc. 23. SAMPLE CODE OF BUSINESS CONDUCT AUDIT QUESTIONNAIRE Lupe C. Garcia Associate General Counsel, Global Integrity & Compliance Gap Inc. 8
5 24. THIRD-PARTY CODES OF CONDUCT: A BENCHMARKING SURVEY HOW MUCH GUIDANCE DOES YOUR ORGANIZATION PROVIDE ITS COMPLIANCE AND ETHICS INVESTIGATORS? A BENCHMARKING SURVEY A GLOBAL CODE OF ETHICS Lori Tansey Martens President International Business Ethics Institute 27. SELECTED ARTICLES ON RISK ASSESSMENT FROM THE CONFLICT OF INTEREST BLOG SELECTED ARTICLES ON RISK ASSESSMENT FROM CORPORATE COMPLIANCE INSIGHTS ENSURING CONSISTENCY AND OBJECTIVITY IN COMPLIANCE RISK ASSESSMENTS (POWERPOINT SLIDES) Michael Ward Vice President, Compliance Systems & Investigations Cisco Systems, Inc. 30. THE INVESTIGATIONS PROCESS AT ALTRIA (AUGUST 2013) Mike Walton Director, Compliance and Integrity Altria Client Services 31. SELECTED ARTICLES ON ETHICS AND CULTURE FROM THE CONFLICT OF INTEREST BLOG
6 32. HOW TO CONDUCT INVESTIGATIONS (AUGUST 26, 2013) (POWERPOINT SLIDES) Bart M. Schwartz Chairman Guidepost Solutions LLC 33. ENHANCING HELPLINE & REPORTING PROCEDURES AND CONDUCTING INVESTIGATIONS (POWERPOINT SLIDES) David C. Farrell Vice President, Chief Compliance & Ethics Officer Yahoo! Inc. Frank Lopez Vice President of Corporate Compliance Investigations WellCare Health Plans James M. Lord Senior Director Alvarez & Marsal 34. SELECTED ARTICLES ON CONFLICTS OF INTEREST FROM THE CONFLICT OF INTEREST BLOG GIFTS AND ENTERTAINMENT COMPLIANCE INDEX Program Attorney: Meghan K. Carney 10
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