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ECOA 2007 Annual Business Ethics & Compliance ConferenceSeptember 26-28, 2007
Session descriptions are listed in alphabetical order by title. Click here to view detailed agenda.
A Global View of CSR: Perspectives from Asian, European, and U.S. multi-national organizations Gretchen Winter, ECOA Emeritus Member - Chair Emeritus
Practitioners representing organizations from diverse geographies and industries will describe how each of their organizations makes CSR a reality, how teams work within the organization to make CSR come to life, and how to become an active participant in your company's CSR effort.
Anatomy of a White Collar Crime Fred Shapiro, MBA/JD, ETHICS NOW!
Fred Shapiro shares his personal story of committing the largest bank
fraud in Philadelphia history. From his fateful decision to engage in
fraud to his dangerous undercover operations for the Government, Shapiro
describes the psychology of his criminal behavior. He leaves the
audience with a profile of a white-collar criminal and a keener insight
into his mind. This session may sound like a novel, but it is the human
side of ethics and compliance gone awry. By attending this session you
will:
Anti-corruption: A global initiative Philippa Foster Back, Institute of Business Ethics (IBE)
Corruption and bribery continues to impede global business and to blight economic progress in many countries. There has been substantial progress in highlighting the problem—but has there been meaningful progress in combating it? Our panel will provide a thoughtful overview of the work their organizations have undertaken as they strive to be able to answer the question in the affirmative. Particular attention will be given to how companies can engage in collective efforts to support the global anti-corruption initiative.
Benchmarking the Right Way: The ERC-ECOA Initiative Nicholas Fetzer, Ethics Resource Center
Remember the benchmarking initiative among ECOA member organizations?
More members are participating (up to 100 say they will this year!). We
have new data, and new findings to share. During this session, we
will:
Best Practices & Benchmarking for Global Ethics and Compliance Programs: Survey highlights and case study Monica Francois Marcel, Language & Culture Worldwide
In June & July 2007, ECOA members were invited to participate in
a global ethics and compliance benchmarking survey. Join us for an
overview of the survey results, which will include examples of how
organizations are measuring the quality and effectiveness of their
global ethics & compliance program, as well as what global E&C
practitioners are doing to benchmark with other organizations. Attendees
will then participate in a case study discussion addressing a key
concern for many ethics and compliance professionals: considerations of
language and culture.
Building Bridges: Linking academic learning and experience in the trenches Kirk Hanson, Markkula Center for Applied Ethics
A great deal of thought leadership exists in the academic community on the broad topic of "business ethics." Similarly, ethics and compliance officers are learning a great deal from their work in the trenches. Why, then, is there such a dearth of engagement—almost a tension—between the academy and the "real world"? Our panel of scholars will share views on the most compelling research in applied ethics and compliance and the best models for productive engagement. They will invite attendees to share insights and to explore prospects for building bridges to link our distinct but highly complementary worlds.
Casting a Wider Net: Managing Ethics & Compliance Risks in Supply Chains & Distribution Channels Michael R. Levin, Esq., Integrity Interactive Corporation
The job of managing corporate integrity risk does not stop at the corporate boundary line. The "corporate veil" is porous; ethics and compliance risk can seep from either direction. Leading companies are taking bold steps to manage and reduce ethics and compliance risks not only among their own workers, but among employees of suppliers, distributors, and other major business partners. This trend toward greater accountability and control is being driven by investors, regulators, NGOs, customers, business partners, and the media. This discussion will focus on top-level risk-management trends, corporate best practices, leading technologies, and feasible business models. Real-world examples and benchmark data (drawn from leading global companies) will be presented and examined.
Changing a Corporate Culture: Reality or illusion? Dennis Muse, Global Compliance Services
A lot of emphasis is placed on corporate culture these days, due in
part to highly visible business scandals as well as to the 2004
amendments to the Federal Organizational Sentencing Guidelines. Every
corporation has an ingrained culture, influenced by things such as
industry, age, history, size, international reach, executive management,
and unionization. This panel discussion is comprised of multinational
organizations that have managed culture transformation — some due
to scandal, others due to corporate developments such as mergers and
acquisitions.
Communicating the Ethics Message and Training Across Global Operations Tim Parkman, Lessons Learned Ltd
The need for ethical conduct in global corporations spanning multiple
cultures has never been higher, yet the challenges of explaining core
values and securing support for them remain daunting. How can you
overcome those challenges and implement an effective and respected
international program? This session explores the critical
components.
Corporate Culture and Ethical Leadership: Measuring outcomes to make a difference Timothy T. Lupfer, Deloitte Consulting LLP
Everyone seems to agree that "tone at the top" is important, but this
concept can often appear abstract and elusive. This session highlights
specific steps organizations can take to ensure that ethical leadership
is present, credible, and contributing to the success of the enterprise.
Recognizing that there is no "magic metric" that alone captures ethical
leadership, we'll examine a combination of measures and observations
such as:
Counting on Metrics: Developing meaningful E&C program data to satisfy a "Show Me" CEO Jim Nortz, Bausch & Lomb
A program in compliance and ethics is not effective unless it can
demonstrate that positive change is taking place because of its
presence. This session offers practical tips from three different
perspectives on how compliance and ethics officers can develop and
implement reliable systems to gather and present process and outcome
metrics of sufficient relevance and reliability to answer three
fundamental questions for top management:
Creating Buzz and Buy-In: A new approach to ethics training Russ Berland, BearingPoint
With all of the e-learning courses our employees are expected to
complete annually, our challenge was getting people excited about our
new Standards of Business Conduct (SBC) and reinforcing our Culture of
Integrity. Having a new SBC coupled with driving new culture
initiatives, we just had to have a new approach to training...
Creating Enablement Tools: Helping individuals meet their compliance requirements Alice DeLancey, Ernst & Young LLP
Most compliance attention is focused on enterprise-related compliance
functions and requirements. This session focuses on how the organization
can enable employees to achieve their own professional compliance
requirements. Enabling compliance for employees is critical to many
decentralized organizations given the demands of clients, workloads,
complexity of requirements, and the desire of employees to do the right
thing. In this session, we'll focus on three areas:
Data Protection Issues from Asia and the Pacific Rim including SOX Whistleblower Program Developments Christine E. Lyon, Morrison & Foerster, LLP
US companies operating abroad increasingly must comply with data
protection laws in other countries, including for the collection or
transfer of employee data back to the United States. A number of
countries in Asia now have such laws or are developing them including
China, India, Japan, Hong Kong, Singapore, and Taiwan. U.S. public
companies must also extend their SOX whistleblower programs to these
countries where they have operations while adhering to local data
protection regimes.
Doing More With Less: Running your Ethics & Compliance Program on a Shoestring Deborah Severs, Eaton Corporation
Not every organization has a robust budget and headcount for its
ethics & compliance program. When you are the senior ethics and
compliance executive, how do you make every hour and every dollar count?
Good programs can be developed even when financial support and manpower
is sub-optimal. This session offers some practical tips on how to do the
most effective job with modest resources. (And we may even be able to
help you make the case for additional resources next fiscal year.)
eDiscovery and Records Retention Compliance: What E&C Officers must know David M. Giles, The E.W. Scripps Company
New federal rules of civil procedure, more stringent regulatory requirements for records retention and publicity surrounding penalties for non-compliance, have increased the risks and costs of corporate readiness for discovery and investigations. Companies face major challenges in managing the alphabet soup that is their electronic information (e.g., PDF's, E-mail, PDA's) in ways that satisfy current legal, regulatory and business requirements. Preserving, reviewing and producing electronic information have become priorities in this era of corporate transparency. Companies must be able to defend their document retention policies in court and insure that their procedures are compliant and consistently applied.
Ethical Capitalism and Ethical Leadership: Out behaving the competition Dov Seidman, LRN
Companies used to differentiate themselves on what they produced. With the ability to reverse engineer products and services, today the key to success is not focusing on what you do but how you do it. And, no "how" is more unique than the "how" of human behavior. With the hyper-transparency and hyper-connectedness that defines the market, there is an unprecedented ability to assess the character of individuals and companies. As a result, principled behavior is more critical than ever, and there is an opportunity literally to outbehave the competition. This interactive session will discuss the changes that are affecting the market and how to leverage these changes for long-term success.
Ethics & Leadership at United Space Alliance: A member's story Maria Conner, United Space Alliance
Meet United Space Alliance — a global leader in space
operations. In this session, our Sponsoring Partner describes the
process by which they transformed the company's ethics program from a
compliance-based one to a culture-driven state, fueled by employee
ownership. In a world of challenging legal and social demands, placing
the ethical health of a company in the hands of its employees yields
increased legal compliance, employee retention, customer satisfaction
and competitive advantage. The session will focus on:
Ethics Officer: Is ours a profession whose time has come? Frank J. Navran, Navran Associates
Over the past 15-20 years, Ethics and Compliance Officers have become
an enduring fixture on the organizational landscape, both in the US and
abroad. During that same period there has been increasing discussion and
some emerging agreement as to the roles, responsibilities, duties and
obligations of that position. The time now seems ripe to ask: What have
we become and what do we want to be as a "profession" when we "grow
up"?
Faith in the workplace? David W. Miller, Ph.D., Yale Center for Faith & Culture
The increasingly diverse workplace manifests itself not just in terms
of ethnicity but in the myriad faiths and religious traditions held by
today's workforce. It is a demographic fact which organizations
acknowledge but to which they respond differently — and something
which the ethics office must be prepared to understand.
FCPA: Recent developments and emerging best practices Wendy A. Hallgren, Fluor Corporation
Session description forthcoming
Global Competition: Hot topics in global antitrust enforcement Jeffrey LeVee, Jones Day
Today's global business augurs tomorrow's transnational antitrust
compliance and enforcement challenges. Competition law and antitrust
considerations are critical facets of an effective global compliance
program. Join us for a session that highlights recent developments that
should inform your ethics and compliance program — in the U.S. and
around the world.
Global Risk Assessments: Where to begin and what to do with your results Dean D. Luchsinger, AECOM Technology Corporation
Conducting risk assessments in a global environment has its
challenges. This session will focus on how to conduct a global risk
assessment and the unique challenges encountered in various regions
including the Middle East, South East Asia and China.
Honor Codes: A positive approach to sustaining a culture of ethics Steve Henn, Working Values, LLC.
Some of the world's leading educational and military institutions have instituted honor codes to achieve higher levels of integrity in their organizations. These codes take a positive rather than a punitive approach and assume that people within the organization can be trusted to act with integrity. Honor codes are believed to create higher levels of accountability and make an organization's values expected behavior rather than simply an aspiration.
A recent survey by the country's leading researcher on academic integrity demonstrates that honor codes work. They are shown to reduce student cheating, even on large campuses where cheating is most common.
In this session, participants will examine the typical expectations of honor codes, discuss how and why honor codes create higher standards of behavior, and identify specific behaviors that demonstrate "honor". They will then discuss how the lessons learned from honor codes can be coupled with appreciative inquiry and other organizational development best practices to create a positive approach to sustaining a culture of ethics.
Human Resources + Ethics and Compliance = A Critical Partnership Lynn Ballerini, KPMG LLP
In many organizations, Human Resources and Ethics and Compliance
departments view cross-cutting issues from different and perhaps
competing perspectives rather than through a lens of collaboration. In
this session, a director of human resources and a director of ethics
will co-present a practical session on how they overcame these
impediments enroute to building a best practice partnership.
Implementing Ethics Policies: An Asian-Pacific Perspective Jeong-Shik Kwak, POSCO
Session description forthcoming
Instituting an Enterprise-Wide Policy & Procedure Program Gretchen Winter, ECOA Emeritus Member - Chair Emeritus
A Policy & Procedure program is a key factor in supporting a
compliance program; however, today's environment of multiple national or
international sites and highly regulated industries can make creating
and maintaining such a program very complicated. This session highlights
the key elements of developing and implementing a successful Policy
& Procedure program including the technology infrastructure to
support multiple business sites and regulatory agencies.
Investigating... "The Case of the Rented Maserati" Donna Boehme, Compliance Strategists, LLC
In the world of compliance and ethics investigations, decisions are rarely black and white. Well managed investigations are a product of experience, judgment, protocol and principles — and no one gets it right all the time. Join our expert panel as they tackle a real-life case study through the eyes of the chief compliance and ethics officer who must deal with surprising and challenging twists and turns as the investigation progresses. You, the audience, will be invited to vote on what actions should be taken at critical steps of the case. Join us for adventure, adultery, expense accounts, conflicts, harassment, retaliation and much more. Join us for ..."The Case of the Rented Maserati" including:
Lessons Learned from Backdating: Why integrity matters more than compliance Steve Priest, Ethical Leadership Group
Over 100 companies—household names and obscure ones—are alleged to have been involved in backdating of options grants. Some of these companies have settled and many have senior leaders who have departed (and worse). The actual practices involved in these cases varies substantially, but in many cases, executives, lawyers, and op/ed writers have claimed they were "not harmful" or were merely "minor infractions." This session will review the backdating controversy, and explore its implication for corporate ethics and reputation.
Limited Resources – BIG Demands: Techniques for effectively communicating ethics & compliance on a small budget Stephanie Jenkins, Premier, Inc.
Clear communication is key to developing an effective ethics and
compliance program. Coming up with new and innovative techniques can be
difficult when resources are limited; however, having a small budget
doesn't mean limited communication. This session will explore various
approaches to effectively communicate ethics and compliance
initiatives.
Making director ethics education a meaningful reality (just don’t call it "training") Win Swenson, Compliance Systems Legal Group
Session description forthcoming
More Sex, More Ethics Joan Dubinsky, International Monetary Fund
Back by popular demand. A similar session was featured earlier in the year to great acclaim at the Sponsoring Partner Forum. The substantive issues discussed are serious, but the interactive fact-based case studies offer an instructive – and oftentimes entertaining – examination of real life issues that confront the full spectrum of human experiences. (As before, you must be 21 to attend this session!)
Reporting from the ERC: Putting the CECO paper to work Patricia Harned, Ethics Resource Center (ERC)
In August the leading nonprofit organizations in the ethics and compliance field, including ECOA and ERC, jointly released a paper suggesting that most chief ethics and compliance officers (CECOs) face major impediments in their efforts to ensure that their organizations meet the highest ethical standards. The paper is designed to initiate dialogue by outlining a job definition and reporting relationship that will help a CECO succeed. Now it's your turn. How can you leverage the paper to address your situation? In this session we will:
Rules? ...In a knife fight? —Examining the role of ethics in a tough world Robert Bexon, Bexon Brohman & Associates
Proposition: The single purpose of business is the creation of wealth.
Many people subscribe to this proposition. One consequence, however, is that it tends to marginalize any activity that does not tangibly contribute to the goal of wealth creation. This fact then presents an acute challenge to Ethics Officers: How do you demonstrate that you are creating value (and not impeding the successful operation of the enterprise) when your advice and guidance sometimes runs counter to wealth creation and the competitive instinct? In this session we examine the practical inquiries that flow from this all-too-frequent demand for justification — and in the process seek to illustrate how ethics officers can enhance organizational effectiveness with value creation. Among the questions we probe:
Screening for Ethical Leaders: How executive search firms do it and what it means Stephen P. Mader, Korn/Ferry International
C-Suite turnover has reached record levels. Executive recruiters indicate that boards often don't have a clear sense of what they mean by "ethics" or "leadership"; in turn, recruiters find ethics hard to evaluate and recruit against. Whoever is selected impacts the organizational culture. For ethics officers, these challenges present opportunities to exert their influence and impact around fostering ethical leaders. We'll discuss the screening process and how ethics officers can make a difference.
Stay Tuned: Risk assessment and training right out of the news Jeffrey M. Kaplan, Kaplan & Walker LLP
2007 has seen a wide array of stories of considerable importance to
compliance and ethics officers – global anti-corruption
initiatives, unprecedented fines in the competition law area, as well as
significant developments regarding confidential information and privacy,
conflicts of interest, export control and other areas of legal and
reputational risk. Various news stories have also demonstrated the
fallacy of the "it can't happen here" line of thinking. There is also an
increasing awareness that compliance and ethics efforts must be
addressed both with respect to the third parties with whom a company
does business as well as to one's own workforce. And perhaps above all,
news reports have underscored the ever mounting consequences to
companies and their executives of failing to take strong compliance and
ethics measures.
Talking the CSR Walk: Should you discuss your ethics and corporate responsibility efforts with the outside world (and if so, how)? Phillip Rudolph, Ethical Leadership Group
In our increasingly transparent, linked and blogged world, businesses
are debating what, if anything, to say to external stakeholders about
their ethics and corporate responsibility (CR) efforts. CR reporting is
all the rage, and ethics and compliance efforts are often addressed in
such reports. But is this a good thing or a bad thing? Does transparency
drive substantive improvement, or is it simply PR dressed up in fancy
clothes? And if it's the latter, might this undermine, rather than
strengthen, your ethics and CR efforts? In this session, a panel of
experts will tackle the challenges of this complex issue including
The Interface between Non-Business and Corporate Ethics and Compliance Programs: An opportunity for collaboration O.C. Ferrell, University of New Mexico, Anderson Schools of
Management
As non-profits and governmental agencies develop effective ethics and
compliance programs, there is an opportunity to share insights with
corporate ethics officers. A considerable overlap exists between
business, non-profits and government in managing the risks of
misconduct. This session will include insights gained in assisting the
State of Florida Department of Revenue in launching a new organizational
ethics program.
The Long Arm of Compliance: How your compliance and ethics program should extend to third parties Ronald Berenbeim, The Conference Board
The need for partners in global markets and the competitive and
external pressures from governments, international organizations, and
other businesses is causing many companies to examine whether they
should extend compliance standards or requirements to those third
parties with whom they have an ongoing relationship, such as suppliers,
distributors, agents, and joint venture partners. Drawing on a survey
conducted earlier this year by The Conference Board, this session will
explore best practices and concerns arising from the application of
compliance standards to third parties.
The Psychology of Rule Breaking and Practical Prevention Strategies Dr. Jay M. Finkelman, Alliant International University
Compliance and ethics officers are in the business of modifying individual and organizational behavior to conform with internal and external regulations. Attendees of this session will learn the fundamental principles of behavior modification by hearing from an expert in the field of organizational psychology. Discussion will also center on practical strategies to put these principles into practice to increase compliance rates with your company's Code and other policies and procedures.
Today's Ethics Officer... Meeting Tomorrow's Challenges Frank Daly, ECOA Emeritus Member - Chair Emeritus
Dramatic and rapid change compels ethics and compliance professionals to confront new issues, potential problems and diverse viewpoints. Operational expertise alone is not enough; instead, advocacy, networking, organizational development, workplace psychology and other "soft" skills are among the critical skills required of the ethics officer who wants to effectively meet tomorrow's challenges.
Turning Up the Decibels on Tone at the Top: Generating ethical intensity at the CEO and Director levels Harry Kraemer, former CEO of Baxter International
It is not always easy to fully engage the board and CEO in creating an ethical culture, yet this is a critically important component of effective leadership. Ethics officers, general counsels, internal auditors, and others in the organization often clearly see what is needed to address the day-in, day-out reality of resolving ethical dilemmas and doing the right thing. When directors and leaders understand the facts, share the ethical vision, and demonstrate leadership on this score, the overall goals are more readily and successfully achieved.
This highly interactive session will focus on:
Understanding the Role of "Ombudsman" Thomas Neal, United Technologies Corporation
Many organizations have someone with the title of "ombudsman" but the
term often means different things in different organizations. Those
differences extend to issues of confidentiality, independence and
neutrality. Join us in this session which features representatives from
different organizations with particular meanings in mind for their
"ombuds". We'll explore:
Using Benchmarking Metrics to Optimize Anonymous Whistleblower Programs Ralston McCracken, The Network, Inc.
Anonymous whistleblower programs are widely used by global organizations to report on possible infractions of law or corporate policy. But that is only part of what they can be used for. Many organizations are using trends analysis on reported data to evaluate the ethical health of the organization as well as to create opportunities to improve the reporting systems. In this session, we'll review the results of a first of-its-kind benchmarking study that tabulates data by relevant demographic variables as organization size, industry type and issues reported which can be used to help organizations measure organizational ethics awareness.
Zebra Ethics Donna Davis, Northrop Grumman Corporation
Ethics: Does your organization foster the view that ethics is oftentimes an imprecise gray rather than a clear issue of black or white? The problem with seeing ethics in terms of "the gray" is the suggestion that the organizational culture does not challenge or expect people to discern clear distinctions. The goal of an ethics and compliance program should be to enhance peoples' ethical acuity so they can see beyond the gray and thereby identify actions as either right... or wrong.
Agenda subject to change. Check this page often for updates!
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