October 21–23 / Orlando, FL

breakout Sessions

Monday, October 21

5:15 PM – 6:15 PM Breakout Sessions

Defining E&C Excellence: Speak Up & Accountability
ECI’s Framework for Excellence is based on input from E&C professionals and other
industry experts over the course of a decade. In many ways, it is our industry’s
definition of excellence when it comes to E&C program design. Yet as the song says,
“the times, they are a changin’.” It is important for us to be sure that the metrics we
use to gauge the maturity of our programs reflect new areas of risk, challenge, and
regulatory expectations. Join us in this session as we take a look at the metrics in
ECI’s Framework for Excellence and discuss the revisions that are needed to ensure
that it is a living, breathing, reflection of what matters most in E&C program design.  

ECI Senior Advisors & Staff
Room 1: Speak Up & Accountability Room 2: Culture & Strategy Room 3: Risk Management

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Recognizing Excellence in E&C: Organizational Requirements
What should the criteria be for an organization to be “certified” that it has
established, and maintains, an excellent E&C program? Join us in this session to offer
your perspective. Already E&C professionals have established an initial framework to define
“excellence,” and ECI has developed a draft set of criteria for certification based on that
standard.  In this session, participants will discuss the organizational criteria that are
reasonable to expect of an organization with an excellent program. 

ECI Senior Advisors & Staff
Room 1: Organizational Requirements Room 2: Certification Process

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E&C Program Assessment Trends and Opportunities – NAVEX

Carrie Penman, Chief Risk & Compliance Officer, NAVEX

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Tuesday, October 22

10:45 AM – 11:45 AM Breakout Sessions

Translating Ethical Behavior into Enhanced Reputation and Business Success
Understand how to optimally communicate E&C messaging towards the means end of enhancing reputation and elevating business success. Learn best practices on driving perceptions of “good ethics” based on the proprietary RepTrak model.

Stephen Hahn-Griffiths, Global EVP, Strategy, Enterprise Growth, and General Manager, RepTrak

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Compliance, Risk, Legal, Audit, HR: Does the right hand know what the left hand is doing? Looking for alignment among risk mitigators and the culture keepers.
Is the Ethics & Compliance team familiar with the Audit team’s business plan? Would the Risk group benefit by including HR in their goal setting sessions? The key risk and culture stakeholders – Compliance, Legal, Audit, Risk and HR – each sit on a wealth of information from investigation outcomes and internal audit reports to enterprise risk reviews, personnel management data and litigation activity- that is often shared at senior leadership or Board levels and nowhere else. This session will identify the overlapping accountabilities of the various functions and explore how these stakeholders can share information “horizontally” to break traditional silos, share resources as appropriate, and better assess and address risk in a proactive and consistent manner.

William Cameron, Founder & Principal, Cameron Advisory Services, LLC

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Taking Giving Voice to Values (GVV) to the Next Level
Giving Voice to Values (GVV) was developed by Mary Gentile, PhD., to help employees skillfully voice and act on their values in ethics-related situations through situation-specific practice and rehearsal. In May 2024 the ECI convened a working group of ECI members to identify principles that contribute to successfully implementing, embedding, and sustaining GVV in organizations. The purpose of this session is to initiate a leading-edge dialogue between members of the working group and E&C professionals who are currently practicing or interested in learning more about GVV and its power to transform speak up programs.

Michael Galas, Ethics & Compliance Leader, KPMG Americas
Mary C. Gentile, Ph.D., Creator/Director/Founder, Giving Voice to Values
Fawn Hudson, Senior Manager, Ethics & Business Conduct, Lockheed Martin

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Unveiling the Wave of Country Legislations on Transparency and Protection Against Illicit Activities
In an era marked by technological advancements, the popularity of artificial intelligence, complex supply chains, and an increasingly interconnected global economy, the battle against financial crimes—including money laundering and corporate corruption—has become more sophisticated and challenging. Governments worldwide are recognizing the need for greater transparency to ensure protection against illicit activities. One significant stride in this direction is the wave of transparent legislation being introduced, with prominent examples being the Corporate Transparency Act (CTA) in the U.S. and the Economic Crime and Corporate Transparency Bill in the U.K. These legislations aim to enhance disclosure of ultimate beneficial ownership (UBO), providing compliance professionals with the tools to effectively screen for money laundering, adverse media risks, politically exposed persons, and sanctions. This article explores the implications, challenges, and global impact of these initiatives.

Hassan Chaudry, Director of Compliance, Starlight Investments

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Tech-Enabled E&C Programs: You Don’t Have to Have Watched The Jetsons to Know the Time Has Come
This session will overview the possibilities for technology in driving an E&C program of which The Jetsons could be proud, including in areas such as risk monitoring, regulatory change management, risk and program assessment, speak up and investigations programs, and third-party risk management.

Brent McDaniel, Partner, KPMG US
James Lary, Director, Forensics, KPMG

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Demonstrating Program Effectiveness through Analytics and Dashboard Reporting 
In this session we will leverage current examples of approaches to analytics and dashboard reporting for management and the Board to tell E&C’s story of program effectiveness and impact.  Attendees will have an opportunity to share experiences interactively and generate practical ways to evolve their own analytics and dashboard capabilities.  

Cynthia “Cindy” Cetani, LPEC, Chief Integrity and Compliance Officer, Indivior 

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1:00 PM – 2:00 PM Breakout Sessions

Goodbye Spreadsheets: How to Build a Roadmap to a Data-Driven E&C Program  
In this session we will leverage current examples of approaches to analytics and dashboard reporting for management and the Board to tell E&C’s story of program effectiveness and impact.  Attendees will have an opportunity to share experiences interactively and generate practical ways to evolve their own analytics and dashboard capabilities.  

Greg Bates, Partner, Miller & Chevalier

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Cultivating a Culture of Ethical Excellence Through GRC Integration
Interactive session exploring the relationship between Governance, Risk, and Compliance (GRC) and Business Ethics to provide actionable strategies for fostering ethical excellence within organizations. The session will include sharing practical insights and best practices to effectively integrate robust GRC frameworks that uphold ethical standards.

Fabi Takata Shiota –  Director of Regional Ethics & Compliance , META

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Creating a Speak Up Culture: a Tactical Approach
Learn how to create a speak up culture through the practical cultivation of psychological safety at the tactical level using real-world examples, tools and techniques.

Lisa Mathews, Managing Director, Ethics & Compliance, KPMG US

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A Strong Ethical Culture Must Be Real, Not Fake
A strong ethical culture is possible, but only if it is not a FAKE one. A fake system as with any other fakeness is simply wrong. It will never allow an organization to grow, let alone achieve its goals. A strong ethical culture starts from top. A strong ethical culture gets embedded into an organization and it comes to a stage where employees live by it as it becomes part of their culture!

Elshad Rustamov, Founder & Managing Director of The Consultant Global Company

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Reimagining Work: What We Must Get Right Today 
Business leaders face challenges that are both unique and all too familiar. Timeless leadership concerns—such as finding skilled talent and balancing technological advancements—are more relevant than ever. Evolving labor market dynamics and the integration of new technologies like AI are beginning to shift how talent and work are organized. This dynamic, conversation-driven session will examine cutting-edge research and engage in live polling and community dialogue with a critical question in mind: How can we reimagine work systems to help organizations, their people, and the economy thrive? Learn practical strategies to lead organizations into the future of work, ensuring resilience and innovation.

Dr. Kelly Monahan Managing Director, Upwork Research Institute 

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E&C Program Assessment Trends and Opportunities – RILA
Learn how the Retail Industry Leaders Association (RILA) utilized ECI’s E&C Program Assessment (formerly HQP Assessment) to gather industry-specific benchmarks for the retail sector and how the information will be used to gauge strengths and identify opportunities for education, resources and benchmarking to inform best practices for the industry.

Kathleen McGuigan, Executive Vice President & Deputy General Counsel, Retail Industry Leaders Association (RILA)
Evren Esen, Vice President, Research & Analytics, ECI

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The Ethics Engine – Powering Business Strategy & Sustainable Growth at Your Organization
In today’s rapidly evolving business landscape, integrating ethics and compliance into the core of business strategy is not just a regulatory necessity but a strategic advantage. This session is designed to empower corporate employees at all levels to understand and implement ethics and compliance not as an afterthought, but as a fundamental aspect of their daily operations and long-term strategic planning. This session will be crucial for compliance professionals, middle to senior management, team leaders, and key decision-makers across all departments who are instrumental in shaping and executing business strategies.

Bianca Forde Esq., VP & Counsel, Global E&C Programs, Otis Worldwide Corporation
Eric Glover, Senior Vice President, Global E&C Programs, Otis Worldwide Corporation

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Developments in Federal Voluntary Self-Disclosure Programs and the Consequences for E&C Programs
Recent expansions of federal voluntary-self disclosure (VSD) and whistleblower-compensation initiatives have important consequences for corporate E&C programs. After outlining the contours of VSD and whistleblower programs, the session will address preserving an entity’s ability to be a first reporter and recipient of VSD credit, engaging compliance in the M&A process to maximize VSD benefits, managing speak-up reports and reporters, conducting investigations to mitigate risks of reporting out, and communicating results of reports/investigations to encourage internal reporting instead of reporting out.

David E. Carney, Partner, Robinson + Cole

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Five years of data: Learning from and doing something about the lowest scoring items in the Framework for E&C Excellence  
ECI’s Framework for E&C Excellence has generated a wealth of data since it was introduced in 2019.  One of the overall findings is that organizations generally score lower on some items under each of the five principles than others.  Join two senior E&C executives in this highly interactive session to learn which supporting objectives under each of the framework’s five principles has historically received the lowest scores and how these areas can be addressed.  Contribute and share your own insights through small and large group facilitated discussions. 

Steve Scarpino, Chief Ethics and Compliance Officer, CITGO Petroleum Corporation  
Martha Sarra, Vice President & Chief Ethics and Compliance Officer, The Kroger Co.  

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Ethics Education in Universities: Challenges for Future Employees, Continuing Education, and Communication Guidance
Stakeholders of numerous kinds are alienated by a lack of organizational attention to ethics, often borne from a high education environment that has dropped ethics as an educational requirement. What can be done to offset these pitfalls and create more responsible employees of the future? Recommendations are offered in response to the data on the marginalization of ethics education in modern communication programs with a university context.

Dr. Shannon Bowen, Professor – University of South Carolina, Executive Director, Global Strategic
Communication Consortium & Conclave, in conversation with Mary Beth West, Public Relations Strategist, Fletcher Marketing PR

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Is Your Work Worth It? What Makes E&C Worth Doing  
ECI Academic Fellow Christopher Wong Michaelson, co-author of Is Your Work Worth It?, explores the question that most of us will ask ourselves at some point in our careers. “Is my work worth it?” The question is particularly salient to E&C professionals, who often do their work for reasons other than money, who may be underpaid relative to other C-level executives, and who may be expected to risk it all to uphold their professional integrity. This session will include a presentation and a candid discussion among participants about what makes their work worth it – or not.

Christopher Wong Michaelson, Professor, Ethics & Business Law, University of St. Thomas, ECI Academic Fellow

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How to Tie Annual Training, Culture Surveys and Middle Management Together for a Maximum Impact
Annual training and culture surveys offer the greatest opportunity to capture the attention and feedback from your workforce.  Data gathered can be used to identify insights into culture issues or program gaps.  Come learn how Dell utilizes audience profiling and test outs to drive efficiency, leverages leaders to achieve 100% completion, and embeds the culture survey to achieve impressive response rates.  Then watch how Dell uses the culture survey data to build a middle manager development program aimed at boosting the quality and quantity of manager-led team discussions focused on ethics.  Examples, details, and lessons learned will be shared in this interactive and engaging session.

Alicia Olmstead, Global Ethics & Compliance Consultant, DELL Technologies

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Evolving Ethics and Compliance Risk Assessment Identification, Mitigation, and Engagement in a Changing Work Environment 
Risk factors increase the chances of a risk occurring and vary based on the work environment. Employees working at large sites may have different potential risk factors than those working in remote/small locations, international, teleworkers, and hybrid work environments. Many business models have changed since the pandemic. This session will explore how to adapt to those changes to ensure risk is assessed in all different working environments. 

Ellen Daly, Ethics Analysis Senior Manager, LM Missiles and Fire Control, Lockheed Martin Company 
Denise Drennan, International & U.S. Aeronautics Ethics Officer, Lockheed Martin Company.

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Wednesday, October 23

10:30 AM – 11:30 AM Breakout Sessions

Consistency: The Foundation of Investigative Excellence
This highly interactive session will focus on the vital role consistency plays in achieving investigative excellence. Through practical exercises and discussions, attendees will gain the tools to enhance their investigative skills and build credibility within their organizations. Discover how a consistent approach can elevate your investigations and drive outstanding results in compliance. 

Stacy Tietjen, Senior Director, Compliance and Integrity, CHS, Inc.  

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Valuing Corporate Compliance: Making the Revenue Case for Compliance Programs
There has been a long running effort to establish the “business case” for compliance.  But this effort has faltered because compliance is most often framed in terms of liability avoidance, cost reduction, and risk mitigation.  While compliance does all that, it can do much more.  This session presents original research providing empirically sound, direct evidence that compliance can—and does—create positive, revenue-enhancing value for companies.  By identifying and measuring compliance’s positive value to consumers, programs can increase their status and investment within the firm, a positive for all corporate stakeholders.

Todd Haugh, Associate Professor of Business Law & Ethics, Arthur M. Weimer Faculty Fellow in Business Law, Director – Institute for Corporate Governance

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Highlights and Challenges for Third Party Risk.
The implementation and evolution of practical third-party risk management at one of the nation’s largest electric utilities. Learn about how to set up and mature a third-party risk management program in an engaging, interactive, session.

Jeff Kagan, Principal Manager, Integrated Compliance Services & Ethics and Compliance, Southern California Edison
Michael Chinn, Senior Advisor, Ethics & Compliance, Southern California Edison
Toni-Lynne Langeveld, Senior Advisor, Southern California Edison 

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Risky Business: Stop Dancing Around the CCO/Board of Directors Relationship
Presentation Sponsored by NAVEX

The Chief Compliance Officer (CCO) plays an essential role in upholding the integrity and
governance of an organization. The board of directors is accountable for oversight of an
effective program. Key to success is cultivating a strong and trusted partnership between
the CCO, the executive team and the board of directors. With similar objectives, the board
and CCO should be on the same page. Yet, adding others to the dance can add obstacles and
gaps in these relationships leading to siloes, politics and missed opportunities.

In this session, senior compliance professionals will explore the significance of this collaboration
and share first-hand strategies to navigate the complicated compliance landscape within
the board’s framework, establishing trusted ties to successfully guide the business in
risk-aware decision making

Justin Ross, Vice President, Chief Compliance Officer, Sysco
Pilar Caballero, Vice President, Chief Compliance Officer & Chief Privacy Officer, Deputy General Counsel, Ryder System, Inc.

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Meeting New DOJ Evaluation of Corporate Compliance Program Expectations
In 2023 and 2024, the DOJ expanded the reach of its ECCP to include mitigating technology risk (including AI) and corporate electronic communications policies, building upon the ongoing SEC and CFTC Off-Channel Communications Initiative, resulting in over 75 orders and over $2.7 billion in fines and penalties. The panel, including DOJ’s Assistant Chief, Corporate Enforcement, Compliance & Policy Unit, Fraud Section, Booking Holdings’ Head of Financial Crime Risk Management, a Debevoise & Plimpton White Collar and Regulatory Defense partner, and StoneTurn Forensic Technology, Data Analytics and Risks Controls experts will discuss the implications and practical steps for meeting these expectations.

Moderator: Jonny Frank, Partner, StoneTurn 
Panelists:
Lauren Kootman, Assistant Chief, Corporate Enforcement, Compliance & Policy Unit, Fraud Section, U.S. Dept of Justice, Criminal Division
Charu A. Chandrasekhar, Partner, Debevoise & Plimpton LLP 
Philip Smith, Head of Financial Crime Risk Management, Booking Holdings, Inc.
Chuck Soha, Managing Director, StoneTurn 

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Binge-worthy Ethics Learning: Reimaging Compliance Learning through TV Series-Style Storytelling 
This session will embark on a journey to reimagine ethics and compliance learning where employees identify with the characters and real-life situations while learning how and when to act and speak up. The panelists’ first season of “Dilemma” launches on 28 Oct, so they will share clips and marketing materials during this session. In addition, we will share desired outcomes to build and maintain our strong ethical culture, managing an expanded stakeholder group, and implementation strategies. This session is a fusion of theory and practice, promising a wealth of insights that will make your employees ask, “when is the next training coming?” 

Myra Vandervelde, Ph.D, Director of Ethics, Deloitte Touche Tohmatsu Limited
Kaia Samson, Global Ethics Manager, Deloitte Touche Tohmatsu Limited

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