July 24, 2017  
Sandra Moser Acting Chief U.S. Department of Justice, Criminal Division, Fraud Section   CO-CHAIRS
Kate Garfinkel Vice President, Chief Ethics & Compliance Officer Alcoa Corporation (Pittsburgh, PA) Andy Holleman Chief Compliance Officer Newmont Mining Corporation (Denver, CO) Anna Itoi Director, Ethics & Compliance Google Inc. (San Francisco, CA) Susan Ringler Vice President, Chief Ethics & Compliance Officer Arconic (New York, NY)
  This all-day, boardroom-style roundtable has been redesigned to offer its chairs and participants the opportunity to brainstorm and benchmark in step-by-step analyses the ins and outs of what constitutes an effective — and defendable — anti-corruption compliance program today. Uniquely, participants will have an opportunity to present the day’s deliberations and findings to the U.S. Department of Justice via an end of day exclusive appearance by Sandra Moser. Participants will walk away knowing what are the essential components of a strong anti-corruption program, indispensable to run a compliant business, how to minimize the greatest risks, and what to do should you or your company come under investigation. The roundtable group will also have an opportunity to share its conclusions with the delegate audience of the main conference (July 25-26, 2017) during a specially designated time slot.  
9:00   Opening Remarks by Co-Chairs  
9:15 The Design, Structure and Backbone of an Effective Anti-Corruption Program
  • What is the importance of having a robust compliance infrastructure at the heart of an effective anti-corruption program?
  • How to effectively communicate and instill the right compliance mindset within your organization
  • How and when to implement and apply the most effective policies and procedures in the furtherance of a thoughtful anti-corruption compliance program
  10:00   Identifying and Grooming the Next Generation of Compliance Champions at All Layers of Your Organization: Assembling the Best Team, Sharing Ownership and Commitment, Operational and Financial Capacity, Personnel and Stakeholder Communication
  • What parties and in-house stakeholders need to be involved, why, and to what extent, respectively?
  • How to ensure each party involved feels it has a stake and say in the process: Making sure everyone is “feeling heard”
  • How to establish a credible whistleblower and hotline management function
  10:45   How to Achieve C-Suite Buy-In for Your Compliance Program
  • How important is top-level buy-in?
  • What are the consequences of failing to have C-suite backing for compliance?
  • What practical strategies can you employ to win over the C-Suite?
  11:15   Refreshment Break
  11:30   What are Appropriate Financial Resources for Compliance: How to Identify What Resources are Most Critical to a Robust Program
  • How to identify and define budgeting priorities of a compliance program based on the unique attributes of your business and industry
  • How to allocate your budget to assure best use of financial resources across all actors involved in anti-corruption compliance
  • Best practices for communicating budget needs across compliance, legal, business development/sales and marketing
  12:15   Cultural Translation of Compliance: 5 Hurdles to Overcome to Ensure Robustness of Your Global AntiCorruption Training Program
  • Geography, culture and language
  • Distance: on-site vs. remote
  • Local buy-in
  • Monitoring and accountability
  • Training and self-reporting (whistleblowing and hotline management)
  1:00   Networking Luncheon for Attendees and Speakers
  2:00   Best Practices for Third Party Intermediary and Partner Due Diligence and Ongoing Monitoring
  • How to ensure effective monitoring: in-house vs. outside party reviews
  • How to conduct background and reference checks
  • What value lies in having face time with third parties?
  3:00   Leveraging Up-And-Coming Technology and Data Analytics That Provide Meaningful Metrics and Drive Your Compliance Strategy: Dashboards, Average Headcount, Average Cycle Time
  • What is the importance of metrics and trackable data? Why care?
  • What are the most innovative compliance technology gadgets?
  • How to interpret data and ensure it is accounted for during your compliance program review
  3:45   How to Perform a Program SelfAssessment and Keep it Current to Satisfy Government Expectations: How to Test Whether Your Program is Working
  • What are the most effective self-assessment mechanisms?
  • How to choose the right assessment tool that fits your unique organization
  • What is the benefit of proactive cooperation with regulating authorities and the government?
  • One year after: FCPA Pilot Program on voluntary self-disclosure
  4:30   Roundtable Recap to USDOJ Ms. Moser will be present to hear co-chairs and participants share the day’s findings and conclusions. In addition, Ms. Moser will take questions and speak on USDOJ enforcement priorities.
  5:30   Executive Roundtable Concludes