Spring 2019 Best Practice Forum

/Spring 2019 Best Practice Forum

Technology in E&C

Do you use technology in your ethics & compliance program, in any capacity? Is your technology strategy more reactive or proactive? How can you make the most of it to advance your E&C goals?

Technology is changing the way we live and work.  This event is designed to equip you to utilize new technologies in your organization, even if you have a shoestring budget.

Join ECI and a group of industry expert speakers for the Spring 2019 Best Practice Forum – Technology in E&C.

This event was specifically designed to take a deep dive in to the evolution of E&C programs and the tools you use every day.

In what ways have these technological advances helped you achieve your goals? Or helped your employees achieve theirs?

Thought-provoking speakers, experienced in implementing new technology to drive ethics & compliance goals, provide industry-leading insight and show you the proven best practices that can lead you to your own successes.

Whether you are the CECO of a Fortune 50 with a budget to match, or an E&C practitioner in a smaller organization that needs more evidence to justify your next big tech implementation, this is the event for you.

What do your peers think?

More than 90% of attendees to our Fall 2018 Best Practice Forum rated that event favorably and agreed that it was a valuable use of their time. Best Practice Forums allow you the opportunity to personally connect and network with your colleagues from around the world – colleagues that share the same issues and challenges that you face every day.

Featured Speakers

Vipula GandhiPhilip WinterburnSunil Bheda
Managing Partner Gallup
Chief Strategy Officer,
Chief Product Officer, LRN
Daniel BradyAdam RujanEmily Sexson
Training, Awareness &
Policy Manager, US Bank
Associate Consultant – Ethics and Compliance
Global Operations, Eli Lilly
David ChildersEvren EsenGuido Van Duren
Senior Vice President, ECI
Vice President, Research &
Analytics, ECI
Principal, KPMG

February 27, 2019

7:30 am - 8:30 am

Registration & Continental Breakfast

8:30 am - 8:40 am

Meeting Welcome

Getting Started

Patricia Harned, Ph.D.
Chief Executive Officer, Ethics & Compliance Initiative

Earnie Broughton
Senior Advisor, Ethics & Compliance Initiative

8:40 am - 9:40 am

Identifying the Challenge

presentation and interactive dialogue LIVE CAST

Look How Far We’ve Come …
How has technology changed in ethics and compliance and driving the evolution of our practice. The session will include a review of ECI member survey research on the range of use and acceptance of technology in E&C, an overview of regulations and other drivers of technology applications in compliance, what the GBES tells us about the impact of social media on organizational culture, and other emerging opportunities and challenges in this space.

David ChildersDavid Childers
Senior Vice President, Ethics & Compliance Initiative

Evren EsenEvren Esen
Vice President, Benchmarking & Analytics, Ethics & Compliance Initiative

9:40 am - 10:45 am

Background, Research & New Information

presentation and interactive dialogue

Technology Today
Technology is innovative. It is an enabler where new business applications and industries are born, but it is also a disrupter changing the marketplace, workplace and how business can be done. How is technology impacting business today. Do you understand how technology is changing your industry? Business? Workplace?

10:45 am - 11:05 am

Networking Break

11:05 am - 12:15 pm

Background, Research & New Information

Speaker & Interactive Dialogue

The Technology Adoption Curve
Block Chain. AI. Machine Learning. Deep Learning. Infrastructure as a service. Advances in technology are changing the way we live, work and communicate – and more is coming. This session will explain some of the advances that are becoming buzz words in modern media, but what do they mean? How will they impact how business gets done? What are the potential consequences (intended and unintended) that E&C practitioners should be thinking about now?

Sunil BhedaSunil Bheda
Chief Product Officer, LRN

Facilitator, David Childers
Senior Vice President, Ethics & Compliance Initiative

12:15 pm - 1:15 pm

Networking Lunch

1:15 pm - 1:30 pm

Sponsor Spotlight

1:30 pm - 3:00 pm

Speaker and Table Dialogue

The Changing State of Technology in E&C

Technology has become a part of the landscape in every component of ethics and compliance programs. At the same time, it presents challenges to E&C leaders – is technology appropriate for a particular application or process, how will we pay for it and justify the investment, how will we know if it is effective, and how must data and process governance change to accomodate these powerful tools? These are just some of the issues we consider through a panel of practitioners and interactive dialogue among forum attendees.

Philip WinterburnPhilip Winterburn
Chief Strategy Officer,

Facilitator, David Childers
Senior Vice President, Ethics & Compliance Initiative

3:00 pm - 3:20 pm

Networking Break

3:20 pm - 7:00 pm

Best Practice Showcase: Large Scale and Shoestring Projects

This session will continue into the reception

Practitioners share their innovative uses of technology to enhance the effectiveness of their E&C programs.

Big Budget:

Eli Lilly and Company
Enhance Ownership and Accountability through a Robust Integrated Risk Dashboard
Eli Lilly has developed and deployed an integrated risk dashboard that includes mitigation plans and related activities that can be easily and dynamically updated at the functional, regional, and global levels.
Hyeyeon Lee, Consultant – Ethics and Compliance Global Operations, Eli Lilly
Emily Sexson, Associate Consultant – Ethics and Compliance Global Operations, Eli Lilly

Redeploying a Customer Service Tool to Manage E&C Case Activity
Sometimes technology platforms can be redeployed in innovative ways to create new solutions. Allstate has adapted Salesforce, a customer service tool to manage and track work-related matters that touch multiple groups within the company. E&C is adapting this application to function as an E&C case management system across the Allstate Family of Companies.
Jeff VanDerMeulen, Senior Ethics Consultant, Allstate
Mika Gandhi, Ethics Associate Manager, Allstate

Automated Conflict of Interest Disclosure and Resolution
Conflicts of interest represent huge business and reputational risks. USAA has developed their own automated system for reporting, disclosing and determining all kinds of real and potential conflicts of interest from the point of hire forward. The system includes communication tools, document access, tracking mechanisms and an employee interface for self-disclosure and other tasks.
Norma Brooks, Senior Ethics Advisor, USAA
Rachel Flint, Lead Ethics Program Advisor, USAA

Productivity Tools to Enhance the Power of One
How can a one person operation reach more employees? By expanding an interactive code of conduct as a portal to the E&C program across multiple technology platforms to attain maximum impact with the most efficient use of limited staff.
Katie Smith, EVP, Chief Ethics & Compliance Officer, Convercent

Low Budget:

Louis Berger
Tying E&C to Business Processes through Technology
Technology can embed E&C into the places it is needed most … work routines, workflows, approval decisions and record-keeping across the business, all in mobile platforms that provide employees easy access. Louis Berger’s Authority Matrix Application is an in-house application that automates access to information and data necessary to get work done and at the same time minimize E&C risk and maximize accountability.
Adelle Elia, Chief Integrity Officer, Louis Berger

US Bank
Ethics Video Messages, Training, and Just-in-Time Interventions
Ethics training can easily become stale and predictable. But with a little bit of innovation and technology US Bank has developed a unique approach that can be highly effective, combining video, interactive training, pop-ups, and just-in-time messaging of ethics requirements and policy information. It uses multiple platforms to deliver information in ways employees are most likely to need it.
Dan Brady, Training, Awareness & Policy Manager, US Bank
Shannon Joens, Training, Awareness & Policy Manager, US Bank

Using Chatbots Driven by Artificial Intelligence to Communicate Policies
Access to timely information can be critical when an employee has an E&C question. Chatbots are a great way to give employees access to policy information and frequently asked questions when, where, and how they need it – a cost-effective and efficient way to extend an E&C program’s reach and impact without adding people and other resources.
Liam Dagless, Written Standards User Experience Lead, GSK

Empower Your Subject Matter Experts through Chatbots
Employees will always need an answer or assistance with understanding compliance topics as they are generally tied to laws and regulations that may not be easy to comprehend. Typically, this need is provided by Subject Matter Experts (SMEs) that know a specific topic very well. SME’s are and will remain crucial to compliance, but they need to be enabled to spend more time learning about a new potential risk, than trying to be a go-to resource on a known risk. ATT is using chatbots to address commonly asked questions.
Sandy Markiewicz, Director of Technology, AT&T

Rolls Royce
Creating a Digital Code of Conduct Accessible Across Multiple Platforms
A useful code of conduct is all about relevant and timely content and easy, convenient access. Rolls-Royce have digitized their Code which previously was a hard copy book. This digital version can be accessed through an app, a website and a quick reference guide. With only a handful of other company’s Code apps available publically in the IOS store, Rolls-Royce is trying to help pioneer the move of Codes into the digital space and would love to share their journey and solution with others.
Brigid Briggs, Group Ethics Officer, Rolls-Royce plc

7:00 pm

Networking Reception

February 28, 2019

7:30 am - 8:20 am

Continental Breakfast

8:20 am - 8:30 am

Getting Started

8:30 am - 8:45 am

Sponsor Spotlight

8:45 am - 9:30 am

Working Group Presentations

9:30 am - 10:30 am

Managing the Risks

This session will introduce the various unintended consequences of technological change, how to recognize the E&C risks, and how to mitigate the impact.

10:30 am - 10:50 am

Networking Break

10:50 am - 12:30 pm

What Do I Do Now? Preparing Your Program for the Future

During this session we will work together to apply what we have learned so far. How do you determine what technology you need?
How do you assess what technology your company already has you can use? How do you make the case to senior management?

Marvin SauerMarvin Sauer
Principal, Plante Moran

Adam RijanAdam Rijan
Partner, Plante Moran

12:30 pm - 1:30 pm


1:30 pm - 1:45 pm

Sponsor Spotlight

1:45 pm - 3:00 pm

Keynote: Technology & Workplace Culture

How will technology change the workplace and how do we best prepare for the E&C challenges ahead?

Vipula GandhiVipula Gandhi
Managing Partner

3:00 pm - 3:15 pm

Conclusion and Next Steps


Sheraton Grand Phoenix

340 North 3rd Street, Phoenix, AZ 85004


Rate available 02/25/2019 to 02/28/2019
Book by 02/08/19

2019 Best Practice Forum Registration Rates

Rates effective January 2, 2019

Rates per person:



Individual (each)



Group of 2 or 3 each



(Registered at the same time) 

Group of 4 or more



(Registered at the same time – call 703-647-2185 or email casey@ethics.org)   

NOTE: Complimentary conference passes cannot be applied to group rates.
If you require registration assistance, please contact 703-647-2185 or email casey@ethics.org

Group discounts are applicable only when registering at the same time. If not registering together, only the additional person(s) will receive a discount. Group discounts of 3 or more are not available online – please contact casey@ethics.org or call 703-647-2185 to register as a group of 3 or more.

Cancellations made on or before January 25, 2019 will receive a full refund. Cancellations received on or after January 25, 2019 will receive a refund less a $500 administration fee. No refunds will be given after February 4, 2019. Non-payment or non-attendance does not constitute cancellation and you will be charged the registration fee.

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