Preventing retaliation in the workplace.

Date

Nov 05 - 06 2019
Expired!

Cost

$1200 Members / $1500 Non-members - Group Discounts Available
Register Now

Preventing Retaliation in the Workplace – 2019 Fall Best Practice Forum

Registration and Event Location:  North Tower, Level M-2, International Ballroom F

 

Retaliation and how you can help to prevent it through keynote speakers and panel discussions. Each session seeks to illustrate a problem and provide practical solutions that you can implement as soon as you return. Best Practice Forums bring together ethics and compliance professionals to share ideas and learn real strategies to mitigate some of the biggest risks facing organizations.

Why is this event important?

Retaliation can be a problem in all workplaces, and the reasons for it can vary wildly and may surprise you. But preventing retaliation IS possible. Through a series of keynote talks, panel discussions and peer-to-peer networking opportunities, this event doesn’t just give you a theoretical knowledge base of what and why, instead it provides practical solutions and applications to preventing retaliation in your organization. As an attendee, you will learn from experts in a variety of sessions, including:

Who attends Best Practice Forums?

Best Practice Forum attendees are senior-level ethics and compliance professionals from Fortune 500 companies, practitioners, leaders, HR professionals and more who have a vested interest in creating and maintaining an ethics and compliance program that benefits their employees and organizations. E&C industry professionals who foster a commitment to ethics and integrity in U.S. and multi-national corporations know that Best Practice Forums are the best way to discover new ideas and take back actionable, practical ideas to their senior executives and utilize in their E&C programs.

This forum doesn’t simply cover the surface of workplace retaliation. Instead, we dive deep in to the root causes of retaliatory behavior to focus on solutions that can be implemented across industries and in organizations of all sizes.

What do your peers think?

For two years in a row, more than 90% of attendees viewed the Fall Best Practice Forum favorably and felt it was a valuable use of their time. Best Practice Forums offer you the invaluable opportunity to learn from and connect with other professionals in your position.

The event is finished.

Hourly Schedule

Tuesday, November 5, 2019

8:00 am - 9:00 am
Registration & Continental Breakfast
9:00 am - 9:15 am
Meeting Welcome
Speakers:
Earnie Broughton
9:15 am - 9:45 am
The Perennial Problem of Retaliation
For years the ECI has been conducting research to better understand retaliation against employees who report misconduct. In this session, Pat Harned will provide context for our day by sharing insights from the ECI’s Global Business Ethics Survey.
Speakers:
Patricia J. Harned Ph.D.
9:45 am - 10:45 am
The Current State: Retaliation in the Workplace
This session will feature a panel of ethics & compliance practitioners from the ECI Preventing Retaliation Working Group. Through their work, we will learn about the current trends in dealing with workplace retaliation, the implications for ethics & compliance, and what challenges still remain.
Speakers:
Alicia Olmstead, Keri Wood, Mike Camilleri, Robin Rohmer, Wendy Evans
10:45 am - 11:05 am
Networking Break
11:05 am - 12:10 pm
The Psychology of Retaliation
Revenge has been woven deeply into the fabric of individual relationships, communities and cultures for thousands of years. What do we know about why people retaliate and seek revenge based on real or imagined injustices and how can that understanding inform how we deal with it in the workplace?
Speakers:
C. Nathan DeWall
12:10 pm - 12:30 pm
ECI Spotlight on Allstate Insurance Company
Clear communications are key when it comes to preventing and identifying retaliation in the workplace. Hear about a communications campaign that was developed to increase employee awareness about what retaliation can look like and shared across Allstate’s Family of Companies.
12:30 pm - 1:45 pm
Networking Lunch
1:45 pm - 2:05 pm
ECI Spotlight on the Retaliation Analysis Programme (RAP)
The Retaliation Analysis Programme (RAP) was initially intended to look at the reality of retaliation. RAP enabled retaliation issues to be pursued with hard data - and dispel the myth that ‘it wouldn’t happen here’. RAP also identified unique retaliation phenomena - and was a vital analytical tool in providing support to whistle-blowers.
2:05 pm - 3:05 pm
Inside the Experience of the Reporter
How does one reach the point of reporting an issue? What motivates an employee to blow the whistle externally versus reporting internally? What are the factors that influence a decision to expose yourself to personal and professional risk? How can E&C develop programs and processes that support employees and protect them after they come forward? Are there ways to identify a situation or an employee at risk?
Speakers:
Andrea Falcione, Dana Gold
3:05 pm - 3:30 pm
Networking Break
3:30 pm - 3:45 pm
ECI Integrity Leader Spotlight on LRN
3:45 pm - 4:50 pm
A Question of Power and Culture
Whether retaliation comes from peers or leaders, it often occurs in the context of a power differential between the abuser and abused. What is the relationship between power and retaliation and how can the organization build in checks on authority that address this toxic relationship? More broadly, what changes to workplace culture and the context of work itself can make retaliation a less likely response to perceived threats?
Speakers:
Alison Fragale
4:50 pm - 5:00 pm
Break
5:00 pm - 7:00 pm
Networking Reception

Wednesday, November 6, 2019

7:30 am - 8:30 am
Continental Breakfast
8:30 am - 8:40 am
Getting Started
8:40 am - 10:10 am
The Preferred Path: Prevention & Intervention
We know that High Quality E&C Programs are characterized by reduced incidence of retaliation. We are challenged to create a program and culture that prevents retaliation from occurring in the first place and, failing prevention, develop investigative protocols and escalation procedures that help us identify retaliation risks quickly and act decisively and effectively. In this session we receive a highlevel overview of best practice approaches and hear from subject matter experts in the field.
Speakers:
Aaron Lipson, Allison Greene-Sands, Andrea Falcione, Robin Rohmer
10:10 am - 10:30 am
Networking Break
10:30 am - 11:40 am
The Long Road Back: Resolution & Resiliency
Once retaliation has occurred, the organization must respond and demonstrate accountability both to the employee and the accused. However, often repercussions from the situation extend far beyond those involved. In this session, we hear from subject matter experts in organizational recovery and individual resiliency in order to leverage our collective experience and explore new ways to help employees and the organization heal and move forward.
Speakers:
Dana Gold, Wendy Evans
11:40 am - 12:00 pm
ECI Spotlight on BP
BP’s best practice in their GoM region has multiple approaches. From their SASI model to other business operational models, learn about how they ensure that the risk conversation around retaliation is “operationalized” and that everyone in their business recognizes this potential risk and more importantly, is equipped to mitigate and manage risks.
12:00 pm - 1:00 pm
Lunch
1:00 pm - 2:00 pm
What Can We Learn from Theranos?
From its inception, Theranos has been in the news and a source of fascination. What can we learn from the Theranos story and the experience of someone who worked there. Join Tyler Shultz, widely portrayed in print and documentaries as one of the key Theranos Whistleblowers, and Brad Agle, Romney Endowed Professor of Ethics and Leadership at BYU, as we consider the circumstances that led to the collapse of a Silicon Valley multi-billion dollar technology startup.
Speakers:
Brad Agle, Tyler Shultz
2:00 pm - 2:30 pm
Conclusion & Next Steps
Earnie Broughton
Earnie Broughton
Senior Advisor, Ethics & Compliance Initiative
Earnie Broughton is Senior Advisor to the Ethics & Compliance Initiative. He previously served as Director of the M.B.A. and Executive Education programs in the Greehey School of Business at St. Mary’s University in San Antonio from 2011 to 2016. Prior to joining St. Mary’s, Earnie served as Executive Director, Ethics Program Coordinator, for United Services Automobile Association (USAA) from 2000 to 2011. He has an additional 20 years’ experience in Human Resources and Consumer Lending executive management in the financial services sector. Earnie has served in a variety of leadership roles in the Ethics and Compliance Association and the ECI Fellows Program over the past 20 years and is Co-founder and Chairman of the Greater San Antonio Ethics and Compliance Roundtable. He earned a bachelor’s degree in Sociology from Texas State University, a Master’s degree in Industrial & Organizational Psychology from St. Mary’s University and certification as a Leadership Professional in Ethics and Compliance through the ECI.
Patricia J. Harned Ph.D.
Patricia J. Harned Ph.D.
Chief Executive Officer | Ethics & Compliance Initiative
Patricia Harned is chief executive officer of the Ethics & Compliance Initiative (ECI). Established in 1922, ECI is a nonprofit with a mission to empower organizations to operate with integrity. For nearly two decades as CEO, Dr. Harned has overseen all of ECI’s strategy and operations. In that time ECI has become the leading provider of independent research about workplace integrity, the drivers of organizational culture, and effective compliance programs. Dr. Harned is a recognized expert on culture change, ethical leadership, and workplace reporting/retaliation. She leads ECI’s advisory service practice. Clients have included 200+ prominent organizations, often working to regain stakeholder trust following significant matters of misconduct. Dr. Harned has participated as a member of several independent monitoring teams, imposed by federal enforcement agencies as a part of corporate settlement agreements. Dr. Harned also directs outreach efforts to policymakers and federal enforcement agencies in Washington, DC. She has provided ethics & compliance briefings to officials in the US Department of Justice, testified before Congress and the U.S. Sentencing Commission, and she has personally briefed U.S. Secretary of Defense Ash Carter, the OSHA Whistleblower Protection Advisory Committee, and the Federal Bar Council on strategies to increase effective reporting of suspected misconduct. Dr. Harned also regularly provides training to corporate boards of directors on topics related to governance, and she is chairing a Blue-Ribbon Commission to define effective corporate environmental, social, and governance (ESG) programs. Dr. Harned is a multi-year honoree as one of Ethisphere Magazine’s 100 Most Influential People in Business Ethics. She is also a multi-year honoree as a Top Thought Leader in Trust; a recognition offered by Trust Across America. She was a member of the PCAOB Standing Advisory Group, and she currently serves on the board of the U.S. Center for SafeSport as well as the International Association of Independent Corporate Monitors (IAICM). Dr. Harned holds a bachelor of science degree from Elizabethtown College in Pennsylvania, a masters of education degree from Indiana University, and a doctorate from the University of Pittsburgh.
Alicia Olmstead
Alicia Olmstead
Global Ethics & Compliance Consultant, Dell Inc.
Alicia Olmstead is a Global Ethics & Compliance Consultant for Dell Technologies where she oversees the Global Ethics Program which includes conflicts of interest, gifts & hospitality, anti-retaliation and speaking up. Before working for Dell, Alicia was a Senior Ethics Program Advisor at USAA and the Assistant Integrity Officer for the City of Austin in Austin, Texas. Her 14 years of experience spans both public and private sector and reaches into all facets of ethics programming. She created the City of Austin’s first fully developed ethics program, and at USAA she organized the first company-wide Ethics & Compliance Event and designed an award winning-ethics training module. Alicia has had the pleasure of working for two World’s Most Ethical Companies and contributes regularly to industry conferences and working groups. She holds an M.S. in Organizational Leadership & Ethics from St. Edward’s University and an undergraduate degree from Brigham Young University. Alicia lives in San Antonio, TX with her husband and two sons.
Keri Wood
Keri Wood
Senior Compliance Lead, Health Services Industry
Keri Wood has been in the field of Ethics and Compliance for eight years. She began her professional career focusing on regulatory compliance in workers’ compensation before expanding to focus on ethics and broader compliance support for a national insurance and health services company. After more than five years in that field, Keri transitioned to a role focused on ethics and compliance for a private, for-profit prison company. In this role, Keri administered the employee ethics hotline, fielding and investigating instances of employee misconduct and assisting employees with reconciliation and appropriate resolution. It was during this time that Keri’s interest in anti-retaliation best practices piqued. She worked with employees at all levels of the company who felt they were experiencing retaliation. Keri began working to determine how to change the culture around retaliation in her company and across industries. Earlier in 2019, Keri made a career move to return to the insurance and health services industry and is once again the point of contact for ethics and compliance matters and the privacy investigator for the business lines which she supports. Keri is a graduate of Mississippi College School of Law and holds a bachelor’s degree from Troy University. She has lived in the Nashville, Tennessee, area for eight years. In her spare time, Keri enjoys reading, traveling, cooking, and exploring all Nashville has to offer.
Mike Camilleri
Mike Camilleri
Senior Director & Associate General Counsel, United Technologies Corporation
Mike Camilleri is the executive lead and compliance counsel for the international Ethics & Compliance team of United Technologies Corporation’s Pratt & Whitney Division. He also has responsibility for the International Trade Compliance investigations team and some program execution teams. Prior to joining Pratt & Whitney in 2012, Mike was a partner at the law firm of Brown Rudnick. He earned his bachelor’s degree from Trinity College (Hartford, CT) and his law degree from the University of Connecticut School of Law (Hartford, CT).
Robin Rohmer
Robin Rohmer
Executive Director/Ethics and Compliance, KPMG LLP
Robin Rohmer is Director with KPMG LLP’s Ethics and Compliance Group. She is responsible for conducting investigations resulting from hotline filings and human resource referrals. She manages the Firm’s retaliation monitoring process – a pro-active program to monitor participants in investigations who may be at risk of retaliation. She has presented at conferences, meetings and webcasts sponsored by the ECI and previously served on the ECI’s non-retaliation working group. Prior to joining KPMG in 2008, she spent over 20 years in the mortgage and financial services industry managing accounting groups and internal audit functions. She is a graduate of the University of North Texas, is a Certified Management Accountant and a member of the Institute of Management Accountants.
Wendy Evans
Wendy Evans
Senior Corporate Ethics Investigator, Lockheed Martin Corporation
Wendy Evans is a Corporate Senior Manager with the Lockheed Martin Ethics and Enterprise Assurance organization. Wendy’s career began in law enforcement, including service as an FBI agent (white collar crime and counterintelligence assignments) and police officer. Wendy is a Certified Fraud Examiner (CFE) and member of the Association of Certified Fraud examiners. She is also a Certified Compliance and Ethics Professional (CCEP) with the Society of Corporate Ethics and Compliance. Wendy is a member of the Ethics and Compliance Initiative (ECI), as well as other professional organizations. Wendy has been a featured national speaker on ethics, compliance, security and investigative topics. Wendy holds a Bachelor of Arts degree in Government Studies and Communications (Broadcasting) from Western Kentucky University.
C. Nathan DeWall
C. Nathan DeWall
Professor of Psychology and Director of the Social Psychology Lab, University of Kentucky.
C. Nathan DeWall is Professor of Psychology and Director of the Social Psychology Lab at the University of Kentucky. With David Myers, he is co-author of a series of introductory psychology textbooks published by Worth Publishers. Nathan received his Bachelor’s Degree from St. Olaf College, a Master’s Degree in Social Science from the University of Chicago, and a Master’s degree and Ph.D. in Social Psychology from Florida State University. He received the 2011 College of Arts and Sciences Outstanding Teaching Award, which recognizes excellence in undergraduate and graduate teaching. In 2011, the Association for Psychological Science identified DeWall as a “Rising Star” for “making significant contributions to the field of psychological science.” Nathan conducts research on close relationships, self-control, and aggression. With funding from the National Institutes of Health and the National Science Foundation, he has published over 150 scientific articles and chapters. Nathan’s research awards include the SAGE Young Scholars award from the Foundation for Personality and Social Psychology, the Young Investigator Award from the International Society for Research on Aggression, and the Early Career Award from the International Society for Self and Identity. His research has been covered by numerous media outlets, including "Good Morning America," Newsweek, Atlantic Monthly, New York Times, Los Angeles Times, Harvard Business Review, and National Public Radio. Nathan blogs for Psychology Today and writes for the New York Times and Quartz. He has lectured nationally and internationally, including in Hong Kong, China, the Netherlands, England, Greece, Hungary, and Australia.
Andrea Falcione
Andrea Falcione
Principal and Head of Advisory Services, ReThink Compliance
Andrea is an attorney with over 20 years of legal and compliance experience in a number of different capacities. Most recently, she spent more than five years as Managing Director and Compliance & Ethics Solutions leader at PwC. Andrea is a frequent speaker at industry conferences and events, has led several compliance benchmarking studies, and is the author of many compliance-related whitepapers.
Dana Gold
Dana Gold
is Senior Counsel and Director of Education, Government Accountability Project
Dana Gold is Senior Counsel and Director of Education of the Government Accountability Project, the leading whistleblower advocacy organization protecting whistleblowers and ensuring their disclosures make a difference. Dana educates diverse audiences about the essential role whistleblowers play in promoting accountability and democracy, and facilitates partnerships with key stakeholders, including journalists, attorneys, activists, ethics and compliance professionals, academics and others. She is also currently the lead counsel for the three Department of Homeland Security whistleblowers who have disclosed systemic risk of harm to both children and adult migrants in detention. Prior to her current role with GAP, Dana served as GAP’s Director of Operations and as a staff attorney representing whistleblowers who disclosed fraud and serious public health, safety, and the environmental threats on the Trans-Alaskan pipeline and at contractor-operated nuclear sites, including Hanford, Rocky Flats, and Los Alamos. In addition to having represented and worked with dozens of whistleblowers over the past 25 years, Dana co-founded and directed the Center on Corporations, Law & Society at Seattle University School of Law, served as Program Director for Corporate Governance Executive Education at Boston College Law School, and served as an employee advocate member of the Hanford Concerns Council, a unique alternative dispute resolution forum that resolved complex whistleblower issues at the Hanford nuclear site in Washington state. Dana, a former Network Fellow with Harvard University’s Edmond J. Safra Center for Ethics, has had her work featured in The Washington Post, Slate, The Hill, CNN, and WNYC's On the Media.
Alison Fragale
Alison Fragale
Founder, Echelon Executive Leadership Associate Professor of Organizational Behavior University of North Carolina
Alison Fragale educates and inspires audiences by discussing the science of psychology and organizational behavior in a relaxed, relatable way. Alison is the founder of Echelon Executive Leadership, which provides negotiation and leadership development services to organizations and their leaders. She is also the Mary Farley Ames Lee Fellow and Associate Professor of Organizational Behavior at the University of North Carolina at Chapel Hill's Kenan-Flagler Business School, joining the faculty in 2004. An award-winning teacher, Alison has served more than a decade as a speaker, instructor, or consultant on leadership, psychology and negotiation for executives in numerous organizations. Her clients include Russell Reynolds Associates, TPG Sixth Street Partners, @properties, Lowe's Home Improvement, ExxonMobil, Schneider Electric, Eastman Chemical, AvalonBay, Post Properties, Navy Federal Credit Union, the U.S. Department of Veterans Affairs, and the U.S. Army, Air Force, Marine Corps, and Navy. Her instruction on the psychology of power and leadership is part of the required general officer curriculum in both the U.S. Army and Air Force. Alison received her B.A. in Mathematics and Economics, magna cum laude, from Dartmouth College, where she recently concluded a nine-year term on the Board of Visitors of the Nelson A. Rockefeller Center for Public Policy and the Social Sciences. She also holds a Ph.D. in Organizational Behavior from the Stanford University Graduate School of Business. Prior to pursuing her Ph.D., Alison worked as a management consultant for McKinsey & Company, Inc.
Aaron Lipson
Aaron Lipson
Partner, Special Matters and Government Investigations, King & Spalding
Aaron Lipson counsels public companies, investment advisers, broker-dealers, accounting firms, private funds, and individuals facing complex government investigations. Aaron also assists regulated entities with compliance matters and advises boards of directors with respect to independent investigations and disclosure matters. A partner in our Special Matters and Government Investigations practice, Aaron brings nearly 15 years of experience as a senior enforcement official at the U.S. Securities and Exchange Commission (SEC) where he led the enforcement program for the SEC’s Atlanta Regional Office. Aaron oversaw a wide variety of investigations including those related to financial fraud, manipulative market practices, insider trading, cyber-intrusions, breaches of fiduciary duty, failures to disclose conflicts of interest, and unregistered offerings. As an Associate Director in the SEC’s Division of Enforcement, Aaron supervised a team of over 60 attorneys, accountants and other professionals. In addition to having primary responsibility for all regional investigations, Aaron exercised significant oversight with respect to the SEC’s Wells process and whistleblower and cooperation programs. Aaron also routinely partnered with federal and state law enforcement and regulatory agencies throughout the nation, including the U.S. Department of Justice, various U.S. Attorney’s Offices, the Federal Bureau of Investigation, the U.S. Secret Service, the U.S. Commodity Futures Trading Commission, the Consumer Financial Protection Bureau, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the U.S. Department of Labor, and the Public Company Accounting Oversight Board among others. These agencies regularly invited Aaron to conduct trainings for their staff on white collar investigative practices and emerging issues in financial regulation. While at the SEC, Aaron was a senior manager in the agency’s Complex Financial Instruments Specialized Enforcement Unit, focusing on securitizations and the retail marketing of structured products. Aaron also led one of the SEC’s intra-agency working groups that focused on cross-border transactions as well as attorney and auditor liability. At times, Aaron represented the agency on the President’s Financial Fraud Task Force and the RMBS Working Group. In this capacity, Aaron played key roles in several of the most significant multi-agency coordinated investigations and criminal prosecutions arising from the financial crisis. Aaron is also an adjunct professor at the Emory University School of Law, where he co-teaches an upper level class focused on securities enforcement and government investigations. Prior to joining the SEC, Aaron was an associate from 2000 – 2004 at an Atlanta law firm specializing in financial services litigation.
Allison Greene-Sands
Allison Greene-Sands
Chief Strategy Officer, Department of Defense
Allison Greene-Sands, PhD, is the Acting Director at the Department of Defense (DoD) Office for Diversity, Equity, and Inclusion (ODEI). Prior to ODEI, she was the Acting Deputy Director of Force Resiliency (OFR), which oversees sexual assault prevention and response; suicide prevention; diversity, inclusion, and equal opportunity; drug demand reduction; and collaboration with the Department of Veterans’ Affairs. Dr. Greene-Sands also previously served as the Chief Strategy Officer at the DoD Sexual Assault Prevention and Response Office (SAPRO), where she led the Director’s Action Group and oversaw strategic communications and public affairs. Before SAPRO, she was the Associate Director of Culture for the Defense Language and National Security Education Office, directing research and policy development on cross-cultural competence, regional expertise, and foreign language. Dr. Greene-Sands is the co-editor of Cross-Cultural Competence for a Twenty-First-Century Military (2014), and has lectured on the importance of culture in national security strategy, and the synergy of cross-cultural and diversity competence in leadership development. In addition, she served as an Adjunct Faculty member for Norwich University’s Security Studies and Defense Analyses Program from 2012-2015, teaching predominantly deployed Special Forces personnel. She founded and is currently the Co-Chair of the Culture Committee that meets monthly at the Interagency Language Roundtable. She is also on the Board of Directors of a non-profit organization supporting at-risk Veterans through health and wellness programs. Dr. Greene-Sands is currently a member of the Forum on Global Violence Prevention for the National Academy of Sciences, Engineering, and Medicines. She also served for three years (2014-2016) as the Department’s representative on the White House Task Force to Protect Students from Sexual Assault. In September 2016, she received the Secretary of Defense Medal for Exceptional Civilian Service for her work at SAPRO that included a report to the President on sexual assault in the military and the development of a DoD strategy to combat retaliation after a report of sexual assault or sexual harassment. Before joining the DoD, Dr. Greene-Sands worked for multiple non-profit organizations supporting intercultural conflict resolution initiatives addressing divides due to race, religion, ethnicity, and national identity in the Middle East, South Africa, Northern Ireland, and Cyprus. Additionally, she was a doctoral intern at NATO’s Supreme Allied Command Atlantic, now Allied Command Transformation. Dr. Greene-Sands earned both her Master’s and PhD in International Studies from Old Dominion University, while concurrently serving as an assistant coach for the women’s basketball team. She earned her BA in Philosophy at Dartmouth College and spent a semester studying abroad in France.
Brad Agle
Brad Agle
George W. Romney Endowed Professor, and Professor of Ethics and Leadership, Marriott School of Management at Brigham Young University (BYU)
Brad Agle is the George W. Romney Endowed Professor, and Professor of Ethics and Leadership in the Marriott School of Business at Brigham Young University. A former president of the International Association for Business and Society, he currently serves on the editorial board of Business Ethics Quarterly, the advisory board of the RLG Group, the board of the BYU Management Society, as chair of the Wheatley Institution’s ethics initiative, and as founder and chairman of Merit Leadership. From 1992-2009 he was a professor at the University of Pittsburgh, and the inaugural director of the Berg Center for Ethics and Leadership. Dr. Agle’s writings appear in the top academic journals in management and ethics, are highly cited, and frequently featured in prominent news outlets. His popular book The Business Ethics Field Guide was published in 2016. He is a recipient of multiple research, citizenship, and teaching awards, including Distinguished Professor of the Year honors, and has provided board and executive training for many organizations including Alcoa, Federated Investors, Mellon Financial, US Steel, and U.S. Marine Corps. He has been a guest on various programs including CNBC’s Morning Call, Power Lunch, and Closing Bell. He and his wife Kristi have four children and seven grandchildren.
Tyler Shultz
Tyler Shultz
Founder and CEO of Flux Biosciences
Tyler Shultz is the founder and CEO of Flux Biosciences, a startup firm in the medical diagnostics field. He is a recipient of a bachelor’s degree in biology from Stanford University and later worked there as a researcher. Most famously, he worked at the company Theranos, where he took important steps to fight against and then expose the fraud at the company. He is featured in the book Bad Blood and in the HBO movie The Inventor. Along with Erika Cheung, he is a co-founder of the non-profit organization Ethics in Entrepreneurship.

Speakers

  • Aaron Lipson
    Aaron Lipson
    Partner, Special Matters and Government Investigations, King & Spalding

    Aaron Lipson counsels public companies, investment advisers, broker-dealers, accounting firms, private funds, and individuals facing complex government investigations. Aaron also assists regulated entities with compliance matters and advises boards of directors with respect to independent investigations and disclosure matters.

    A partner in our Special Matters and Government Investigations practice, Aaron brings nearly 15 years of experience as a senior enforcement official at the U.S. Securities and Exchange Commission (SEC) where he led the enforcement program for the SEC’s Atlanta Regional Office. Aaron oversaw a wide variety of investigations including those related to financial fraud, manipulative market practices, insider trading, cyber-intrusions, breaches of fiduciary duty, failures to disclose conflicts of interest, and unregistered offerings.

    As an Associate Director in the SEC’s Division of Enforcement, Aaron supervised a team of over 60 attorneys, accountants and other professionals. In addition to having primary responsibility for all regional investigations, Aaron exercised significant oversight with respect to the SEC’s Wells process and whistleblower and cooperation programs.

    Aaron also routinely partnered with federal and state law enforcement and regulatory agencies throughout the nation, including the U.S. Department of Justice, various U.S. Attorney’s Offices, the Federal Bureau of Investigation, the U.S. Secret Service, the U.S. Commodity Futures Trading Commission, the Consumer Financial Protection Bureau, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the U.S. Department of Labor, and the Public Company Accounting Oversight Board among others. These agencies regularly invited Aaron to conduct trainings for their staff on white collar investigative practices and emerging issues in financial regulation.

    While at the SEC, Aaron was a senior manager in the agency’s Complex Financial Instruments Specialized Enforcement Unit, focusing on securitizations and the retail marketing of structured products. Aaron also led one of the SEC’s intra-agency working groups that focused on cross-border transactions as well as attorney and auditor liability. At times, Aaron represented the agency on the President’s Financial Fraud Task Force and the RMBS Working Group. In this capacity, Aaron played key roles in several of the most significant multi-agency coordinated investigations and criminal prosecutions arising from the financial crisis.

    Aaron is also an adjunct professor at the Emory University School of Law, where he co-teaches an upper level class focused on securities enforcement and government investigations.

    Prior to joining the SEC, Aaron was an associate from 2000 – 2004 at an Atlanta law firm specializing in financial services litigation.

  • Alicia Olmstead
    Alicia Olmstead
    Global Ethics & Compliance Consultant, Dell Inc.

    Alicia Olmstead is a Global Ethics & Compliance Consultant for Dell Technologies where she oversees the Global Ethics Program which includes conflicts of interest, gifts & hospitality, anti-retaliation and speaking up. Before working for Dell, Alicia was a Senior Ethics Program Advisor at USAA and the Assistant Integrity Officer for the City of Austin in Austin, Texas. Her 14 years of experience spans both public and private sector and reaches into all facets of ethics programming. She created the City of Austin’s first fully developed ethics program, and at USAA she organized the first company-wide Ethics & Compliance Event and designed an award winning-ethics training module. Alicia has had the pleasure of working for two World’s Most Ethical Companies and contributes regularly to industry conferences and working groups. She holds an M.S. in Organizational Leadership & Ethics from St. Edward’s University and an undergraduate degree from Brigham Young University. Alicia lives in San Antonio, TX with her husband and two sons.

  • Alison Fragale
    Alison Fragale
    Founder, Echelon Executive Leadership Associate Professor of Organizational Behavior University of North Carolina

    Alison Fragale educates and inspires audiences by discussing the science of psychology and organizational behavior in a relaxed, relatable way. Alison is the founder of Echelon Executive Leadership, which provides negotiation and leadership development services to organizations and their leaders. She is also the Mary Farley Ames Lee Fellow and Associate Professor of Organizational Behavior at the University of North Carolina at Chapel Hill’s Kenan-Flagler Business School, joining the faculty in 2004.

    An award-winning teacher, Alison has served more than a decade as a speaker, instructor, or consultant on leadership, psychology and negotiation for executives in numerous organizations. Her clients include Russell Reynolds Associates, TPG Sixth Street Partners, @properties, Lowe’s Home Improvement, ExxonMobil, Schneider Electric, Eastman Chemical, AvalonBay, Post Properties, Navy Federal Credit Union, the U.S. Department of Veterans Affairs, and the U.S. Army, Air Force, Marine Corps, and Navy. Her instruction on the psychology of power and leadership is part of the required general officer curriculum in both the U.S. Army and Air Force.

    Alison received her B.A. in Mathematics and Economics, magna cum laude, from Dartmouth College, where she recently concluded a nine-year term on the Board of Visitors of the Nelson A. Rockefeller Center for Public Policy and the Social Sciences. She also holds a Ph.D. in Organizational Behavior from the Stanford University Graduate School of Business. Prior to pursuing her Ph.D., Alison worked as a management consultant for McKinsey & Company, Inc.

  • Allison Greene-Sands
    Allison Greene-Sands
    Chief Strategy Officer, Department of Defense

    Allison Greene-Sands, PhD, is the Acting Director at the Department of Defense (DoD) Office for Diversity, Equity, and Inclusion (ODEI). Prior to ODEI, she was the Acting Deputy Director of Force Resiliency (OFR), which oversees sexual assault prevention and response; suicide prevention; diversity, inclusion, and equal opportunity; drug demand reduction; and collaboration with the Department of Veterans’ Affairs. Dr. Greene-Sands also previously served as the Chief Strategy Officer at the DoD Sexual Assault Prevention and Response Office (SAPRO), where she led the Director’s Action Group and oversaw strategic communications and public affairs. Before SAPRO, she was the Associate Director of Culture for the Defense Language and National Security Education Office, directing research and policy development on cross-cultural competence, regional expertise, and foreign language.

    Dr. Greene-Sands is the co-editor of Cross-Cultural Competence for a Twenty-First-Century Military (2014), and has lectured on the importance of culture in national security strategy, and the synergy of cross-cultural and diversity competence in leadership development. In addition, she served as an Adjunct Faculty member for Norwich University’s Security Studies and Defense Analyses Program from 2012-2015, teaching predominantly deployed Special Forces personnel. She founded and is currently the Co-Chair of the Culture Committee that meets monthly at the Interagency Language Roundtable. She is also on the Board of Directors of a non-profit organization supporting at-risk Veterans through health and wellness programs.

    Dr. Greene-Sands is currently a member of the Forum on Global Violence Prevention for the National Academy of Sciences, Engineering, and Medicines. She also served for three years (2014-2016) as the Department’s representative on the White House Task Force to Protect Students from Sexual Assault. In September 2016, she received the Secretary of Defense Medal for Exceptional Civilian Service for her work at SAPRO that included a report to the President on sexual assault in the military and the development of a DoD strategy to combat retaliation after a report of sexual assault or sexual harassment.

    Before joining the DoD, Dr. Greene-Sands worked for multiple non-profit organizations supporting intercultural conflict resolution initiatives addressing divides due to race, religion, ethnicity, and national identity in the Middle East, South Africa, Northern Ireland, and Cyprus. Additionally, she was a doctoral intern at NATO’s Supreme Allied Command Atlantic, now Allied Command Transformation.

    Dr. Greene-Sands earned both her Master’s and PhD in International Studies from Old Dominion University, while concurrently serving as an assistant coach for the women’s basketball team. She earned her BA in Philosophy at Dartmouth College and spent a semester studying abroad in France.

  • Andrea Falcione
    Andrea Falcione
    Principal and Head of Advisory Services, ReThink Compliance

    Andrea is an attorney with over 20 years of legal and compliance experience in a number of different capacities. Most recently, she spent more than five years as Managing Director and Compliance & Ethics Solutions leader at PwC. Andrea is a frequent speaker at industry conferences and events, has led several compliance benchmarking studies, and is the author of many compliance-related whitepapers.

  • Brad Agle
    Brad Agle
    George W. Romney Endowed Professor, and Professor of Ethics and Leadership, Marriott School of Management at Brigham Young University (BYU)

    Brad Agle is the George W. Romney Endowed Professor, and Professor of Ethics and Leadership in the Marriott School of Business at Brigham Young University. A former president of the International Association for Business and Society, he currently serves on the editorial board of Business Ethics Quarterly, the advisory board of the RLG Group, the board of the BYU Management Society, as chair of the Wheatley Institution’s ethics initiative, and as founder and chairman of Merit Leadership. From 1992-2009 he was a professor at the University of Pittsburgh, and the inaugural director of the Berg Center for Ethics and Leadership.

    Dr. Agle’s writings appear in the top academic journals in management and ethics, are highly cited, and frequently featured in prominent news outlets. His popular book The Business Ethics Field Guide was published in 2016. He is a recipient of multiple research, citizenship, and teaching awards, including Distinguished Professor of the Year honors, and has provided board and executive training for many organizations including Alcoa, Federated Investors, Mellon Financial, US Steel, and U.S. Marine Corps. He has been a guest on various programs including CNBC’s Morning Call, Power Lunch, and Closing Bell. He and his wife Kristi have four children and seven grandchildren.

  • C. Nathan DeWall
    C. Nathan DeWall
    Professor of Psychology and Director of the Social Psychology Lab, University of Kentucky.

    C. Nathan DeWall is Professor of Psychology and Director of the Social Psychology Lab at the University of Kentucky. With David Myers, he is co-author of a series of introductory psychology textbooks published by Worth Publishers.

    Nathan received his Bachelor’s Degree from St. Olaf College, a Master’s Degree in Social Science from the University of Chicago, and a Master’s degree and Ph.D. in Social Psychology from Florida State University. He received the 2011 College of Arts and Sciences Outstanding Teaching Award, which recognizes excellence in undergraduate and graduate teaching. In 2011, the Association for Psychological Science identified DeWall as a “Rising Star” for “making significant contributions to the field of psychological science.”

    Nathan conducts research on close relationships, self-control, and aggression. With funding from the National Institutes of Health and the National Science Foundation, he has published over 150 scientific articles and chapters. Nathan’s research awards include the SAGE Young Scholars award from the Foundation for Personality and Social Psychology, the Young Investigator Award from the International Society for Research on Aggression, and the Early Career Award from the International Society for Self and Identity. His research has been covered by numerous media outlets, including “Good Morning America,” Newsweek, Atlantic Monthly, New York Times, Los Angeles Times, Harvard Business Review, and National Public Radio. Nathan blogs for Psychology Today and writes for the New York Times and Quartz. He has lectured nationally and internationally, including in Hong Kong, China, the Netherlands, England, Greece, Hungary, and Australia.

  • Dana Gold
    Dana Gold
    is Senior Counsel and Director of Education, Government Accountability Project

    Dana Gold is Senior Counsel and Director of Education of the Government Accountability Project, the leading whistleblower advocacy organization protecting whistleblowers and ensuring their disclosures make a difference. Dana educates diverse audiences about the essential role whistleblowers play in promoting accountability and democracy, and facilitates partnerships with key stakeholders, including journalists, attorneys, activists, ethics and compliance professionals, academics and others. She is also currently the lead counsel for the three Department of Homeland Security whistleblowers who have disclosed systemic risk of harm to both children and adult migrants in detention. Prior to her current role with GAP, Dana served as GAP’s Director of Operations and as a staff attorney representing whistleblowers who disclosed fraud and serious public health, safety, and the environmental threats on the Trans-Alaskan pipeline and at contractor-operated nuclear sites, including Hanford, Rocky Flats, and Los Alamos.

    In addition to having represented and worked with dozens of whistleblowers over the past 25 years, Dana co-founded and directed the Center on Corporations, Law & Society at Seattle University School of Law, served as Program Director for Corporate Governance Executive Education at Boston College Law School, and served as an employee advocate member of the Hanford Concerns Council, a unique alternative dispute resolution forum that resolved complex whistleblower issues at the Hanford nuclear site in Washington state. Dana, a former Network Fellow with Harvard University’s Edmond J. Safra Center for Ethics, has had her work featured in The Washington Post, Slate, The Hill, CNN, and WNYC’s On the Media.

  • Earnie Broughton
    Earnie Broughton
    Senior Advisor, Ethics & Compliance Initiative

    Earnie Broughton is Senior Advisor to the Ethics & Compliance Initiative. He previously served as Director of the M.B.A. and Executive Education programs in the Greehey School of Business at St. Mary’s University in San Antonio from 2011 to 2016. Prior to joining St. Mary’s, Earnie served as Executive Director, Ethics Program Coordinator, for United Services Automobile Association (USAA) from 2000 to 2011. He has an additional 20 years’ experience in Human Resources and Consumer Lending executive management in the financial services sector.

    Earnie has served in a variety of leadership roles in the Ethics and Compliance Association and the ECI Fellows Program over the past 20 years and is Co-founder and Chairman of the Greater San Antonio Ethics and Compliance Roundtable. He earned a bachelor’s degree in Sociology from Texas State University, a Master’s degree in Industrial & Organizational Psychology from St. Mary’s University and certification as a Leadership Professional in Ethics and Compliance through the ECI.

  • Keri Wood
    Keri Wood
    Senior Compliance Lead, Health Services Industry

    Keri Wood has been in the field of Ethics and Compliance for eight years. She began her professional career focusing on regulatory compliance in workers’ compensation before expanding to focus on ethics and broader compliance support for a national insurance and health services company. After more than five years in that field, Keri transitioned to a role focused on ethics and compliance for a private, for-profit prison company. In this role, Keri administered the employee ethics hotline, fielding and investigating instances of employee misconduct and assisting employees with reconciliation and appropriate resolution. It was during this time that Keri’s interest in anti-retaliation best practices piqued. She worked with employees at all levels of the company who felt they were experiencing retaliation. Keri began working to determine how to change the culture around retaliation in her company and across industries.

    Earlier in 2019, Keri made a career move to return to the insurance and health services industry and is once again the point of contact for ethics and compliance matters and the privacy investigator for the business lines which she supports.

    Keri is a graduate of Mississippi College School of Law and holds a bachelor’s degree from Troy University. She has lived in the Nashville, Tennessee, area for eight years. In her spare time, Keri enjoys reading, traveling, cooking, and exploring all Nashville has to offer.

  • Mike Camilleri
    Mike Camilleri
    Senior Director & Associate General Counsel, United Technologies Corporation

    Mike Camilleri is the executive lead and compliance counsel for the international Ethics & Compliance team of United Technologies Corporation’s Pratt & Whitney Division. He also has responsibility for the International Trade Compliance investigations team and some program execution teams. Prior to joining Pratt & Whitney in 2012, Mike was a partner at the law firm of Brown Rudnick. He earned his bachelor’s degree from Trinity College (Hartford, CT) and his law degree from the University of Connecticut School of Law (Hartford, CT).

  • Patricia J. Harned Ph.D.
    Patricia J. Harned Ph.D.
    Chief Executive Officer | Ethics & Compliance Initiative

    Patricia Harned is chief executive officer of the Ethics & Compliance Initiative (ECI). Established in 1922, ECI is a nonprofit with a mission to empower organizations to operate with integrity.

    For nearly two decades as CEO, Dr. Harned has overseen all of ECI’s strategy and operations. In that time ECI has become the leading provider of independent research about workplace integrity, the drivers of organizational culture, and effective compliance programs. Dr. Harned is a recognized expert on culture change, ethical leadership, and workplace reporting/retaliation. She leads ECI’s advisory service practice. Clients have included 200+ prominent organizations, often working to regain stakeholder trust following significant matters of misconduct. Dr. Harned has participated as a member of several independent monitoring teams, imposed by federal enforcement agencies as a part of corporate settlement agreements.

    Dr. Harned also directs outreach efforts to policymakers and federal enforcement agencies in Washington, DC. She has provided ethics & compliance briefings to officials in the US Department of Justice, testified before Congress and the U.S. Sentencing Commission, and she has personally briefed U.S. Secretary of Defense Ash Carter, the OSHA Whistleblower Protection Advisory Committee, and the Federal Bar Council on strategies to increase effective reporting of suspected misconduct. Dr. Harned also regularly provides training to corporate boards of directors on topics related to governance, and she is chairing a Blue-Ribbon Commission to define effective corporate environmental, social, and governance (ESG) programs.

    Dr. Harned is a multi-year honoree as one of Ethisphere Magazine’s 100 Most Influential People in Business Ethics. She is also a multi-year honoree as a Top Thought Leader in Trust; a recognition offered by Trust Across America. She was a member of the PCAOB Standing Advisory Group, and she currently serves on the board of the U.S. Center for SafeSport as well as the International Association of Independent Corporate Monitors (IAICM).

    Dr. Harned holds a bachelor of science degree from Elizabethtown College in Pennsylvania, a masters of education degree from Indiana University, and a doctorate from the University of Pittsburgh.

  • Robin Rohmer
    Robin Rohmer
    Executive Director/Ethics and Compliance, KPMG LLP

    Robin Rohmer is Director with KPMG LLP’s Ethics and Compliance Group. She is responsible for conducting investigations resulting from hotline filings and human resource referrals. She manages the Firm’s retaliation monitoring process – a pro-active program to monitor participants in investigations who may be at risk of retaliation.

    She has presented at conferences, meetings and webcasts sponsored by the ECI and previously served on the ECI’s non-retaliation working group.
    Prior to joining KPMG in 2008, she spent over 20 years in the mortgage and financial services industry managing accounting groups and internal audit functions. She is a graduate of the University of North Texas, is a Certified Management Accountant and a member of the Institute of Management Accountants.

  • Tyler Shultz
    Tyler Shultz
    Founder and CEO of Flux Biosciences

    Tyler Shultz is the founder and CEO of Flux Biosciences, a startup firm in the medical diagnostics field. He is a recipient of a bachelor’s degree in biology from Stanford University and later worked there as a researcher. Most famously, he worked at the company Theranos, where he took important steps to fight against and then expose the fraud at the company. He is featured in the book Bad Blood and in the HBO movie The Inventor. Along with Erika Cheung, he is a co-founder of the non-profit organization Ethics in Entrepreneurship.

  • Wendy Evans
    Wendy Evans
    Senior Corporate Ethics Investigator, Lockheed Martin Corporation

    Wendy Evans is a Corporate Senior Manager with the Lockheed Martin Ethics and Enterprise Assurance organization. Wendy’s career began in law enforcement, including service as an FBI agent (white collar crime and counterintelligence assignments) and police officer. Wendy is a Certified Fraud Examiner (CFE) and member of the Association of Certified Fraud examiners. She is also a Certified Compliance and Ethics Professional (CCEP) with the Society of Corporate Ethics and Compliance. Wendy is a member of the Ethics and Compliance Initiative (ECI), as well as other professional organizations. Wendy has been a featured national speaker on ethics, compliance, security and investigative topics. Wendy holds a Bachelor of Arts degree in Government Studies and Communications (Broadcasting) from Western Kentucky University.

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