A –Vetting and On Boarding New Partners: Risk-Based Due Diligence Strategies for Evaluating
New Intermediaries, Brokers, Distributors, Suppliers and Agents

9:00 am – 12:30 pm (Registration begins at 8:30 am)

Julia Bailey
Assistant General Counsel
Honeywell

Jannette E. Hasan
Senior Counsel II -Assistant Corporate
Secretary, Law Department
Northrop Grumman Corporation

Alexandra Wrage
President
Trace Inc.

Danish Hamid
Partner
Cooley LLP

During this practical and interactive benchmarking session, attendees will gain a comprehensive overview of key factors to consider when seeking to uncover difficult to discern government relationships and connections when screening and vetting third parties. Walk away with nuts-and-bolts guidance on how to create a cost-effective and credible risk-based third-party vetting program as you are provided with concrete guidance and sample due diligence checklists your company can use to weigh various risk factors when evaluating potential third party vendors, contractors, brokers, agents or partners. Topics to be discussed during this interactive session will include:

• How to establish appropriate front-end vetting and screening protocols based on the type of relationship and interests represented by the third party - one size does not fit all
• how to utilize due diligence based on the level of risk and services provided by external third party
• background/reputation checks - what to look for before going too far in the diligence process
• How to evaluate background red and green flags - understanding how much government ownership is enough
  to interest the USDOJ
• ownership, qualifications, social and political connections and financial links
• government affiliations - particularly when foreign consulting agents/engineers or project managers are being used
• familial relationships/friendships
• lack of experience
• requests for payments outside of the territory
• working with local counsel
• coordinating with Embassies
• media/reputational checks
• in person meetings to verify representations/training
• additional heightened scrutiny when government owned
• Regional and local risks — what to look for when evaluating parties within certain countries
• Knowing how far down the chain to explore — determining which third party employees need to be screened
• determining exactly who will represent your company
• outlining the level of contact required with foreign officials by representatives and their third parties
• discussing flowing down terms/conditions
• Understanding the local business environment, customs,  corruption perception index
• What to do with information uncovered during the vetting process-making the decision regarding which parties to use/not use

B –Essential Elements of an Effective Third Party Oversight and Monitoring Program: How to Establish an Effective Third Party Auditing and Monitoring Program for Your Intermediaries, Distributors and Agents

2:00 pm – 5:30 pm (Registration begins at 1:30 pm)

Matthew Tanzer
Vice President and
Chief Compliance Officer
Tyco International

Rick Chapman
Assistant General Counsel
Halliburton

Manuel A. Abascal
Partner
Latham & Watkins LLP

Gavin L. Parrish
Senior Manager,
Investigations and Anti-Corruption
Control Risks

Alison Taylor
Senior Vice President and Director,
Corporate Investigations, Americas
Control Risks

Failure to uncover corruption problems with a third party can lead to disastrous outcomes once the relationship has been cemented. Posing a myriad of challenges for multi-national companies conducting business overseas and within emerging high risk markets, it is imperative to minimizing your company’s downstream FCPA risk exposure that you constantly audit and monitor these relationships. During this engaging and hands-on session, be provided with practical guidance and compliance tips for auditing your third parties with an eye towards uncovering and addressing potential corruption risks. During this session you will gain critical insights on how to:

• Develop an appropriate third party management plan — where to begin and identifying the essential elements of a third party management program
• Customize internal controls for effective third party oversight to detect and prevent local anti-bribery issues — how much is too much vs. too little oversight?
• Forced marriages — should you ever accept a partner who is forced upon you? How to manage such situations Work with state-owned entities — how to manage the risk
• Train your third parties on compliance requirements and expectations
• Perform compliance audits of your third party management program
• determining when such audits are necessary
• determining which entities to audit
• assessing the results and recognizing when a problem exists
• Terminate a relationship - knowing when to end the relationship
• Define the obligation to exercise “good faith” when monitoring your partners and third parties
  

Practical and Interactive Working Groups C & D | Wednesday, November 14, 2012

C – Inside the Mechanics of a Multi-Jurisdictional FCPA Investigation: Coordinating the Global Team and Handling International Document Collection, Employee Interviews and Foreign Agency Communication

9:00 am – 12:30 pm (Registration begins at 8:30 am)

Jay G. Martin
Vice President, Chief Compliance Officer and Senior Deputy
General Counsel
Baker Hughes

Richard N. Dean
Partner
Baker & McKenzie LLP

John Drimmer
Vice President, Assistant General Counsel
Barrick Gold

Joan E. Meyer
Partner
Baker & McKenzie LLP

Multi-jurisdictional investigations have become the new calling card of FCPA enforcement. Presenting a myriad of challenges for both companies as well as the counsel who represent them, this NEW interactive working group session will engage attendees in a step-by-step examination of how to oversee and survive a multi-jurisdictional FCPA investigation. Addressing everything from the nuances of communicating with several governments simultaneously to document collection and privilege issues to coordinating local and foreign counsel, this unique first-time session will provide attendees with a comprehensive roadmap for effectively managing a multi-agency FCPA investigation. Take note as the following important topics are addressed:

Coordinating the Team and Setting the Stage for the Investigation

• How to plan the investigation with a view toward case resolution
• Practical tips for conducting the investigation - how the process followed sets the stage for case resolution
• Screening foreign and local counsel, accountants and service providers - what to look for
• Understanding the role for each party engaged in each jurisdiction - counsel vs. accountants vs. other service providers
• How to coordinate counsel - who is in charge of what and when
• Addressing information sharing between jurisdictions
  • jurisdictional privacy/data restrictions
  • access to information - local regulation
• Responsibilities and duties of local counsel
  • outlining what decisions can be made by local counsel independently vs. those that need prior approval from the client
  • case coordination - document/data collection and management, interviews

Communicating with the Government

• Coordinating and communicating with several governments simultaneously - how to address information sharing and communication
• How to respond when requests made by one government agency may be in conflict with the laws of another country
• Cooperation - making the decision of what agency to contact first, second, last?
• What to divulge to each agency?
  

Self-Disclosure, Settlement and Resolution

• Self-disclosure
  • when and how to make the decision to disclose
  • understanding the impact of a self-disclosure on other concurrent government investigations, additional liability exposure (private litigation)
• Approaching settlement - weighing the pros and cons of negotiating settlements one-by-one vs. all at once
• Negotiating the actual resolution - understanding the role of policy and precedent
  • identifying points of leverage
  • coordinating negotiations with the SEC and DOJ
  • advocating a resolution
  • how to leverage negotiations with one agency when communicating with another
  • addressing the preclusive impact of a settlement in one country

D –Data and Document Management Strategies for FCPA Investigations: Practical Tools for Effectively Accessing, Obtaining and Controlling Data and Documents during an FCPA Investigation

2:00 pm – 5:30 pm (Registration begins at 1:30 pm)

Jacqueline Peterson
Global Anti-Corruption Attorney
Hewlett-Packard

Richard Fogarty
Managing Director - Litigation
Capstone Advisory Group, LLC

James T. Parkinson
Partner
BuckleySandler, LLP

Jay Reynolds
Managing Director
LUKOI L Pan Americas, LLC

Jamie Berry
Managing Director - Litigation
Capstone Advisory Group, LLC

An FCPA investigation can be both a frightening and a sobering experience. Often the determining factor in whether or not the Government is going to pursue formal charges under the FCPA, the investigation phase can be the point at which your company’s fate is sealed, depending on what facts and information are divulged in your documents. The data/document collection process can be an exhausting one, both financially and resource-wise. Learn during this session how your company, during its next FCPA investigation, can ensure this process is a smooth one, without exhausting your client’s entire budget as you are provided with practical tips on how to effectively collect, control and manage your data and documents. Topics to be discussed during this session will include:

• Tackling the data privacy hurdle
  • overview of key foreign regulations governing data privacy
    - blocking statutes
  • how to ensure proper data collection in foreign jurisdictions
  • working with works counsel
• Examining what tools are available for collecting and manipulating forensic data - technology
• Techniques for addressing preservation
• Practical tips for handling remote data gathering and data transfer - how and when data should be removed
• Addressing current trends in data mining and data analytics
• How to cost-effectively review extensive electronic data
• Evaluating who gets evidence first and when

2012 Sponsors

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