Seminar Agenda

October 2020 Seminar Agenda

Tuesday, October 20, 2020

10:30am-10:45am - Linda Robertson
- Welcome
- Review seminar agenda and meet the presenters

Session 1: 10:45am-11:15am – Linda Robertson
- Why a Culture of Compliance?

Discussion Topic: Federal Regulations

Session 2: 11:15am-12:15pm – Eric Johnson, JD
- Sales
- Marketing

Break

Session 3: 12:45pm-1:45pm – Eric Johnson, JD
- Vehicle Financing
- Customer Communication

Session 4: 1:45pm-2:45pm – Terrence O’Loughlin, JD, MBA
- Business Administration
- Accounting

Break

Session 5: 3:00pm–4:15pm – Marcia N. Jackson, JD
- General Human Resources Regulations

Wednesday, October 21, 2020

10:30am–10:45am - Linda Robertson
- Welcome
- Review seminar agenda and meet the presenters

Session 6: 10:45am-11:45am – EJ Shelby
- Parts & Service
- OSHA
- Vehicle Safety
- Facilities
- Emergency Planning

Break


Discussion Topic: Compliance Management System

Session 7: 12:15pm-1:45pm – Linda Robertson
- Introduction to the components of a Compliance Program (includes completing an outline to implement the Safeguard Rule using ADCO’s CMS)

Session 8: 1:45pm–2:45pm – Randy Henrick, JD
- High-level Oversight & Compliance Officer Role
- Board of Directors Oversight
- Delegating Authority / Controls of Authority
- Compliance Officer Responsibilities

Session 9: 2:45pm-3:45pm – Linda Robertson - Standards of Conduct / Policies & Procedures
- Code of Business Conduct, Values & Ethics
- Compliance Policies
- Delegation of Authority - Hiring Practices

Session 10: 3:45pm – 4:45pm – Judy Vann Karstadt, MFSP, DCOP
- Communication & Education
- Employee Orientation and Training for All Staff
- What Constitutes Effective Training
- Effective Lines of Communication
- Creating a Compliance Communication Plan
- A Culture of Positive Reinforcement

Thursday, October 22, 2020


Discussion Topic: Compliance Management System, cont.

10:30am–10:45am - Linda Robertson
- Welcome
- Review seminar agenda and meet the presenters

Session 11: 10:45am–11:15am – Terry O'Loughlin, MBA, JD
- Monitoring & Auditing / Identification of Compliance Risks
- Review Internal Compliance Reporting Venues (Hotline, Email, Dropbox)
- Risk Assessment & Prioritization
- Internal Audit & GAP Analysis

Session 12: 11:15am–12:15pm – Melinda Levy, JD, SPHR
- Reporting & Investigation
- Review Compliance Reporting
- Investigation
- Process for Staff to Comply with Government Investigation

Break

Session 13: 1:15pm–2:15pm – Marcia N. Jackson, JD
- Enforcement & Discipline
- Consistent Enforcement & Discipline for Violations
- Enforcement, Discipline & Documentation
- Consistent Reinforcement

Session 14: 2:15pm–3:00pm – Randy Henrick, JD
- Responce & Prevention
- Newly Identified Compliance Risks
- Root Cause
- Lessons Learned

Break

Session 15:
Option: a) 3:15pm–4:15pm – Randy Henrick, JD & JC Cramer
Takeway - Lowering Chargebacks by Closing the Compliance Loop

Option: b) 3:15pm–4:15pm – Sandy Zannino, SPHR
Takeway - Compliance Steps that Lower Employee Turnover

Session 16: 4:15pm-5:00pm – Leadership Session
Stephanie Licata, MA, A.C.C., Purpose & Performance Group
How Compliant Leadership Drives Profitability

Closing Remarks


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