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Advanced Compliance and Ethics Workshop 2013


Speaker(s): Amii L. Barnard-Bahn, Carlos Singh, Daniel Seltzer, Douglas A. Doty, Frank Lopez, Gina Saviola, Herbert E. Wilgis III, James M René, James M. Lord, Larry Parsons, Lupe Garcia, Nancy A. Heafey, Odell Guyton, Paul E. McGreal, Rebecca Walker, Scott Willoughby
Recorded on: Nov. 18, 2013
PLI Program #: 46073

Douglas Doty has spent the past 23 years, including an expatriate assignment in France, serving in various compliance and corporate counsel roles for 2 European based, publicly traded manufacturing companies providing advice and counsel to corporate clients throughout North America and Europe.

Douglas joined Siemens in 2005 and has served as Compliance Officer for the Building Technologies Division of Siemens Industry, Inc. in the U.S. ("BT") since 2007. BT provides a comprehensive range of facility performance solutions for the comfort, safety, security, energy efficiency and operation of commercial, industrial and government buildings. As BT's Compliance Officer, Douglas is responsible for coordinating, tracking and reporting the results of compliance investigations and assuring the effectiveness of BT's Compliance program through counseling, testing, remediation and training.

At the beginning of his legal career, Douglas was a litigator defending life, health and disability insurance carriers and worked as corporate counsel for an insurance company managing litigation and administrative disputes with governmental agencies.

Douglas is an active member of the DePaul University Institute for Business and Professional Ethics Board of Directors, Chicago Regional Business Ethics Network, North Shore Compliance Officers Roundtable, Society of Corporate Compliance and Ethics, Ethics and Compliance Officer Association, Association for Practical and Professional Ethics, American Bar Association and Association of Corporate Counsel.

Douglas was awarded a Bachelor of Science Degree in Sociology from Bradley University and a Juris Doctor Degree from John Marshall Law School.


Lupe Garcia is Associate General Counsel, Global Integrity & Compliance for Gap Inc. She has been with Gap Inc. for over 13 years and has led Gap Inc.'s Integrity Program since January 2006. In her current role, Lupe focuses on promoting the Company's integrity value, and enhancing the Company's legal compliance around the world. She is also on the Steering Committee for the Company's Latino Employee Resource Group. 

Prior to 2006, Lupe was a Senior Corporate Counsel at Gap Inc. focused on employment law matters, and established the Company's International Employment Law practice. She was recently appointed by Governor Jerry Brown to serve on the Board of Trustees for the California State University. Lupe is also on the Board of Directors for the Lawyers' Committee for Civil Rights of the San Francisco Bay Area, and a member of the Ethics & Compliance Officers Association, as well as the Bay Area Ethics & Compliance Association.

Before joining Gap Inc., Lupe was an associate at Lafayette and Kumagui, practicing employment law. She received her law degree from the University of San Francisco and a B.A. in Public Policy from Occidental College. Lupe lives in Alameda, California with her husband and son.
 


Nancy Heafey was the Vice President, Deputy General Counsel and Chief Compliance Officer for Con-way Inc. until April 2011, when the company moved its corporate headquarters to Ann Arbor Michigan.  Ms. Heafey had  primary responsibility for oversight of Con-way's corporate compliance program, including developing and implementing compliance policies and procedures, monitoring employee complaints, overseeing ethics and compliance investigations and risk assessments, and developing and implementing employee communications and training programs. Ms. Heafey also had responsibility for all aspects of employment and labor law and litigation management.

Ms. Heafey received her law degree in 1989 from the University of California, Berkeley, and her undergraduate degree from Stanford University in 1986.  Until 1998, Ms. Heafey was in private practice in San Francisco with the law firms of Pettit & Martin and Thelen, Reid & Priest, where she specialized in labor and employment law and litigation. She is a member of the American Bar Association (Member, sections on Labor and Employment, Litigation, and EEO Committee), the Ethics and Compliance Officers' Association and the Bay Area Ethics and Compliance Association


Frank Lopez is currently employed by WellCare Health Plans, Inc. as Vice President, Corporate Compliance. Previously, Frank was employed with a major telecommunications company as Director of Ethics & Compliance, where his responsibilities included supervision of the company's global ethics and compliance program. Additionally, Frank's prior experience includes employment as a federal prosecutor, a state prosecutor, and with a major Colorado law firm as a civil litigator, specializing in employment law. Frank graduated with honors from the University of Florida College of Law. He received his undergraduate degree from the University of Miami, where he graduated magna cum laude, having majored in accounting.


 


Gina Saviola is counsel in Mayer Brown's Los Angeles office and a member of the Litigation & Dispute Resolution practice. Gina’s practice focuses on FCPA/anti-corruption-related matters, internal investigations and corporate compliance programs. Before joining the firm, Gina was Senior Counsel - Compliance at Occidental Petroleum Corporation for over eight years. She designed, implemented, and monitored the company’s global compliance program, with a particular emphasis on the company’s operations in the Middle East/North Africa, South America and Asia. Gina responsibilities included advising management and the international legal team on risks associated with business transactions and related activity, such as with providing travel or hospitality to non-U.S. government officials , and ways to mitigate those risks. Gina implemented a company-wide third-party due diligence program, revised company policies and procedures, and trained senior management and employees worldwide on the Code of Business Conduct and laws related to anti-corruption and international trade. Gina has significant experience conducting internal investigations, including those involving whistleblower and FCPA-related claims.

Before joining Occidental, Gina was an attorney in the enforcement division of the Securities and Exchange Commission, where she handled a variety of investigations, including into insider trading and market manipulation. Prior to that, Gina was a white collar lawyer in private practice. She handled government investigations, and worked on cases involving bribery, RICO, bank-fraud and money laundering.

Areas of Focus

Education

  • Duke University, BA
  • University of Virginia School of Law, JD

Admissions

  • California


Mr. Odell Guyton, JD, CCEP, CCEP-I, is the Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc., St. Petersburg, Florida, USA, a diversified manufacturing services company with over 200,000 employees in 33 countries. Mr. Guyton is a Society of Corporate Compliance and Ethics (SCCE) Co-Founder and Co-Chair.  He is a recognized industry leader in designing, implementing, and managing effective corporate compliance programs for multi-national organizations. He has a significant track record of accomplishment in the legal field and the domestic (U.S.) and international compliance and ethics field.

He is a frequent lecturer on the implementation and administration of anti-corruption and anti-bribery compliance measures focused on U.S. Foreign Corrupt Practices (FCPA) and the U.K. Anti-Bribery Act. He serves on several United Nations workshops related to fighting corruption including the “UN Global Compact Guide on Fighting Corruption in Sport Sponsorship and Sport Related Hospitality” and “The UNODC Anti-Corruption Ethics and Compliance Handbook for Business.”  He is an expert consultant for the Humboldt-Viadrina, School of Governance, Berlin Germany in preparing their “Guide for Motivating Business to Counter Corruption-Using Sanctions and Incentives to Change Business Behavior”. He is a lecturer for the International Anti-Corruption Academy, Laxenburg, Austria.

Mr. Guyton is highly experienced in corporate internal investigation, complex litigation, criminal defense, internal controls, and preventative law and in the design and implementation of compliance programs. He has direct experience in technology, healthcare and university compliance. Mr. Guyton is licensed to practice by the Supreme Court of Pennsylvania Bar, the Washington State Bar Association, the U.S. District Courts, and U.S. 3rd. Circuit Ct of Appeals licenses. He is a Certified Compliance and Ethics Professional (CCEP, CCEP-I). He recently retired as Assistant General Counsel and Director of Compliance for the Microsoft Corporation. Prior to his appointment with Microsoft Corporation he served as the Corporate Compliance Officer for the University of Pennsylvania and University of Pennsylvania Health System. Previous to employment at the University of Pennsylvania, Mr. Guyton was engaged in the private practice of law. Mr. Guyton has served as a prosecutor in the United States Attorney’s Office and the Philadelphia District Attorney’s Office. He has served on several governing boards. He serves as Special Advisor on Compliance to the University of California Board of Regents and has been named as one of the “100 Most Influential Persons in Business Ethics” (Ethisphere Institute (2008)); Attorneys Who Matter (Ethisphere Magazine (2009; 2010, 2011). He also holds a Martindale-Hubbell “AV” (Preeminent) Highest Peer Review Rating. He studied bio-ethics at the University Of Pennsylvania School Of Medicine and received his Juris Doctor degree from the American University, Washington College of Law and earned his Bachelor of Arts degree from Moravian College, Bethlehem, Pennsylvania.


Paul E. McGreal is Dean and Professor of Law at the Creighton University School of Law.  He became dean on July 1, 2015. At Creighton, he is working with the Business Ethics Alliance on programs and projects to support compliance and ethics professionals, and he participates in the Alliance’s VP Ethics Exchange.

Dean McGreal also teaches in the Texas A&M University Executive MBA Program, which he has done since the Program’s inception in 1999.  His courses there have included modules on corporate vicarious liability, domestic and foreign anti-corruption laws (including the Foreign Corrupt Practices Act), corporate compliance and ethics programs, business ethics, and corporate governance.

Dean McGreal was previously dean of the University of Dayton School of Law from 2011 to 2014.  Before that, he was associate dean and professor of law at Southern Illinois University School of Law, where the graduating class voted him the Senior Class Award in 2008, 2009, and 2010.

Prior to joining SIU, Dean McGreal established the Corporate Compliance Center at the South Texas College of Law, where he taught for 10 years.  While at South Texas, he created and taught the first course on corporate compliance and ethics programs offered at a United States law school.

Dean McGreal has also taught as a visiting professor at George Mason University School of Law and Southern Methodist University’s Dedman School of Law.

Dean McGreal’s areas of expertise include corporate compliance, business ethics, constitutional law, religion and the law, and First Amendment rights.  He is a frequent speaker and commentator on corporate compliance and ethics programs, and he authors an annual survey of legal developments on the subject for The Business Lawyer, published by the Business Law Section of the American Bar Association.   He has also published over 40 articles and essays in law journals at schools including University of Notre Dame, Northwestern University, and the University of Pennsylvania.

Before teaching, he worked in the Dallas office of Baker Botts LLP. After graduating from law school, he served as law clerk for Justice Warren Matthews of the Alaska Supreme Court.

Dean McGreal earned an LL.M. from Yale Law School, a J.D. from the Dedman School of Law at Southern Methodist University, and a B.A. in economics from Williams College.


Rebecca Walker is a partner in the law firm of Kaplan & Walker LLP, a law firm specializing in compliance and ethics located in Santa Monica, California and Princeton, New Jersey.  Ms. Walker advises clients on the development and implementation of compliance and ethics programs that are tailored to each client's legal risks and business needs and that conform to applicable government requirements and pronouncements regarding effective compliance programs.  Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including risk assessment, codes of conduct and other policies, compliance training, monitoring and auditing systems, reporting procedures, program structure and program documentation. She has also conducted numerous assessments of companies’ compliance and ethics programs and compliance risk assessments.  Her clients have included companies from the consumer products, apparel, financial services, pharmaceutical, healthcare, banking, advertising, consulting, telecommunications, energy, retail and airline industries, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Institute in New York and PLI’s annual Advanced Compliance and Ethics Workshop in San Francisco.  Ms. Walker serves on the Advisory Boards of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics, and the Corporate Compliance Center at the South Texas College of Law.  She also serves on the Editorial Board of the Complete Compliance and Ethics Manual.

Ms. Walker is the author of Conflicts of Interest in Business and the Professions: Law and Compliance, published by Thomson West in 2005.  She is the co-author of Safeguarding Intellectual Property and Preventing Corruption in the Global Supply Chain, published by The Conference Board in 2012 and the Anti-Corruption Compliance Program Benchmarking Survey, along with Jeff Kaplan and the FCPA Blog, published in 2011.  Ms. Walker has authored several surveys and published numerous articles regarding compliance and ethics.  She is also a contributing editor of ethikos, a leading compliance and ethics journal.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, The Conference Board, the Ethics and Compliance Officer Association and other legal and business groups.

Ms. Walker received her B.A. (magna cum laude, Phi Beta Kappa) from Georgetown University and her J.D. (cum laude) from Harvard Law School.


Larry currently holds the position of Vice President and Chief Legal Officer of McLane Company, Inc., a $46 billion company providing grocery, foodservice and alcoholic beverage supply chain solutions for thousands of convenience stores, mass merchants, drug stores and restaurants throughout the United States.  McLane is a supply chain services leader, delivering more than 10 billion pounds of merchandise to customers every year.  Headquartered in Temple, Texas McLane has over 20,000 employees and operates distribution centers in over 80 cities across the United States.  Since 2003, McLane has operated as a wholly owned subsidiary of Berkshire Hathaway, Inc.

Prior to joining McLane, Larry was the Vice President, Legal and Chief Ethics and Compliance Officer for Freescale Semiconductor, Inc.  Freescale is a public company headquartered in Austin, Texas with over 18,000 employees in 26 countries.

Before joining Freescale, Larry was Senior Director, Labor and Employment Law for Motorola, Inc. Prior to his role at Motorola, Larry practiced labor and employment law in the Austin office of Fulbright & Jaworski, L.L.P. and in the Dallas office of Jones, Day, Reavis & Pogue, L.L.P.

Larry received his B.S. from Texas Christian University (cum laude, University Honors and Departmental Honors) and his J.D. from Vanderbilt University School of Law (Order of the Coif, Law Review).  Following law school he clerked for the Hon. Jerre S. Williams, Circuit Judge, United States Court of Appeals for the Fifth Circuit.

Larry is a member of the Association of Corporate Counsel (Chair, Council of Committees and Past Chair of the ACC Compliance and Ethics Committee), the Society of Corporate Compliance and Ethics, the Texas General Counsel Forum and is a Certified Compliance and Ethics Professional.  He is a regular speaker on compliance and ethics topics at events sponsored by ACC, SCCE, the Practising Law Institute, the American Conference Institute and others. Larry has served on the Board of Directors for several non-profit organizations including the Texas Christian University Honors College (Chair), Marywood Child and Family Services, the Austin Theater Alliance, Volunteer Legal Services of Central Texas, Chorus Austin and the Austin Summer Musical for Children.



Amii Barnard-Bahn is a governance and operations executive with experience in leading sustainable change initiatives across diverse industries.  Currently consulting for a range of clients, Amii recently served as the Chief Administrative Officer for the California Dental Association, responsible for the development and sustenance of organizational effectiveness and culture within the CDA family of companies.  She led a range of corporate services including the General Counsel's Office, Human Resources, Administration & Governance, Project Management Organization, and Employee Communications to support operations and strategy for CDA (the Association) and its six related organizations including TDIC (The Dentists Insurance Company) and its agency TDIC Insurance Solutions, TDSC (The Dentists Service Company), CDA Foundation, CalDPAC (Political Action Committee) and Rotunda Partners.

Prior to joining CDA, Amii founded Compliance & Ethics programs at several Fortune 20 companies including healthcare giant McKesson and the global financial services group Allianz SE.  She has over 15 years of legal, ethics/compliance and human resources management expertise, and has been recognized for her integrity, dedication, and passion for results.

An honors graduate of both Georgetown University Law Center and Tufts University, Amii served as the inaugural Compliance & Ethics Adjunct Professor at the Golden Gate University School of Law and is a past Chair of the Healthcare Industry Group of the Ethics & Compliance Officer Association.


Herb Wilgis is the Director of Compliance Programs for the Office of Legal Compliance at Microsoft.  Herb is responsible for managing programs to enhance and adopt internal controls to ensure a robust ethics and compliance program.  These include corporate policy and standards, risk assessment and remedial measures, training and communication, monitoring and oversight, program review, and reports to the Board of Directors.  Herb advises the company on FCPA compliance and is responsible for enhancing Microsoft’s global anti-corruption program.  Prior to joining Microsoft, Herb was a partner at the firm of K&L Gates LLP.  He also served as a Special Deputy Prosecuting Attorney for the King County Criminal Division and as a Special Assistant Attorney General for Washington State.  Herb received his A.B. degree from Princeton University and his J.D. and M.A. from the University of Virginia.