Sunday, June 9
01:00 PM - 02:30 PMBreakout Session 1#P01P01 - Title IX Compliance Strategies for Smaller Institutions Elaine Kneebone, General Counsel, Henderson State Univ Allison Vetter, Title IX Investigator & Education Coordinator, Hendrix College
HIGHED#P02P02 - University Student Health Centers: Where They Fit Into Your Compliance Program C.J. Wolf, Senior Compliance Executive, Healthicity Luanna Putney, Associate Chancellor and Senior Advisor to the Chancellor, Univ of CA Merced
- Compliance with Title IX and VAWA poses extra challenges for smaller institutions to manage the multitude of obligations on smaller budgets and with less staff.
- Learn how one institution built a Title IX and VAWA compliance program from the ground up.
- Take away ideas for maximizing limited resources. Hear about an innovative institutional framework that simplifies processes and enhances compliance.
- What can traditional health care compliance programs offer university student health centers' compliance programs
- How can the student health center fit into the overall university compliance program?
- FERPA, HIPAA, Drug Diversion, Coding, Billing, Reimbursement and other possible risk areas found in the student health center
01:00 PM - 05:00 PMPre-Conference
02:45 PM - 04:15 PMBreakout Session 2#P03P03 - Drones: Up, Up, and Away Marcy Huey, Executive Director of Institutional Compliance, The University of Alabama Katy Galloway, Compliance Coordinator, The University of Alabama
HIGHED#P04P04 - Before ICE Comes Knocking - Strategies to Address the Delicate Intersection of Increased Enforcement and SEVP Compliance Dawn Lurie, Senior Counsel, Seyfarth Shaw LLP James Hayes, Vice President, Guidepost Solutions
- Managing drones can be more complicated than most people expect.
- It is important to meet the needs of faculty and students while also mitigating the risks to the institution and reconciling safety concerns.
- The changing regulatory climate means a one size fits all approach won't work. You must have adaptive policies and procedures to meet campus needs.
- Understanding the changing regulations, increasing scrutiny-and why higher education institutions need to be more vigilant than ever before in tracking their foreign students and employees
- Hear best practices and creative strategies on pain points including electronic I-9 compliance, recording auto extensions and conducting productive I-9 audits
- Learn proactive tactics to ensure ongoing compliance and to prepare for school and visa related site visits
04:15 PM - 05:30 PMWelcome Reception
Monday, June 10
07:00 AM - 08:00 AMBreakfast
08:15 AM - 09:15 AMGeneral Session 1: Higher Education Compliance: 2018-19 Year in Review Marisa Zuskar, Senior Director, Huron Consulting Group Luanna Putney, Associate Chancellor and Senior Advisor to the Chancellor, Univ of CA Merced
- Provide a Year-In-Review perspective of Higher Education Compliance, as well as what the current environment and the past year suggest for the changes to come in 2020 and beyond.
- Recap major changes in the regulations impacting higher education and significant ‘current events’ impacting higher education, with a focus on the response of the impacted institution, the industry and the community at large.
- Cover the broad spectrum of higher education compliance areas including student administration, research and federal contracting, the First Amendment and controversial speakers on campus, Title IX, immigration, technology and data protection, etc. as well as compliance program models for higher education.
09:45 AM - 10:45 AMBreakout Session 1#101101 - Don't Let Your Pull Push You Off the Rails Stephanie Suerth, Education & Outreach Program Director, University of Maryland, Baltimore
HIGHED#102102 - Don't Bite Off More Than You Can Chew: Taking a Risk-Based Approach to GDPR Compliance and Key Tools to Help You Get There David Grogan, Associate Director of University Compliance, University of Illinois Megan Stoll, Assistant University Counsel, University of Illinois
- As part of an open and accessible compliance program, communication is key. Capitalize on two-way communication without letting feedback derail your messaging. Discuss how thoughtful planning allows for timely and adaptive versus reactive communication.
- Compliance addresses a wide range of issues. Despite the disparate audiences and topics, communication needs to be consistent and accessible to achieve a multiplier effect of overall compliance awareness and specific messaging.
- Learn how to promote your mission: establish compliance as an effective, collaborative, and valued partner for organizational success
HIGHED#103103 - Human Resources Compliance - an Uncommon Approach at the University of California Jennifer Damico Murphy, Dir-HR Compliance, Reporting & Analytics, University of California
- Why do we care about a European regulation? We'll discuss the GDPR and its innovative privacy provisions, and how they might affect you.
- We'll share the risk-based approach we used to tackle GDPR compliance: develop assumptions, identify stakeholders and impacted areas, and formulate a game plan.
- Need tools to kick-start your efforts? We'll share our tools (e.g., sponsored research workflows/decision trees, GDPR privacy notice, notice/consent templates) and discuss implementation.
- The University of California has a Compliance office embedded within the Systemwide Human Resources leadership team in order to promote a culture of greater accountability, manage risks, and build trust across the HR organization.
- This approach has advantages for collaboration when implementing important compliance efforts. It also creates challenges as the scope of responsibilities of the unit can blur across the HR and Compliance functions.
- In this presentation we will review the scope of our efforts, some achievements to date, discuss some of the challenges, and talk about how we leverage data to support our role within the organization
11:00 AM - 12:00 PMBreakout Session 2#201201 - We Supercharged Our Compliance Learning and Development Program, YOU CAN TOO Jeneeta O'Connor, Project Specialist, Consolidated Edison Company of New York, Inc. Joshua Toas, Chief Compliance Officer, The Research Foundation for SUNY
HIGHED#202202 - Getting the most from your Hotline Program: Leveraging the Data to Gain Key Insights into Your Institutional Culture Joseph Agins, Compliance Officer, Sam Houston State Univ
- Placing greater emphasis on education and training in order to maintain an effective compliance & ethics program
- Operating a learning and development program in a decentralized environment: Leveraging your compliance champions across the system to eliminate the one size fits all approach
- Delivering multifaceted training on a shoestring budget: Using tech to bring your training to life and tips for delivering engaging presentations
- How your hotline program data can help you to understand the ethical culture of your institution
- Using the data to zero-in on hotspots and stamp out fires before they get too big
- Benchmarking your results against the industry to measure success and identify areas for improvement
01:00 PM - 02:00 PMBreakout Session 3#301301 - Think Outside the Box: Compliance Collaborative for Multiple Private Colleges and Universities Judith Spain, Professor, Business Law, Eastern Kentucky University Lisa Macke, Vice President, Member Services, Georgia Independent College Association
HIGHED#302302 - An Ethical Journey Deborah O'Connor, Dir Campus Compliance/Privacy Officer, Univ of CO Colorado Springs Kathleen Sutherland, Audit Manager-Compliance, Dept of Internal Audit, Univ of CO
- Learn how the Georgia Independent College Association developed, launched, and sustained a Compliance Collaborative for multiple private colleges and universities.
- Explore how the Compliance Collaborative expanded from hiring a Compliance Coordinator to initially focus on Title IX, ADA, and VAWA to presently addressing a wide variety of compliance issues encountered on the campuses.
- With the Compliance Collaborative in its third year discuss the lessons learned and identify how you could develop a compliance collaborative with similarly situated campuses
HIGHED#303303 - Developing a program for Controlled Unclassified Information (CUI) Kenneth Liddle, Chief Compliance Officer, Rice University Kevin Gamache, Chief Research Security Officer, The Texas A&M University System Justin Williams, Senior Manager, Deloitte
- How one university is developing and implementing an Ethical Program
- Challenges faced within the University setting.
- Share tools developed
- Practical steps to comply with NIST 800-171 and requirements for Controlled Unclassified Information (CUI)
- Understanding the requirements, and what they mean in practice
- Using your CUI program to take your campus to the next level on data security
02:30 PM - 03:30 PMBreakout Session 4#401401 - Minors on Campus: It's More than Child's Play Alysa Rollock, VP for Ethics and Compliance, Purdue University Deborah Trice, Director of Compliance & Associate Counsel, Student Affairs, Purdue University Gina Maisto Smith, Partner, Cozen O'Connor
HIGHED#402402 - Leveraging Partnerships and Technology to Enhance Your Institution’s Compliance Program Dorinda Tucker, AVP Ethics, Compliance and Risk , The George Washington University Kimberly Macedo, Senior Manager, Baker Tilly
- Colleges and universities are realizing that they may not be fully aware of the varied circumstances under which minors are present on campus. This session will identify risks associated with minors on campus, and policies and procedures to mitigate those risks.
- Learn to identify and manage unique risks associated with research programs, residential programs and sports camps. -Define roles and responsibilities among sponsors, residence halls, public safety, compliance offices and risk management
HIGHED#403403 - 'Seriously, again already?' Donna McNeely, University Ethics Officer, University of Illinois Traci Rolf, Associate Director of University Ethics, University of Illinois
- Learn how institutions leverage technology to enhance compliance and create efficiencies in their compliance and risk-monitoring activities
- Offer ideas for increasing the effectiveness of your current compliance monitoring systems and limited resources
- Discuss opportunities for collaboration with other institutional partners to innovate for improved compliance in their areas
- Keeping annual training fresh and engaging interactivity
- Personalizing shelf training products for relatability and applicability
- Topic specific training snippets to reduce training fatigue
03:45 PM - 04:45 PMGeneral Session 2: Civil Rights Enforcement at the U.S. Department of Education Kenneth Marcus, Assistant Secretary for Civil Rights, U.S. Department of Education - Approaches to enforcement - Current trends - New case resolution methods
04:45 PM - 06:00 PMNetworking Reception
Tuesday, June 11
07:00 AM - 08:00 AMBreakfast
08:15 AM - 09:15 AMGeneral Session 3; Compliance as a Change Agent John Powers, Director, PwC Jeffrey Chasen, Associate Vice Provost, The University of Kansas - Develop a deeper understanding of how compliance functions drive change within their organizations. - Learn how to combat resistance to change within your organization. - Discuss current change management trends and tools that will highlight compliance functions and professionals as positive change agents
09:45 AM - 10:45 AMBreakout Session 1#501501- Campus Wide Policy Management System: Lessons from the Trenches Marcy Huey, Executive Director of Institutional Compliance, The University of Alabama Jennifer Clark, Institutional Compliance Coordinator, The University of Alabama
HIGHED#502502 - Gift Acceptance: Balancing University Priorities with Donor Intent Julian Williams, VP of Compliance, Diversity & Ethics, George Mason University Colleen Lewis, Manager, Baker Tilly
- Everything doesn't always work like you expect, including managing policies. Sometimes it's the low-tech approach that can lead to unexpected successes.
- You have to focus on solving the problem. You can't lead with the solution until fully understand the needs of the group as a whole.
- Don't discount brainstorming! Sometimes, bad ideas lead to good ideas
- Learn how to develop gift acceptance policies and procedures to ensure a balance between academic enterprise and donor engagement
- Share leading practices related to policy principles and potential escalation criteria that would lead to additional review of gift agreements based on specific flags and thresholds
- Offer ideas for how to establish on-going analysis and assessment of gift acceptance policies and procedures
11:00 AM - 12:00 PMBreakout Session 2#601601- Teamwork: The Relationship between Compliance Officers, In-House Counsel, and Outside Counsel during Internal Investigations Laurel Gift, Partner, Schnader Harrison Segal & Lewis Richard Holmes, Senior Associate Legal Counsel, University of Pittsburgh Dustin Gray, Sr. Assoc. AD for Administration, University of Pittsburgh
HIGHED#602602 - Fighting Fraud and Corruption in Higher Education Mary-Jo Kranacher, ACFE Endowed Professor of Fraud Examination, York College, City University of New York
- Understanding and navigating the internal relationship between compliance officers and in-house counsel
- Understanding the investigation process, identifying the client and scope, gathering evidence, role of compliance and audit department, and preventing common pitfalls
- Navigating the investigation’s aftermath - reporting findings, contemplating disclosure of the report, and the organizational response to recommendations and outcomes
HIGHED#603603 - International Programs and the FCPA Survival Guide - Anywhere We Can Fly, We Can Comply Kenneth Liddle, Chief Compliance Officer, Rice University Alexander Bilus, Partner, Saul Ewing Arnstein & Lehr LLP Justin Danilewitz, Attorney, Saul Ewing Arnstein & Lehr LLP
- Is the intellectual environment in higher education antithetical to fraudulent behavior? Learn how the structure and environment in which universities operate can facilitate fraud and corruption.
- Who perpetrates fraud in academe? Learn of the various constituencies that commit fraud and the weaknesses in the system that allow their schemes to succeed.
- Learn to identify red flags and ways to mitigate the risk of fraud in higher education.
- Higher education focused overview of the Foreign Corrupt Practices Act (FCPA) , including recent developments in enforcement
- How to create and manage a centralized international compliance program that can adapt to new countries or programming
- The FCPA Survival Guide: What to do when you discover a problem
01:00 PM - 02:00 PMBreakout Session 3#701701 - Concern Reporting: Leveraging Reporting to Drive Integrity Culture Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University
HIGHED#702702 - Unique Challenges for HIPAA Compliance within a University Hybrid Entity: how to manage privacy requirements if you do not have an AMC Hila Berger, Compliance Officer, Montclair State University
- Concern reporting provides the critical metric of integrity culture: comfort raising questions drives research, advances learning, and reinforces compliance
- Concern reporting can be measured and improved: using surveys to measure and improve culture
- Channels for concern reporting provide essential information for proactive risk mitigation
HIGHED#703703 - Get the PCI DSS Compliance Program You Need Carolann Lazarus, IT Audit Manager, University at Buffalo
- Privacy Officers within Hybrid Entities have unique challenges in ensuring privacy when the culture of an organization is not healthcare based ' we will discuss techniques for shifting privacy culture.
- Practical solutions for education and maintaining privacy are key to compliance within hybrid settings. We will explore those solutions as successfully applied in a hybrid setting
- Hybrid entities must properly designate their healthcare component(s). Failure to do so can result in HIPAA violations - we will explore a case studies where hybrid status ended in an OCR settlement.
- Recognize when your PCI compliance program needs to be reinvigorate
- Identify the key components of a successful PCI program
- Learn some of the common hurdles and solutions
02:15 PM - 03:15 PMBreakout Session 4#801801 - Creating a Successful Title IX Compliance Program Thomas Shanahan, General Counsel, University of North Carolina System Josh Whitlock, Partner, Parker Poe Adams & Bernstein LLP Mary Gower, Chief Title IX Officer, University of Alaska
HIGHED#802802 - Compliance By Wandering Around (CBWA): Simple solutions to improving the value and effectiveness of your compliance program Joseph Agins, Compliance Officer, Sam Houston State Univ
- Title IX and related regulations impose multiple requirements that institutions must incorporate into effective policies, processes, training, and compliance programs.
- At this session, learn about how two large public university systems developed risk-based Title IX compliance programs as part of their overall strategies to respond promptly and equitably to sexual misconduct and discrimination, and meet the needs of their university communities. Examples from one institution will focus on the development of Title IX program standards, regular risk assessments, and self-monitoring processes to promote continuous improvement in campus Title IX programs. The examples from another institution include new policies and procedures, mandatory training for students and employees, collaboration of university Title IX stakeholders, annual climate surveys, and annual case audits.
- Issues to be addressed in the session will include annual risk assessments; components/elements of the plan; policy development and review; mandatory training; climate surveys; program metrics; governance; collaboration with internal audit and legal; and use of technology.
HIGHED#803803 - Re-inventing a Code of Conduct: A Case In Civility Stephanie Suerth, Education & Outreach Program Director, University of Maryland, Baltimore
- Building trust and gaining buy-in
- Why waiting for compliance concerns to come to you in not an option
- Compliance programs are all about relationships and without them, you don't have a program
- Real life lessons from experience in re-inventing a university-wide code of conduct. A key focus is to provide organization- and programmatic level advice to help you align your own code of conduct to desired culture.
- When responses do not reflect the organization's vision and values: Addressing the challenges of unexpected reactions from all levels
- Learn how scholarship and evidence provided the foundation for implementing a civilized response
03:30 PM - 04:30 PMGeneral Session 4; From the Big Easy to the Big Ten and Beyond: Lessons from the Reform of the New Orleans Police Department for Colleges and Universities Jonathan Aronie, Partner, Sheppard Mullin Richter & Hampton LLP Joseph Jay, Partner, Sheppard, Mullin, Richter & Hampton LLP - Identify and explore fundamental change management concepts that apply to organizational integrity reform efforts including, the ongoing reform of the New Orleans Police Department (NOPD). - Apply lessons learned from ongoing public organizational reform efforts, including the NOPD reform effort, to real-life college and university events. - Evaluate how these reform strategies can be applied to evolving issues on campus and in society.
Wednesday, June 12
08:30 AM - 10:00 AMBreakout Session 1#W1W01 - Commercialization and Conflicts: How Values Can Drive Simplification Jessica Tobias, Ethics Director and Compliance Investigator, The Ohio State University Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University
HIGHED#W2W02 - Trends and Updates in Federal Student Loan Fraud Investigations Scott Grubman, Partner, Chilivis, Cochran, Larkins & Bever
- Training: Early integration of training and guidance regarding research conflicts of interest, fiduciary requirements, and state ethics laws promotes efficiency and collaboration.
- Conflicts Disclosure Process: Back end coordination supports front end simplification.
- Metrics: What should we measure and what can be learned from combined metrics?
- Overview of federal government investigations related to student loan fraud in the higher education space, including both criminal and affirmative civil enforcement actions
- Recent examples of such investigations and a discussion of how to properly respond to such an investigation
- Proactive compliance tips to help keep you and your organization off of the government's radar
08:30 AM - 11:30 AMPost Conference Post Conference
10:15 AM - 11:45 AMBreakout Session 2#W3W03 - The Office of the Chief Privacy Officer: Leading Practices from Research Universities Holly Benton, Duke Privacy, Duke University Office of Audit, Risk and Compliance
HIGHED#W4W04 - How to Take an Integrated Approach to Compliance in a World of Uncertainty Steven Minsky, CEO and Founder, LogicManager Sheryl Ireland, Director, Ethics and Compliance Program Office, Univ of CA Merced Jody Gonzalez, Compliance Analyst, University of California, Merced
- Governance, common reporting structures, and staffing
- Scope of duties, mission
- Top risks CPOs are concerned about at their Institutions
- Dive into the challenges of managing compliance in a world where institutions are held to more than 265 federal statutes that change every year
- Demonstrate how to take an integrated approach and communicate across the organization when identifying necessary resources, engaging subject matter experts, and closing potential gaps
- Examine the benefits of a consolidated reporting structure, as well as some key metrics universities and colleges should collect to prove compliance and garner support
Agenda subject to change.