The virtual conference times are listed in Central Daylight Time (CDT)
Monday, June 1
08:50 AM - 10:00 AMGeneral Session: Higher Education Compliance: 2019-20 Year in Review Marisa Zuskar, Senior Director, Huron Consulting Group
- 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 significant current events impacting higher education and major changes in the regulations 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, Title IX, NCAA, etc., as well as compliance program models for higher education
10:15 AM - 11:15 AMBreakout Sessions#HE02HE02: Imagineering a University-Wide Conflict of Interest/Commitment Disclosure Process: Make (What Seems Like) the Impossible, Possible Robert Gottesman, Exec. Dir. Institutional Compliance & Privacy, Auburn University Kevin Robinson, Associate Vice President, Audit, Compliance & Privacy, Auburn University
HIGHED Intermediate#HE03HE03: Compliance Risk Reviews: Developing a Collaborative Compliance Monitoring Process Boyd Kumher, Chief Compliance Officer, University of Minnesota
- Readiness: We discuss the legal impetus, campus culture, and administrative will, leading to creation of our disclosure procedure. We will share considerations on drafting policy, crafting a questionnaire, and selecting delivery method
- Roll-out: How we prepared for the disclosure process including beta testing, messaging/ marketing to employees, and developing resources. Hear our lessons learned, surprising response rates, and how we dealt with the unexpected
- Review: Learn how we devised an efficient and consistent approach to review thousands of responses. Having template management plans available and determining when they are needed. How and when to communicate with respondents and other campus partners
- How confident are you that compliance risks are being well managed? Knowing if and how these risk areas are being monitored, the measures that are taken when gaps or failures are found, and how this is communicated within the organization
- Jump start your own compliance risk review program by using tools and templates that we’ve developed or compare our approach to what you may already have in place at your institution
- Enhance synergies and reduce redundancy between your compliance program and internal audit program by defining the purpose and the roles and responsibilities for these two functions
11:30 AM - 12:30 PMBreakout Sessions#HE04HE04: Investigations - The Who, The How, and The What Could Go Wrong? How to Effectively Navigate an Investigation Vincent Lacovara, Chief Ethics and Compliance Officer, George Mason University Corey Parker, Senior Manager, Baker Tilly Vicki Duggan, Chief Compliance, Risk and Ethics Officer, Montgomery College
HIGHED Intermediate#HE05HE05: Effective Compliance Responses to Covid-19 and Financial Disruption: A Facilitated Discussion Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University
- Engage with a panel of experienced compliance professionals on the role of the compliance function in an investigation. What is an investigation? What must be investigated? How is it documented? Who performs the investigation? How is information shared?
- Discuss how institutions can create standards for conducting different types of compliance and workplace investigations to ensure the process is consistently performed in a way that adds value for all stakeholders and protects the institution
- Present opportunities to leverage existing communication channels, internal controls, data analytics, key performance indicators, and other leading practices to enhance the investigations process and monitor trending activities across the institution
- Analyze the major Covid-19 related regulatory changes, and their expected impact on compliance for universities;
- Supply an analytical framework for approaching mid-cycle, urgent changes to compliance priorities, due to operational and fiscal pressures; and
- Provide points of discussion for participants on successful approaches for compliance leaders to maintain relevance and effectiveness during a protracted crisis
01:15 PM - 02:15 PMBreakout Sessions#HE06HE06: Awareness, Training, and Development: A Scaffold Approach to Compliance Education Omar Andujar, Associate Compliance Officer, Univ of CT Kimberly Hill, Associate Compliance Officer, University of Connecticut
HIGHED Basic#HE07HE07: Sports Wagering and Intercollegiate Athletics Jessica Teets, Policy Office Coordinator, Purdue University Deborah Trice, Director of Compliance & Associate Counsel, Student Affairs, Purdue University Alysa Rollock, VP for Ethics and Compliance, Purdue University
- Based on the Department of Justice guidance and research-based adult-learning concepts, presenters will provide innovative strategies for developing a comprehensive multi-modality education program
- Presenters will share their experiences and explore tools for designing and developing engaging and effective compliance learning environments
- Presenters will discuss the value of leveraging metrics to assess education efforts and drive creative solutions and initiatives to enhance a culture of compliance
- The Supreme Court lifted the federal ban on sports betting in May 2018. Several states have legalized sports betting, including wagering on intercollegiate athletics
- What factors should colleges and universities consider in adopting policies to regulate sports betting on teams, student-athletes, coaches, or events?
- Who should be covered by such policies? How should the policies be enforced?
02:30 PM - 03:30 PMBreakout Sessions#HE08HE08: A Journey Down the Road of College and University Cybersecurity Breaches: A Review of Recent University and College Case Studies, Lessons Learned, and How to Mitigate Being a Victim Charles Shugg, Partner | Chief Operating Officer, Sylint Group, Inc
HIGHED Advanced#HE09HE09: Fraud in Higher Education Institutions: It Only Happens at Other Schools Joseph Agins, Fraud, Ethics & Compliance Specialist, TDCJ
- Gain awareness and understanding of today’s potential unauthorized actors that could put your network at risk to include their intent, tactics, and outward appearance
- Review real case examples of higher education attacks that highlights the avenues of attack and recommend mitigation actions to minimize the risk of compromise
- Examine a prioritized list of recommended cybersecurity measures to reduce risk, maintain security awareness, and determine your organization’s cybersecurity maturity level
- Case studies-Can it really happen here? The answer is yes. Discuss and learn from countless recent examples as we cover several, entirely preventable, frauds at institutions of higher education just like yours
- There are a multitude of factors that contribute to educational institutions being repeat victims of fraud. Understanding these factors can help you detect, deter and minimize occupational fraud from occurring at your institution
- Why do they do it? Delve into the mind of a fraudster to understand how they commit the fraud, and more importantly, how they rationalize and justify crossing the line to well-liked and good employees from your institution
03:45 PM - 04:45 PMBreakout Sessions#HE10HE10: Foreign Influence: Mitigating Risk through Strong Policies and Processes Mary Millsaps, Director, Research Information Assurance, Purdue University Deborah Trice, Director of Compliance & Associate Counsel, Student Affairs, Purdue University
HIGHED Basic#HE11HE11: Operationalizing Privacy and Data Security Compliance in Higher Education Starr Drum, Shareholder, Maynard Cooper & Gale Tres Cleveland, Maynard Cooper & Gale
- Since February 2018, the federal government has expressed increasing concern regarding foreign influence in academia. This topic has been the subject of multiple congressional hearings, federal advisory groups, and proposed and enacted legislation
- What policies and processes should be reviewed and adopted to address the potential for foreign influence?
- One university’s approach to identify and address compliance issues related to foreign influence will be presented
- This session covers the predominant privacy and data security regulations affecting the education sector, including CCPA, GDPR, FERPA, and state data breach laws. Participants will learn the key requirements of these laws and when they apply
- Participants will also learn how to prioritize privacy and data security risks by assessing their geographic footprint, the types of personal information they are processing, and the platforms they are using to interface with individuals
- Specific actions to operationalize privacy and data security compliance will be covered, including notice and consent, information governance policies, individual rights, vendor management, employee training, and incident response procedures
Tuesday, June 2
07:15 AM - 08:15 AMShakRa Yoga Flow This class will start with gentle stretches, breath awareness and move into classic yoga sun salutations. We will build flow sequences, play with balance postures and end with a resting meditation (savasana). This class is for all levels of experience from beginners to more advanced as the focus will be on alignment and breath. Join Zoom: Meeting ID: 885 5538 7030 You will need to enter a password to access the virtual class, the password can be found in your attendee confirmation email.
08:50 AM - 10:00 AMGeneral Session: What do Starbucks Coffee, Jimmy Buffet, and a Can of Cheez Whiz Have In Common? A Unique Look at How to Explain Ethics and Compliance and Successfully Embed It Within the Operations Beth Colling, Senior Vice President and Chief Compliance Officer, CDM Smith, Inc.
- Learn how to introduce or refresh a compliance and ethics program into your organization, especially where buy-in seems lacking
- Develop methods to market your program to internal stakeholders using real-life examples
- Take away practical tips for establishing and defining the program and embedding it within your organization using the operational leaders as your Compliance Ambassadors
10:15 AM - 11:15 AMBreakout Sessions#HE13HE13: Centralizing University Policy Approval and Management John Lawley, Deputy Chief Compliance Officer, Emory University Brian Jenkins, Asst. Dir. Compliance and Ethics Programs, Emory University
HIGHED Basic#HE14HE14: Who’s Afraid of Internal Controls? Not Me! Using Internal Controls to Make Higher Education Compliance Programs More Effective Marisa Zuskar, Senior Director, Huron Consulting Group Deena King, Chief Compliance Officer, The University of Texas at Tyler
- This session will describe a new policy approval process developed at Emory as we move from a decentralized approach to a centralized process
- The presentation will detail the methods by which centralized review can bring about greater transparency and standardization
- The presenters will also share key challenges faced when overhauling the policy approval process
- Internal controls (ICs) are not as scary or technical as you may think. You are likely using them in your institutional compliance program already. We will uncover the true definition and intent of ICs so they are easier to understand, design, and apply
- We will discuss and share examples of how to balance different types of internal controls--including compliance activities you may not have considered to be controls, such as technology, procedures, and training-to build a strong compliance structure
- We will review how you can use commonly available tools and reference guides, such as the federal “Green Book,” the HCCA-OIG Resource Guide, and the Internal Control Integrated Framework to establish an effective, controls-based compliance program
11:30 AM - 12:30 PMBreakout Sessions#HE15HE15: High Anxiety - The Drug Free Schools and Communities Act, the Drug Free Workplace Act, and the Legalization of Marijuana Sarah McPhee, Senior Coordinator of Compliance, University of Illinois David Grogan, Associate Director of University Compliance, University of Illinois
HIGHED Basic#HE16HE16: Investigations Infrastructure and Corrective Actions Jessica Tobias, Ethics Director and Compliance Investigator, The Ohio State University Chris Glaros, Assc VP for Compliance Operations & Investigations, The Ohio State University
- Understanding the Drug Free Schools and Communities Act and the Drug Free Workplace Act before trying to comply with them
- New recreational and medical use marijuana laws are sweeping across the states - exploring Illinois and other examples
- Rolling it all together - how to address the conflicting federal and state marijuana mandates in your Clery compliance program
- Explore how colleges and universities can investigate and centrally track increasingly wide-ranging and complex allegations of legal and policy violations
- Practice using materiality ratings and clear protocols for effective stakeholder coordination and efficient leadership reporting
- Discuss how to formalize corrective actions and incorporate the development and assessment of corrective actions into a compliance program
01:15 PM - 02:15 PMBreakout Sessions#HE17HE17: Dealing with the F Word: Foreign Gifts and Contracts Katy Galloway, Compliance Coordinator, The University of Alabama Marcy Huey, Executive Director of Institutional Compliance, The University of Alabama
HIGHED Basic#HE18HE18: Harmonizing the Compliance, Internal Audit, and Enterprise Risk Management Risk Functions John Powers, Director, PwC
- Recently, the Department of Education has increased their scrutiny of Foreign Gifts and Contracts reporting from colleges and universities
- The challenge? What to report, how to report it, and how to streamline the process to make it effective
- Changes and proposed changes call for collaboration, continued vigilance, and process modifications
- How colleges and universities are coordinating second and third lines of defense to increase risk coverage in a cost-effective efficient manner
- How are compliance professionals leveraging developments in technology to enhance both the compliance program as well as coordination efforts between ERM and internal audit
- Plus, relevant updates from PwC’s 2020 Global State of Compliance Survey
02:30 PM - 03:30 PMBreakout Sessions#HE19HE19: Building and Sustaining a Culture of Compliance and Ethics: Compliance Training Robert Roach, Senior Advisor, Guidepost Solutions LLC, Guidepost Solutions LLC Erum Raza, Acting Chief Global Compliance Officer, New York University
HIGHED Basic#HE20HE20: Complying with the Shifting Title IX Landscape Wendi Delmendo, Chief Compliance Officer, University of California, Davis
- Whether your institution has a long established compliance training program or has recently started to focus on this area, compliance training is a critical element of every university compliance program and should be routinely reviewed and updated
- This session will focus on ways in which compliance officers can enhance compliance training and awareness programs across their institution in order to ensure a sustained and strong culture of compliance
- We will explore various topics and answer fundamental questions, such as: What are the basic training elements every university compliance training and awareness program should have? and How can institutions scaleup their current training efforts?
- Responding to allegations of sexual misconduct remains a hot button issue for higher education.
- At the same time, the Department of Education is poised to release Title IX regulations in early 2020 that could significantly change how colleges and universities investigate and adjudicate Title IX matters. These regulations may conflict with state laws and will likely result in litigation.
- This session will discuss the shifting Title IX landscape and review how a large university system is approaching these compliance challenges in its handling of complaints involving students, employees, and patients
03:45 PM - 04:45 PMGeneral Session: Foreign Influences on Research Integrity: Tackling the Challenging Issues while Maintaining an Open and Collaborative Global Research Environment Alexander Bustamante, SVP, Chief Compliance & Audit Officer, University of California System Shanda Hunt , UC Systemwide Research Compliance Manager, University of CA-Off of the President
- A brief overview of the landscape (including new federal policies and federal law enforcement’s shift toward criminal prosecution)
- UC Office of Ethics, Compliance, and Audit Services Strategy for Foreign Influence Compliance - Training and Awareness Campaign - Compliance Assessments - Systemwide Audits - Investigative Protocols Tracking and Monitoring
- Lessons learned and next steps - Communicating with Academics - Expanding awareness engagements with federal law enforcement and federal funding agencies
04:50 PM - 05:30 PMCocktails & Conversations Grab your favorite beverage right after the sessions conclude and join your colleagues for some end of the day dialogues
Wednesday, June 3
07:15 AM - 08:15 AMShakRa Power Flow Begin your Wednesday with ShakRa Power Flow Yoga, starting at 7:15 am CDT/8:15 am EDT: This powerful and energetic flow class will combine yoga poses and breath with an element of strength. Slightly longer and faster sun salutations will be performed to build heat in the body. Isometric holds and core work will target strength building the major muscle groups. The class will wind down with a much-deserved stretch and resting meditation (savasana). The poses used in this class are more physically challenging but are not complicated. Modifications will be offered, so persons of any physical ability are welcome to join this class. Join Zoom: Meeting ID: 879 3106 2885 You will need to enter a password to access the virtual class, the password can be found in your attendee confirmation email.
08:15 AM - 08:55 AMConnect over Coffee Grab your favorite morning brew or tea and connect with your colleagues to kick off the last day of the conference
09:00 AM - 10:30 AMBreakout Sessions#HE22HE22: HIPAA and Hybrid Entity Status: Why Most Universities Get It Wrong Marti Arvin, Executive Advisor, CynergisTek, Inc.
HIGHED Advanced#HE23HE23: Free Speech and Protests on Campus: Strategies to Protect Reputation and Safety Alexander Bilus, Partner, Saul Ewing Arnstein & Lehr LLP Kathryn Murphy, Counsel, Saul Ewing Arnstein & Lehr LLP
- Brief overview of the regulations on hybrid entity status
- Top 10 mistakes universities make in designating hybrid status
- Understanding the compliance implications of getting this wrong
- Foster awareness of the legal and policy related implications of student protest and counter-protest activities on campus, as well as reputational implications in a crisis management situation
- Develop an understanding of techniques to prepare for student free speech activities, and the importance of having a strategic response plan in place both during and after a protest
- Explore best practices for before, during, and after incidents related to protests on campus
10:45 AM - 12:15 PMBreakout Sessions#HE24HE24: Export Controls and International Research Robert Roach, Senior Advisor, Guidepost Solutions LLC, Guidepost Solutions LLC Julie Myers Wood, CEO, Guidepost Solutions
HIGHED Basic#HE25HE25: Institution-wide Compliance Assessment: What It Is and Why You Need to Do It Meghan St. George, Manager, Baker Tilly Brian Daniels, Chief Audit and Compliance Officer, University of Tennessee
- This session will provide a broad overview of key US export control and trade sanction laws which may impact international research, whether your institution has a significant overseas presence or limited international research activities
- The session will cover multiple ways in which university compliance officers working with other university departments can work towards mitigating risks in this area. We will explore various monitoring techniques, and touch on some actual cases. We will also briefly discuss potential penalties for noncompliance with relevant federal laws
- Finally, we will touch on the importance of conducting periodic program assessments (including, self-assessments and third-party assessments)
- Understand the key elements (e.g., structures, processes, key activities) and benefits of performing an institution-wide compliance program assessment
- Discuss the role of the compliance function, as well as other stakeholders, in executing an institution-wide compliance program assessment
- Learn how to leverage the results of a compliance program assessment within the organization’s risk management framework to provide value to institutional stakeholders
01:00 PM - 02:30 PMBreakout Sessions#HE26HE26: Financial Risk Monitoring in Higher Education: New Compliance Challenges James Sheehan, Chief, Charities Bureau, NY Attorney General Jonathan Green, Deputy Chief, Public Charities Division, Mass. AG
HIGHED Advanced#HE27HE27: Artificial Intelligence and Proactive Compliance Alejandra Vallejos, Co Founder, Seal Legal Forensics Sander van der Voorde, Seal Legal Forensics
- Colleges and universities are facing significant financial constraints and a declining college-age population. These conditions require compliance and governance measures to protect the mission of the institution and the interests of students
- Two state nonprofit regulators review available data and reporting about trends and identification of at-risk institutions, and what compliance programs are needed and plans to address risks
- The speakers will discuss specific case examples: including the College of New Rochelle, Mount Ida College, Wheelock College, and Dowling College; and what regulators now expect, including requirements of the new Massachusetts statute on Risk Monitoring
- Using AI and deciding what to investigate. Handling the difference between what you want and need to review. What are the strategic decisions to be taken? How are these decisions taken?
- Effective communication on internal investigations that have used AI. How to keep the company engaged and involved with a sound corporate environment for the employees
- AI and privacy. What are the consequences, the risks and the measures to be taken before, during and after an investigation?
02:45 PM - 04:15 PMBreakout Sessions#HE28HE28: Developing and Utilizing a HECA Model Compliance Matrix to Track Compliance Obligations on Your Campus Katie Ignatowski, Chief Compliance Officer, University of Wisconsin System Kimberly Langolf, Director of Sponsored Programs and Risk and Safety, UW Oshkosh Grace Crickette, Vice Chancellor Administrative Affairs, University of Wisconsin - Whitewater
HIGHED Intermediate#HE29HE29: Compliance Officers Roundtable Jacqueline Kniska, Chief Ethics and Compliance Officer, Virginia Commonwealth University Nedra Abbruzzese-Werling, Assoc VP for Compliance Services, Boston University
- This session will discuss how the University of Wisconsin System developed a compliance matrix database to inventory, track, and organize compliance obligations from federal law, state law, and Board of Regents policy across the entire system
- We’ll cover the approach we used to create the platform, the research strategies we used to populate the relevant compliance information, and the methods we deployed to identify accountability for each obligation at three levels within each of our 13 institutions
- We’ll walk through how this tool integrates with our HR system to ensure that reporting and disclosure obligations don’t “fall through the cracks” when an employee leaves and that new employees receive information regarding relevant compliance obligations in the onboarding process
- This session will feature an in-depth discussion of real-time and emerging challenges faced by compliance and ethics officers on campuses of varied sizes and within compliance programs at every stage of maturity, and specifically:
- The opportunity to understand the issues and challenges that face other Compliance Officers;
- Strategies for strengthening compliance programs and providing adequate responses to emerging issues and trends; and
- Program success in a shifting landscape, and maintaining focus and integrity in the face of truly unprecedented regulatory, political, and media scrutiny
All breakout sessions have a knowledge level associated with them, these levels are just guidelines and you are free to attend sessions of any level.
Basic: Program knowledge level most beneficial to Compliance Professionals new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.
Intermediate: Program knowledge level that builds on a basic program, most appropriate for Compliance Professionals with detailed knowledge in an area. Such persons are often at a mid-level within the organization, with operational or supervisory responsibilities, or both.
Advanced: This level focuses on the development of in-depth knowledge, a variety of skills, or a broader range of applications. Advanced level programs are often appropriate for seasoned professionals within organizations, and professionals with specialized knowledge in a subject area