2019 Higher Education Compliance Conference

1. Commercialization and Conflicts: How Values Can Drive Simplification

   2019 Higher Education Compliance Conference  | Presenter(s): Jessica Tobias, Gates Garrity-Rokous  | June 12, 2019 

   • 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?

2. How to Take an Integrated Approach to Compliance in a World of Uncertainty

   2019 Higher Education Compliance Conference  | Presenter(s): Steven Minsky, Sheryl A. Ireland, Jody Gonzalez  | June 12, 2019 

   • 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

3. Trends and Updates in Federal Student Loan Fraud Investigations

   2019 Higher Education Compliance Conference  | Presenter(s): Scott Grubman  | June 12, 2019 

   • 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.

4. Get the PCI DSS Compliance Program You Need

   2019 Higher Education Compliance Conference  | Presenter(s): Carolann G. Lazarus  | June 11, 2019 

   • Recognize when your PCI compliance program needs to be reinvigorated.

   • Identify the key components of a successful PCI program

   • Learn some of the common hurdles and solutions

5. Creating a Successful Title IX Compliance Program

   2019 Higher Education Compliance Conference  | Presenter(s): Thomas Shanahan, Josh Whitlock, Mary Gower  | June 11, 2019 

   • 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.

6. Fighting Fraud and Corruption in Higher Education

   2019 Higher Education Compliance Conference  | Presenter(s): MaryJo Kranacher  | June 11, 2019 

   • 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

7. Campus Wide Policy Management System: Lessons from the Trenches

   2019 Higher Education Compliance Conference  | Presenter(s): Marcy R. Huey, Jennifer Clark  | June 11, 2019 

   • 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

8. Compliance By Wandering Around (CBWA): Simple Solutions to Improving the Value and Effectiveness of Your Compliance Program

   2019 Higher Education Compliance Conference  | Presenter(s): Joseph Agins  | June 11, 2019 

   • 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

9. Concern Reporting: Leveraging Reporting to Drive Integrity Culture

   2019 Higher Education Compliance Conference  | Presenter(s): Gates Garrity-Rokous  | June 11, 2019 

   • 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

10. General Compliance Session: Compliance as a Change Agent

    2019 Higher Education Compliance Conference  | Presenter(s): John Powers, Jeffrey I. Chasen  | June 11, 2019 

    • 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

11. General Compliance Session: From the Big Easy to the Big Ten and Beyond: Lessons from the Reform of the New Orleans Police Department for Colleges and Universities

    2019 Higher Education Compliance Conference  | Presenter(s): Jonathan Aronie, Joseph Jay  | June 11, 2019 

    • 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 reallife college and university events

    • Evaluate how these reform strategies can be applied to evolving issues on campus and in society

12. Gift Acceptance: Balancing University Priorities with Donor Intent

    2019 Higher Education Compliance Conference  | Presenter(s): Julian Williams, Colleen Lewis  | June 11, 2019 

    • 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 ongoing analysis and assessment of gift acceptance policies and procedures

13. Re-inventing a Code of Conduct: A Case In Civility

    2019 Higher Education Compliance Conference  | Presenter(s): Susan C. Buskirk, Stephanie N. Suerth  | June 11, 2019 

    • 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

14. Teamwork: The Relationship Between Compliance Officers, In-House Counsel, and Outside Counsel during Internal Investigations

    2019 Higher Education Compliance Conference  | Presenter(s): Laurel Gift, Dustin Gray, Richard Holmes  | June 11, 2019 

    • 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

15. Unique Challenges for HIPAA Compliance Within a University Hybrid Entity: How to Manage Privacy Requirements if You Do Not Have an AMC

    2019 Higher Education Compliance Conference  | Presenter(s): Hila Berger  | June 11, 2019 

    • 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

16. "Seriously, again already?"

    2019 Higher Education Compliance Conference  | Presenter(s): Donna McNeely, Traci Rolf  | June 10, 2019 

    • Keeping annual training fresh and engaging interactivity

    • Personalizing shelf training products for relatability and applicability

    • Topic-specific training snippets to reduce training fatigue

17. An Ethical Journey

    2019 Higher Education Compliance Conference  | Presenter(s): Deborah A. O'Connor, Kathleen A. Sutherland  | June 10, 2019 

    • How one university is developing and implementing an Ethical Program

    • Challenges faced within the University setting

    • Share tools developed

18. Don't Let Your Pull Push You Off the Rails

    2019 Higher Education Compliance Conference  | Presenter(s): Stephanie N. Suerth, Susan C. Buskirk  | June 10, 2019 

    • 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

19. Minors on Campus: It's More than Child's Play

    2019 Higher Education Compliance Conference  | Presenter(s): Alysa C. Rollock, Deborah B. Trice, Gena Maisto Smith  | June 10, 2019 

    • 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

20. Leveraging Partnerships and Technology to Enhance Your Institution's Compliance Program

    2019 Higher Education Compliance Conference  | Presenter(s): Dorinda Tucker, Kimberly Macedo  | June 10, 2019 

    • 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

21. Developing a Program for Controlled Unclassified Information (CUI)

    2019 Higher Education Compliance Conference  | Presenter(s): Kenneth J. Liddle, Kevin Gamache, Justin Williams  | June 10, 2019 

    • 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

22. General Compliance Session: Higher Education Compliance 2018-19 Year in Review

    2019 Higher Education Compliance Conference  | Presenter(s): Marisa Zuskar, Luanna Putney  | June 10, 2019 

    • 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

23. Getting the Most from your Hotline Program: Leveraging the Data to Gain Key Insights into your Institutional Culture

    2019 Higher Education Compliance Conference  | Presenter(s): Joseph Agins  | June 10, 2019 

    • 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

24. Human Resources Compliance: An Uncommon Approach at the University of California

    2019 Higher Education Compliance Conference  | Presenter(s): Jennifer Damico Murphy  | June 10, 2019 

    • 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

25. Think Outside the Box: Compliance Collaborative for Multiple Private Colleges and Universities

    2019 Higher Education Compliance Conference  | Presenter(s): Judith W. Spain, Lisa Macke  | June 10, 2019 

    • 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