2020 Virtual Higher Education Compliance Conference

1. Building and Sustaining a Culture of Compliance and Ethics: Compliance Training

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Robert Roach, New York University  | June 02, 2020 

   • 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 scale up their current training efforts?

2. Centralizing University Policy Approval and Management

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): John D. Lawley, Scotty Jenkins  | June 02, 2020 

   • 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

3. Complying with the Shifting Title IX Landscape

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Wendi Delmendo  | June 02, 2020 

   • 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

4. Dealing with the F Word: Foreign Gifts and Contracts

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Katy Galloway, Marcy R. Huey  | June 02, 2020 

   • 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

5. Investigations Infrastructure and Corrective Actions

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Jessica L. Tobias, Chris Glaros  | June 02, 2020 

   • 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

6. GENERAL SESSION: Foreign Influences on Research Integrity: Tackling the Challenging Issues while Maintaining an Open and Collaborative Global Research Environment

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Alexander Bustamante, Shanda Hunt  | June 02, 2020 

   • 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

7. GENERAL 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

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Beth Colling  | June 02, 2020 

   • 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 reallife 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

8. Harmonizing the Compliance, Internal Audit, and Enterprise Risk Management Risk Functions

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): John Powers  | June 02, 2020 

   • 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

9. High Anxiety - The Drug Free Schools and Communities Act, the Drug Free Workplace Act, and the Legalization of Marijuana

   2020 Virtual Higher Education Compliance Conference  | Presenter(s): Sarah E. McPhee, David E. Grogan  | June 02, 2020 

   • 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

10. Who's Afraid of Internal Controls? Not Me! Using Internal Controls to Make Higher Education Compliance Programs More Effective

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Marisa Zuskar, Deena King  | June 02, 2020 

    • 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. 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

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Charles Shugg  | June 01, 2020 

    • 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

12. Awareness, Training, and Development: A Scaffold Approach to Compliance Education

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Omar Andujar, Kimberly Hill  | June 01, 2020 

    • 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

13. Compliance Risk Reviews: Developing a Collaborative Compliance Monitoring Process

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Boyd Kumher  | June 01, 2020 

    • 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

14. Effective Compliance Responses to Covid-19 and Financial Disruption: A Facilitated Discussion

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Gates Garrity-Rokous  | June 01, 2020 

    • 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

    • Provide points of discussion for participants on successful approaches for compliance leaders to maintain relevance and effectiveness

15. Foreign Influence: Mitigating Risk through Strong Policies and Processes

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Mary D. Millsaps, Deborah B. Trice  | June 01, 2020 

    • 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

16. Fraud in Higher Education Institutions: It Only Happens at Other Schools

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Joseph Agins  | June 01, 2020 

    • 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

17. GENERAL SESSION: Higher Education Compliance: 2019-20 Year in Review

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Marisa Zuskar  | June 01, 2020 

    • 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

18. Operationalizing Privacy and Data Security Compliance in Higher Education

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Starr Drum, Tres Cleveland  | June 01, 2020 

    • 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

19. Sports Wagering and Intercollegiate Athletics

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Jessica Teets, Deborah B. Trice, Alysa C. Rollock  | June 01, 2020 

    • 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?

20. Investigations - The Who, The How, and The What Could Go Wrong? How to Effectively Navigate an Investigation

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Vincent A. LaCovara, Corey Parker, Vicki Duggan  | June 01, 2020 

    • 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 Retrieving data. Wait a few seconds and try to cut or copy again.

21. Imagineering a University-wide Conflict of Interest or Commitment Disclosure Process: Make (What Seems Like) the Impossible, Possible

    2020 Virtual Higher Education Compliance Conference  | Presenter(s): Robert W. Gottesman, Kevin Robinson  | June 01, 2020 

    • 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