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TWO CONFERENCES FOR THE PRICE OF ONEComplimentary access to HCCA’s Research Compliance Conference is included with your registration. Build your own schedule and attend sessions at both conferences!

Gather with your peers for the primary education and networking event for compliance and ethics professionals in higher education.

June 4–7, 2017 | Baltimore, MD

HigherEducationCompliance Conference

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Program at a Glance Higher Education Compliance Conference | June 4–7, 2017

* Advanced Discussions are interactive sessions geared toward more experienced compliance and ethics professionals. They are limited to 50 attendees and open on a first-come, first-served basis. No pre-registration is available.

SUNDAY, JUNE 4: PRE-CONFERENCE12:30 – 5:30 pm Registration Open

1:00 – 2:30 pm BReAKout sessions pRe-ConFeRenCe

P1 New Compliance and Ethics Program Roundtable – Kenneth J. Liddle, Director of Compliance, Rice University; Kate Miller, Manager of Institutional Compliance, Massachusetts Institute of Technology; Leyda L. Benitez, University Compliance Officer, Villanova University

P2 Risk Intelligence on Campuses: New Model for Applying and Developing a Comprehensive and Cohesive Risk Landscape – David S. Lane, Deputy Compliance Officer, Univ of CA - Office of President; Sheryl Vacca, Chief Risk Officer, Providence St Joseph Health, SVP Emerita, University of California

2:30 – 2:45 pm Networking Break

2:45 – 4:15 pm BReAKout sessions pRe-ConFeRenCe

P3 Bringing Compliance to the Classroom – Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University; Jessica Olms, Director, Compliance Testing and Monitoring, The Ohio State University

P4 Leading, Implementing, and Coordinating a Centralized but Decentralized Compliance Program – David S. Lane, Deputy Compliance Officer, Univ of CA - Office of President; Luanna K. Putney, Associate Chancellor and Senior Advisor to the Chancellor, Univ of CA Merced; Wendi Delmendo, Chief Compliance Officer, University of California, Davis; Wanda Ellison Crockett, Deputy Associate Chancellor, University of California Berkeley

4:15 – 5:30 pm Welcome Reception

MONDAY, JUNE 5: CONFERENCE7:30 Am – 6:30 pm Registration Open

7:30 – 8:30 Am Breakfast (provided)

8:30 – 8:45 Am Opening Remarks

8:45 – 9:45 Am General Session 1: Complying with Title IX and Clery and Providing Due Process to Respondents in Sexual Harassment and Sexual Violence Investigations on Campus – A. Joseph Jay III, Special Counsel, Cadwalader, Wickersham & Taft LLP; Anne M. Tompkins, Partner, Cadwalader, Wickersham & Taft LLP; Thomas C. Shanahan, Senior Vice President & General Counsel, University of North Carolina

9:45 – 10:15 Am Networking Break

10:15 – 11:15 Am BReAKout sessions

101 Spread the Word! Pragmatic Approaches for Communicating your Compliance Program – Carolyn R. Marks, International Operations Compliance Manager, Yale University

102 Sensitive Data Breach: Not If, But When – Holly B. Benton, Director, Privacy Compliance, Duke University Office of Audit, Risk and Compliance

ADVANCED DISCUSSION*103AD International Activity – Rebecca Holland, NYU

11:15 Am – 12:15 pm Networking Lunch (provided)

12:15 – 1:15 pm BReAKout sessions

201 Compliance Considerations in Preventing and Responding to Sexual and Interpersonal Violence on Campus: Law, Policy, and Practice – Nedra D. Abbruzzese-Werling, Associate Vice President for Compliance, Boston University Compliance Services; Joseph Storch, Associate Counsel, State University of NY

202 Compliance Issues on a Growing Campus – Deborah A. O’Connor, Dir Campus Compliance/Privacy Officer, Univ of CO Colorado Springs

203 Compliance Programs as Part of an ERM Program – Michael Somich, Director, Baker Tilly; Rick Moyer, Senior Associate Vice President and Chief Risk Officer, Office of Audit, Compliance, Risk and Privacy, Stanford University



301 Free Speech and College Campuses – John E. McDonald, Assistant Director - Office of Institutional Compliance and Ethics, Boise State University; Chris Jaeger, Ph.D. Student, Department of Psychology & Human Development, Vanderbilt University; Texie Montoya, Associate Special Counsel, Boise State University

302 Conducting Compliance Risk Assessments: Understanding Risk at the Functional Level – Rick Moyer, Senior Associate Vice President and Chief Risk Officer, Office of Audit, Compliance, Risk and Privacy, Stanford University

303 Case Study: Streamlining Policies and Processes involving COI, COC, and Nepotism at Indiana University – Marcia N. Gonzales, Chief Compliance Officer, Indiana University



401 Generational Ethics: A Battle of the Ages – Paul E. Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University

402 Academic Integrity and Data Analytics: Insights Gained from Visual Reporting – Joe Oringel, Managing Director, Visual Risk IQ; Stacie Tronto, Chief Audit Officer, East Carolina University

403 Your Word Is Not Enough: Records Management in an E-Discovery World – Nedra D. Abbruzzese-Werling, Associate Vice President for Compliance, Boston University Compliance Services; Adam Haney, Assistant Counsel, State University of New York - Office of General Counsel


4:30 – 5:30 pm General Session 2: The Changing Horizon in Higher Education Compliance: A View From the Lighthouse & Avoiding the Tweetstorm – MODERATOR: Adam Turteltaub, Vice President, Strategic Initiatives and International Programs, Society of Corporate Compliance and Ethics PANEL: Joel Mayer, Managing Director and Heald of Government Investigations, Navient; Laura L. LaCorte, Associate Senior Vice President, Compliance, University of Southern California; Regis Becker, Chief Ethics & Compliance Officer, Penn State University

5:30 – 6:30 pm Networking Reception

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Program at a Glance Higher Education Compliance Conference | June 4–7, 2017


TUESDAY, JUNE 6: CONFERENCE7:30 Am – 4:45 pm Registration Open

7:30 – 8:30 Am Breakfast (provided)

8:30 – 9:30 Am General Session 3: Cameras on Campus – Wade MacAdam, Corporal of Safety Programs and Crime Prevention, University of California Police Department-Berkeley


10:00 – 11:00 Am BReAKout sessions

501 The Affordable Care Act Employer Mandate: Special Considerations for Higher Education – Laura L. LaCorte, Associate Senior Vice President, Compliance, University of Southern California; Emily Zimmer, Partner, K&L Gates LLP

502 Compliance Concerns with Technology in Higher Education – Gary Miller, Director of Compliance & Privacy Officer, The College of New Jersey; Thomas Mahoney, Vice President and General Counsel, The College of New Jersey

503 Sustainable Compliance: Building Compliance Solutions to Last – Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University; Chris Glaros, Asst VP for Compliance Operations & Investigations, The Ohio State University


11:15 Am – 12:15 pm 601 Producing Your Own “What You Need to Know in Less than 5 Minutes” Animated Compliance Videos: Engage Faculty and Staff on a Shoestring Budget – David E. Grogan, Associate Director of University Compliance, University of Illinois; Donna McNeely, University Ethics Officer, University of Illinois

602 Tabletops, Desktops, and Other Educational Exercises: No Cost, Little Time…Big Impact! – Jeffrey I. Chasen, Associate Vice Provost, The University of Kansas; Jennifer Anderson, Associate Director of Institutional Compliance, University of Kansas

ADVANCED DISCUSSION*603AD Export Controls – Don Fischer, Principal, Fischer & Associates

12:15 – 1:15 pm Networking Lunch (provided)


701 Don’t Let Conflicts of Interest Corrupt Your Environment – Robert Berry, Executive Director of Internal Audit, University of South Alabama

702 Compliance in the Era of Individual Accountability – Alice M. BrightSky, Senior Director, Compliance Programs, Fordham University School of Law

703 Don’t Get Bitten by the Snake in Your Residence Hall: Using Best Practices to Build a Solid Assistive Animal Process and Policy – Judith W. Spain, General Counsel and Chief Ethics and Compliance Officer, Manhattanville College; Teresa Belluscio, President, Kentucky Coaching for Life



801 Compliance Challenges: Sex and Gender-Based Harassment in Higher Education – Robert Roach, Vice President, Chief Global Compliance Officer, New York University; Gina Smith, Chair of the Institutional Response Group, Cozen and O’Connor

802 Career Development for the Higher Ed Compliance Professional – CJ Wolf, Senior Compliance Executive, Healthicity

803 Security Beyond PCI Compliance: How to Protect Your Student’s Data – Jen Stone, Security Analyst, Security Metrics; Richard Chapman, Chief Privacy Officer, University of Kentucky HealthCare


3:45 – 4:45 pm General Session 4: Progression of the Profession: Formal Education Trends In Developing and Recruiting Compliance Professionals – Moderator: Ryan Meade, CHRC, CHC-F, Director of Regulatory Compliance Studies, Loyola University Chicago, School of Law; Melanie R. Kay, Director, Daniels Fund Ethics Initiative, University of Colorado Law School; Alice M. BrightSky, Senior Director, Compliance Programs, Fordham Law School; Colleen Dorsey, Esq., Director, Organizational Ethics & Compliance, University of St. Thomas

WEDNESDAY, JUNE 7: POST-CONFERENCE8:00 – 11:45 Am Registration Open

8:30 – 10:00 Am BReAKout sessionspost-ConFeRenCe

W1 Conducting Effective Investigations: A How-To and Tales from the Trenches – Alicia S. Estey, Exec Dir, Office of Institutional Compliance, Boise State University; Donna McNeely, University Ethics Officer, University of Illinois; David E. Grogan, Associate Director of University Compliance, University of Illinois

W2 Building and Managing Successful Compliance and Ethics Programs: A Tale of Three Institutions – Cassandra Walsh, Director, Baker Tilly; Vicki Duggan, Chief Compliance Officer, Montgomery College; Vin Lacovara, Chief Ethics and Compliance Officer, Catholic University; Julian R. Williams, VP of Compliance, Diversity & Ethics, George Mason University


10:15 – 11:45 Am BReAKout sessionspost-ConFeRenCe

W3 Monitoring Mentor: Guidance for Implementing a Compliance Monitoring Program – Jessica Wasserman, Asst Compliance Officer, New York University; John Powers, Manager, PwC

W4 Conference Recap: The Discussion Continues – Joel Mayer, Managing Director and Heald of Government Investigations, Navient

12:30 pm CCEP Exam Check-in

1:00 – 3:30 pm Certified Compliance & Ethics Professional (CCEP)® exam (optional)


Agenda Higher Education Compliance Conference | June 4–7, 2017 | Baltimore, MD


SUNDAY, JUNE 4PRE-CONFERENCE

12:30 – 5:30 pm Registration Open

1:00 – 2:30 pm BREAKOUT SESSIONS

P1 New Compliance and Ethics Program Roundtable

Kenneth J. Liddle, Director of Compliance, Rice University

Kate Miller, Manager of Institutional Compliance, Massachusetts Institute of Technology

Leyda L. Benitez, University Compliance Officer, Villanova University

xx Best practices and pitfalls for those just starting university compliance programs

xx Practical solutions to common problems, with plenty of open discussion and Q&A

xx Likely topics include developing a work plan, training programs, policy management, getting a seat at the table, working with faculty, the role of the Compliance Committee and measuring effectiveness

P2 Risk Intelligence on Campuses: New Model for Applying and Developing a Comprehensive and Cohesive Risk Landscape

David S. Lane, Deputy Compliance Officer, Univ of CA - Office of President

Sheryl Vacca, Chief Risk Officer, Providence St Joseph Health, SVP Emerita, University of California

xx Learn how to move beyond traditional enterprise risk management to a more applicable model of risk assessment and risk intelligence for campuses

xx Focus on new techniques and methods to bring campus partners including faculty into more active engagement in developing the compliance work plan

xx Apply hands-on activities and discussion to develop parameters for moving campuses from outdated risk assessment models to new approaches more applicable to higher education

2:30 – 2:45 pm

Networking Break


P3 Bringing Compliance to the Classroom

Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University

Jessica Olms, Director, Compliance Testing and Monitoring, The Ohio State University

xx How to build or extend a program to involve students in compliance activities, expanding resources and aligning to your university’s academic mission

xx This session will provide the tools necessary to effectively involve students in program testing and monitoring, training, athletics compliance, and Title IX activities

xx This session will also provide an optimized compliance model to provide consistent, useful training on compliance to student employees and interns

P4 Leading, Implementing, and Coordinating a Centralized but Decentralized Compliance Program

David S. Lane, Deputy Compliance Officer, Univ of CA - Office of President

Luanna K. Putney, Associate Chancellor and Senior Advisor to the Chancellor, Univ of CA Merced

Wendi Delmendo, Chief Compliance Officer, University of California, Davis

Wanda Ellison Crockett, Deputy Associate Chancellor, University of California Berkeley

xx Implements, expands, and refines its compliance program to allow for consistency and transparency for small, medium, and large campuses

xx Maintains campus culture and individuality while following best practices within a university system

xx Adapts to new systemwide initiatives around issues such as Title IX, Sexual Violence/Sexual Harassment, and cybersecurity and adapts to individual campus size and structure

4:15 – 5:30 pm Welcome Reception

MONDAY, JUNE 5CONFERENCE

7:30 am – 6:30 pm Registration Open

7:30 – 8:30 am

Breakfast (provided)

8:30 – 8:45 am

Opening Remarks

8:45 – 9:45 am

General Session 1: Complying with Title IX and Clery and Providing Due Process to Respondents in Sexual Harassment and Sexual Violence Investigations on Campus

A. Joseph Jay III, Special Counsel, Cadwalader, Wickersham & Taft LLP

Anne M. Tompkins, Partner, Cadwalader, Wickersham & Taft LLP

Thomas C. Shanahan, Senior Vice President & General Counsel, University of North Carolina

xx Identify and discuss challenges in compliance with Title IX and Clery Act with respect to campus investigations of sexual harassment and sexual violence

xx Discuss the provision of due process for respondents in campus investigations and adjudications of allegations of sexual harassment and sexual violence while balancing compliance obligations under Title IX in light of applicable rules and regulations

xx Examine and consider case studies of due process challenges to campus investigations of sexual harassment and sexual violence by respondents alleging lack of due process and consider best practices in light of such cases

9:45 – 10:15 am

Networking Break




10:15 – 11:15 am BREAKOUT SESSIONS

101 Spread the Word! Pragmatic Approaches for Communicating your Compliance Program

Carolyn R. Marks, International Operations Compliance Manager, Yale University

xx Learn the practical art of designing a communications plan to cultivate stakeholder relations, deliver compliance information, and promote ethical culture

xx Access tools and resources to create your own communications plan, including step-by-step instructions, implementation tips, and methods for measuring plan effectiveness

xx Consider a case study: lessons learned in designing and implementing Yale’s first international operations and compliance communications plan

102 Sensitive Data Breach: Not If, But When

Holly B. Benton, Director, Privacy Compliance, Duke University Office of Audit, Risk and Compliance

xx Identifying what sensitive and protected information exists and leveraging campus partners to effectively manage their information

xx Monitoring sensitive and protected information institution-wide using Research Data Security Plans

xx Managing information flow associated with onboarding and departing faculty through appropriate controls and documentation

ADVANCED DISCUSSION

103AD International ActivityRebecca Holland, NYU

11:15 am – 12:15 pm

Networking Lunch (provided)


201 Compliance Considerations in Preventing and Responding to Sexual and Interpersonal Violence on Campus: Law, Policy, and Practice

Nedra D. Abbruzzese-Werling, Associate Vice President for Compliance, Boston University Compliance Services

Joseph Storch, Associate Counsel, State University of NY

xx Provide an overview of relevant law, as well as best practices in developing policies that not only comply with the law, but go beyond with an eye towards student safety and violence prevention

xx Discuss methods to utilize on your campus to build compliance, as well as tactics for engaging stakeholders across the campus community, from leadership, to colleagues, to faculty, to students, and the outside community

xx Learn about available free and inexpensive resources that your campus can customize and implement. Develop an understanding of pitfalls and hazards in addressing a complex and highly regulated area of law and policy

202 Compliance Issues on a Growing Campus

Deborah A. O’Connor, Dir Campus Compliance/Privacy Officer, Univ of CO Colorado Springs

xx Challenges resulting from student growth outpacing staff support, facilities, funds, and communication bridges

xx Benefits include flexibility, freedom, and opportunities for creativity

xx Tips developed from lessons learned: for privacy, research, and Title IX

203 Compliance Programs as Part of an ERM Program

Michael Somich, Director, Baker Tilly

Rick Moyer, Senior Associate Vice President and Chief Risk Officer, Office of Audit, Compliance, Risk and Privacy, Stanford University

xx Understanding an ERM process and the way a compliance program fits into it

xx Exploring the structure of an ERM program and comparing it to a mature compliance program

xx Identifying the places where risk tolerance enter into decision made when developing a compliance program and ways a current program could begin to mature

1:15 – 1:45 pm

Networking Break


301 Free Speech and College Campuses

John E. McDonald, Assistant Director-Office of Institutional Compliance and Ethics, Boise State University

Chris Jaeger, Ph.D. Student, Department of Psychology & Human Development, Vanderbilt University

Texie Montoya, Associate Special Counsel, Boise State University

xx Historical overview of limitations on speech and expression at institutions of higher education

xx Know your forum: nonpublic, public, or limited public

xx Case law and practice regarding university restrictions on free speech




302 Conducting Compliance Risk Assessments: Understanding Risk at the Functional Level

Rick Moyer, Senior Associate Vice President and Chief Risk Officer, Office of Audit, Compliance, Risk and Privacy, Stanford University

xx Will discuss the Evolution, Promotion and Use of Compliance Risk Assessments (CRAs) in Higher Education. Emphasis will be on Understanding Risk in Functional Areas vs. at Enterprise Level

xx Will review Components of a Compliance Risk Assessment (CRA)—based on the 7 Elements of a Compliance Program. Will elaborate on the Gathering of Information and Issue of Report

xx Two Data Gathering/Monitoring Tools will be shared

303 Case Study: Streamlining Policies and Processes involving COI, COC, and Nepotism at Indiana University

Marcia N. Gonzales, Chief Compliance Officer, Indiana University

xx Summary of when the University started - several policies, different processes and many stakeholders

xx Establishing a single online disclosure process: determining content, workflow and the adjudication process

xx Addressing potential and current conflicts: tracking and reporting disclosure and content. Developing management plans and oversight

2:45 – 3:15 pm

Networking Break

3:15 – 4:15 pm

BREAKOUT SESSIONS

401 Generational Ethics: A Battle of the Ages

Paul E. Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University

xx Four generations are working together—Veterans, Boomers, Gen-X and Millennials. World events have shaped these generations, and each one has a different view of ethics

xx Video demonstrating the tensions between the generations, discuss strategies to improve the workplace environment and review highlights of the ERC Report “Generational Differences in the Workplace”

xx What are the different generational perceptions about (1) pressure to perform, (2) observed misconduct, (3) reporting misconduct, and (4) retaliation?

402 Academic Integrity and Data Analytics: Insights Gained from Visual Reporting

Joe Oringel, Managing Director, Visual Risk IQ

Stacie Tronto, Chief Audit Officer, East Carolina University

xx Measure academic integrity using a clearly defined set of measurement objectives

xx Build relationships with other departments on campus through a data-driven approach to audit and compliance

xx Use data analytics to identify classes, faculty, and student-athletes whose classroom performance may warrant additional scrutiny

403 Your Word Is Not Enough: Records Management in an E-Discovery World

Nedra D. Abbruzzese-Werling, Associate Vice President for Compliance, Boston University Compliance Services

Adam Haney, Assistant Counsel, State University of New York - Office of General Counsel

xx In a digital world, Universities are overwhelmed by e-discovery resulting from information requests. Learn the basics of records management and retention, and proactive records processes to put in place prior to e-discovery requests

xx The importance of proper records retention to compliance, how to develop and implement a robust records schedule and program at your campus, including ensuring adequate documentation of campus compliance efforts across all departments and disciplines

xx Practical solutions for campuses struggling to address the challenges presented by e-discovery, including how to develop an organized, streamlined approach to e-discovery that defines roles and establishes a process for responding to e-discovery demands

4:15 – 4:30 pm

Networking Break

4:30 – 5:30 pm

General Session 2: The Changing Horizon in Higher Education Compliance: A View From the Lighthouse & Avoiding the Tweetstorm

MODERATOR:Adam Turteltaub, Vice President, Strategic Initiatives and International Programs, Society of Corporate Compliance and Ethics

PANEL:

Joel Mayer, Managing Director and Heald of Government Investigations, Navient

Laura L. LaCorte, Associate Senior Vice President, Compliance, University of Southern California

Regis Becker, Chief Ethics & Compliance Officer, Penn State University

xx The panel will provide insights on emerging risks and preparing their organization

xx Identify actions that a compliance professional can do to stay current with the higher education political arena




5:30 – 6:30 pm

Networking Reception

TUESDAY, JUNE 6CONFERENCE

7:30 am – 4:45 pm

Registration Open

7:30 – 8:30 am

Breakfast (provided)

8:30 – 9:30 am

General Session 3: Cameras on Campus

Wade MacAdam, Corporal of Safety Programs and Crime Prevention, University of California Police Department-Berkeley

xx Discuss the variety of uses for cameras on campuses and how different campus constituents are affected and involved in implementation

xx Identify the challenges/requirements/obstacles that need to be considered when implementing cameras for specific uses

xx Describe what the compliance professional should consider now and in the future as technology changes and how they can be proactive in addressing the challenges

9:30 – 10:00 am

Networking Break


501 The Affordable Care Act Employer Mandate: Special Considerations for Higher Education

Laura L. LaCorte, Associate Senior Vice President, Compliance, University of Southern California

Emily Zimmer, Partner, K&L Gates LLP

xx ACA in the new administration: What we know and what we can expect

xx Implementation of ACA for unique populations at universities, including: (i) Graduate students; (ii) Resident Assistants; (iii) Employees who drop from full-time to part-time status; and (iv) Breaks in Service for adjuncts and other employees

xx Employee and IRS reporting: Lessons learned

502 Compliance Concerns with Technology in Higher Education

Gary Miller, Director of Compliance & Privacy Officer, The College of New Jersey

Thomas Mahoney, Vice President and General Counsel, The College of New Jersey

xx Discuss the requirements for providing Distance Education online, including obtaining proper State Authorization and compliance with accreditation standards

xx Highlight the privacy and security concerns with learning analytics and third party learning tool interoperability applications (“LTIs”)

xx Describe copyright law requirements incumbent on institutions and faculty utilizing digital resources

503 Sustainable Compliance: Building Compliance Solutions to Last

Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University

Chris Glaros, Asst VP for Compliance Operations & Investigations, The Ohio State University

xx This session will focus on creating, identifying, and measuring truly sustained compliance solutions through practical tools and examples

xx The presented tools will include consistent tracking and reporting processes, measures of effectiveness, and HR performance evaluation

xx In addition to a focus on program effectiveness, this session will also highlight methods to balance sustainability and regulatory risk (including resourcing and risk acceptance)

11:00 – 11:15 am

Networking Break

11:15 am – 12:15 pm

BREAKOUT SESSIONS

601 Producing Your Own “What You Need to Know in Less than 5 Minutes” Animated Compliance Videos: Engage Faculty and Staff on a Shoestring Budget

David E. Grogan, Associate Director of University Compliance, University of Illinois

Donna McNeely, University Ethics Officer, University of Illinois

xx Your institution’s faculty and staff are busy and they won’t pay attention to long, obligatory repetitive compliance training. You need something innovative and engaging

xx Capture their attention by producing your own short animated videos that focus on specific compliance topics you need your target audience to be aware of

xx The session will discuss identifying topics, preparing the video script, coordinating the effort with stakeholders and achieving buy-in, and producing and rolling out the product

602 Tabletops, Desktops, and Other Educational Exercises: No Cost, Little Time…Big Impact!

Jeffrey I. Chasen, Associate Vice Provost, The University of Kansas

Jennifer Anderson, Associate Director of Institutional Compliance, University of Kansas

xx Case studies illustrating a variety of topics and types of tabletop/other activities

xx Strategies for enhancing communication and leveraging data to identify and develop opportunities for educational exercises (including a sample template for attendees’ use)

xx Models and examples that attendees can use on their campuses

ADVANCED DISCUSSION

603AD Export ControlsDon Fischer, Principal, Fischer & Associates

12:15 – 1:15 pm

Networking Lunch (provided)




1:15 – 2:15 pm

BREAKOUT SESSIONS

701 Don’t Let Conflicts of Interest Corrupt Your Environment

Robert Berry, Executive Director of Internal Audit, University of South Alabama

xx In this session, participants will learn to identify and describe the three types of conflicts of interest

xx Additionally, participants will discuss factors that make operating environments more susceptible to conflicts of interest

xx Finally, this session teaches methods to evaluate your current conflict oversight processes and test conflict monitoring mechanisms

702 Compliance in the Era of Individual Accountability

Alice M. BrightSky, Senior Director, Compliance Programs, Fordham University School of Law

xx There have been some landmark enforcement actions in recent years holding individuals accountable for deficiencies in their institution’s compliance programs and wrong-doing committed on their watches. Let’s discuss a few

xx Keeping with this trend, the NYDFS recently adopted a new regulation holding executives accountable for the effectiveness of their institution’s transaction monitoring programs. Let’s take a look at it

xx While companies don’t commit crimes, people do finding one or a handful of individuals to pin responsibility on can be tricky business. Let’s explore the potential challenges to getting it right

703 Don’t Get Bitten by the Snake in Your Residence Hall: Using Best Practices to Build a Solid Assistive Animal Process and Policy

Judith W. Spain, General Counsel and Chief Ethics and Compliance Officer, Manhattanville College

Teresa Belluscio, President, Kentucky Coaching for Life

xx From ferrets to cats to rabbits to dogs, participants will learn essential identifying factors and laws that determine the differences between comfort, assistance, emotional, and service animals

xx Building a compliant assistance animal process and policy is essential in avoiding lawsuits. This session will highlight Do’s and Don’ts and identify campus partners to build your program. Current best practices will be presented

xx Using a case analysis method, participants will actively work through several real-life scenarios and take-away a thoughtful analytical process to utilize at your campus

2:15 – 2:30 pm

Networking Break

2:30 – 3:30 pm

BREAKOUT SESSIONS

801 Compliance Challenges: Sex and Gender-Based Harassment in Higher Education

Robert Roach, Vice President, Chief Global Compliance Officer, New York University

Gina Smith, Chair of the Institutional Response Group, Cozen and O’Connor

xx Compliance with Title IX and the Violence Against Women Act has become a full time effort for institutions in higher education, which must navigate complex psychological, emotional, financial and legal requirements

xx This session will explore the complex legal framework, the dynamics of sexual violence and how schools through effective compliance policies, procedures and practices can create safe environments

802 Career Development for the Higher Ed Compliance Professional

CJ Wolf, Senior Compliance Executive, Healthicity

xx Learn what’s unique to higher ed compliance compared to corporate, healthcare and other compliance fields

xx Discuss transitioning from compliance in other industries to higher ed compliance

xx Identify resources for learning for the new higher ed compliance professional

803 Security Beyond PCI Compliance: How to Protect Your Student’s Data

Jen Stone, Security Analyst, Security Metrics

Richard Chapman, Chief Privacy Officer, University of Kentucky HealthCare

xx Discover the top practices that make your organization vulnerable to data breaches, and how hackers are stealing your data

xx Understand how getting PCI compliant is just the starting point for data security in your organization

xx Learn tips and best practices to further improve your security and ensure the safety of your students’ data

3:30 – 3:45 pm

Networking Break




3:45 – 4:45 pm

General Session 4: Progression of the Profession: Formal Education Trends In Developing and Recruiting Compliance Professionals

Moderator: Ryan Meade, CHRC, CHC-F, Director of Regulatory Compliance Studies, Loyola University Chicago, School of Law

Melanie R. Kay, Director, Daniels Fund Ethics Initiative, University of Colorado Law School

Alice M. BrightSky, Senior Director, Compliance Programs, Fordham Law School

Colleen Dorsey, Esq., Director, Organizational Ethics & Compliance, University of St. Thomas

xx Learn about new programs and methods for developing the next generation of compliance professionals

xx Discuss benefits and challenges in hiring new graduates

xx Review approaches for recruiting new talent

WEDNESDAY, JUNE 7POST-CONFERENCE

8:00 – 11:45 am

Registration Open


W1 Conducting Effective Investigations: A How-To and Tales from the Trenches

Alicia S. Estey, Exec Dir, Office of Institutional Compliance, Boise State University

Donna McNeely, University Ethics Officer, University of Illinois

David E. Grogan, Associate Director of University Compliance, University of Illinois

xx Investigation techniques for ethics and compliance professionals: initial investigation planning; identifying staffing and witnesses; interview techniques; credibility assessments; confidentiality and FOIA; documentation; and communicating conclusions

xx Tales from the trenches: war stories, lessons learned, and skills gained from investigations

xx Group sharing of best practices, lessons learned, and helpful techniques used at your institution

W2 Building and Managing Successful Compliance and Ethics Programs: A Tale of Three Institutions

Cassandra Walsh, Director, Baker Tilly

Vicki Duggan, Chief Compliance Officer, Montgomery College

Vin Lacovara, Chief Ethics and Compliance Officer, Catholic University

Julian R. Williams, VP of Compliance, Diversity & Ethics, George Mason University

xx Learn how three institutions addressed the challenges in building, managing, and maintaining effective compliance and ethics programs. The panel represents the perspectives of a public university, a private university, and a public community college

xx Discussion topics and questions will range from the preliminary steps in making the case for a compliance program, evaluating the governance structure, performing a gap analysis, and insight into the complexities in navigating these early stages

xx Additional questions will cover creating an implementation roadmap, evaluating the effectiveness of the program, pros and cons of what functions are combined with compliance (e.g., internal audit, diversity, privacy), and the importance of communication

10:00 – 10:15 am

Networking Break


W3 Monitoring Mentor: Guidance for Implementing a Compliance Monitoring Program

Jessica Wasserman, Asst Compliance Officer, New York University

John Powers, Manager, PwC

xx Obtain practical insight with regards to the designing and planning of compliance monitoring activities to meet today’s compliance challenges

xx Identify key compliance monitoring activities and controls for top higher education compliance risks and requirements

xx Leverage internal and external partners as well as tools to develop effective and sustainable compliance monitoring programs

W4 Conference Recap: The Discussion Continues

Joel Mayer, Managing Director and Heald of Government Investigations, Navient

12:30 pm

CCEP Exam Check-in

1:00 – 3:30 pm

Certified Compliance & Ethics Professional (CCEP)® exam (optional)


CEUs Higher Education Compliance Conference | June 4–7, 2017 | Baltimore, MD

SCCE is in the process of applying for additional credits. Should overall number of education hours decrease or increase, the maximum number of CEUs available will be changed accordingly.

If you do not see information on your specific accreditation and would like to make a request, please contact us at 952-933-4977 or 888-277-4977 or email [email protected]. Visit SCCE’s’s website, corporatecompliance.org, for up-to-date information.

Compliance Certification Board (CCB): CCB has awarded a maximum of 21.6 CEUs for these certifications: Certified in Healthcare Compliance (CHC)®, Certified in Healthcare Compliance– Fellow (CHC-F)®, Certified in Healthcare Privacy Compliance (CHPC®), Certified in Healthcare Research Compliance (CHRC)®, Certified Compliance & Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional–Fellow (CCEP-F)®, Certified Compliance & Ethics Professional–International (CCEP-I)®.

CLE: The Health Care Compliance Association is a State Bar of California Approved MCLE provider, a Pennsylvania Accredited Provider, and is an accredited sponsor, approved by the State Bar of Texas, Committee on MCLE. HCCA will be submitting this course to additional states for consideration. An approximate maximum of 17.0 clock hours of CLE credit will be available to attendees of this conference. All CLE credits will be awarded based on individual attendance.

NASBA/CPE: The Society of Corporate Compliance & Ethics/Health Care Compliance Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors, Sponsor Identification No: 105638. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket. org. A recommended maximum of 21.5 credits based on a 50-minute hour will

be granted for this activity. This program addresses topics that are of a current concern in the compliance environment and is a group-live activity in the recommended field of study of Specialized Knowledge and Application. For more information regarding administrative policies such as complaints or refunds, call 888-580-8373 or 952-988-0141.

Certified Compliance & Ethics Professional (CCEP)®

Learn more about the CCEP certification at compliancecertification.org/ccep

EARN YOUR CERTIFICATION

Take the CCEP Certification Exam on-site after the conferenceWednesday, June 7 | 12:30 pm

$250 SCCE MEMBERS OR $350 NON-MEMBERS

You must be pre-registered to sit for the exam. To apply, download the CCEP exam application from corporatecompliance.org/highered. Questions? Email [email protected]. Twenty CCB CEUS are required to sit for the exam. For Higher Education Compliance Conference sessions, one clock hour equals 1.2 CCB/CCEP hours. Attending the entire Higher Education Compliance Conference will provide 21.6 CCB CEUs, which will provide sufficient CEUs to qualify to sit for the exam.


Certifi ed Compliance & Ethics Professional (CCEP)®

Certifi ed Compliance & Ethics

Professional-International (CCEP-I)®

Certifi ed Compliance & Ethics

Professional-Fellow (CCEP-F)®

Set the bar for your compliance team and demonstrate your skill in the

compliance profession

Increase your value in the workplace and to future employers

Showcase your compliance knowledge

and experience

A few letters after your name can make a big diff erenceWhy do people add JD, MBA, or CPA after their name? They know those initials add credibility.

Become a Certified Compliance and Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional-International (CCEP-I)®, or Certified Compliance & Ethics Professional-Fellow (CCEP-F)®.

Applying to become certifi ed is easy.To learn what it takes to earn the CCEP, CCEP-I, or CCEP-F designation, visit compliancecertification.org.

Certi�ed Compliance & Ethics Professional

Become Certifi ed

ccb-2016-ccep-all-certifications-1pg-ad.indd 1 7/15/16 10:38 AM


Join the Society of Corporate Compliance and Ethics along with 6,000 of your peersOur community of compliance professionals is de� ning and shaping the corporate compliance environment around the world.

Interested in becoming a member?Learn more about the bene� ts of membership and how to join at corporatecompliance.org/join

ARE YOU PART OF SCCE’S COMPLIANCE COMMUNITY?


Register Higher Education Compliance Conference | June 4–7, 2017 | Baltimore, MD

Full name please type or print

Sharing your demographic information with SCCE will help us create better networking opportunities for you. Thank you for taking a moment to fill out the following information.

What is your functional job title? Please select one.

List others not listed here:

What credentials do you hold? Select all that apply.


What best describes the industry you work for? Please select one.


Are you a first-time attendee of the Higher Education Compliance Conference?

YES NO

REGISTRATION CONTINUES ON NEXT PAGE (OVER)

Academic/Professor Administration Analyst Asst Compliance Officer Attorney (In-House Counsel) Attorney (Outside Counsel) Audit Analyst Audit Manager/Officer Billing Manager/Officer Charger Master Chief Compliance Officer Chief Executive Officer Chief Financial Officer Chief Information Officer Chief Medical Officer Chief Operating Officer Clinical Coder Compliance Analyst Compliance Coordinator Compliance Director Compliance Fraud Examiner

Compliance Officer Compliance Specialist Consultant Controller Corporate Responsibility & Performance Ethics & Integrity Officer Executive Director General Corporate Counsel Human Resources Information Technology Nurse Privacy Officer President Quality Assurance Regulatory Affairs Reimbursement Coordinator Risk Management Security/Services Technology Trainer/Educator Vice President Other (please indicate below)

ACHE AIC APA BA BBA BS BSN CAMS CCEP

CCEP-I CCS CCS-P CEM CFE CGMS CHC CHE CHP

CHPC CHRC CIA CIP CIPP CPA CPC CPHQ CUSECO

DDS ESQ FCA FHFMA ISS JD LLM MA MBA

MHA MPA MPH MS MSHA MSN MT NHA PCI

PhD PMP RHIA RHIT RN SADR SCLA

Accounting/Auditing Administrative and Support Services Advertising/Marketing/Public Relations Aerospace/Aviation/Defense Agriculture Airlines Architectural Services Arts/Entertainment/Media Automotive/Motor Vehicles/Parts Banking Biotechnical and Pharmaceutical Chemical/Polymers/Fibers Computer Hardware Computer Services Computer Software Construction Consulting Services Consumer Products Customer Service/Call Center Education/Training/Library Electronics Energy Engineering Environmental Services Finance/Economics Financial Services Forest Products Government/Policy Healthcare Higher Education

Hospitality/Tourism Human Resources/Recruiting Information Technology Installation/Maintenance/Repair Insurance Internet/E-Commerce Law Enforcement/Security Services Legal Manufacturing and Production Military Mining Operations Management Personal Care and Service Publishing/Printing Purchasing Real Estate/Mortgage Research & Development Restaurant and Food Service Retail/Wholesale Science Sports and Recreation/Fitness Supply Chain/Logistics Telecommunications Textiles Tobacco Transportation/Warehousing Veterinary Services Utilities Waste Management Services Other (please indicate below)


Register Higher Education Compliance Conference | June 4–7, 2017 | Baltimore, MD

3 Registration Options SCCE Members: MONDAY & TUESDAY ........................................$799

Non-Members: MONDAY & TUESDAY ..........................................$949

New Membership & Registration: MON/TUE ...............................$999 New members only. Dues regularly $295 annually.

Pre-Conference: SUNDAY ...........................................................$125

Post-Conference: WEDNESDAY ...................................................$125

Discount for 5 or more from same organization ........................... ($50)

Discount for 10 or more from same organization ....................... ($100)

TOTAL $ Registration fees are as listed and considered net of any local withholding taxes applicable in your country of residence.

2 Contact Information Mr Mrs Ms Dr

Member ID (if applicable)

First Name MI

Last Name

Credentials (CHC, CCEP, etc.)

Job Title

Name of Employer

Street Address

City/Town

State/Province Zip/Postal Code

Country

Phone Fax

Email (required for registration confirmation and conference info)

4 Payment Options Check enclosed (payable to SCCE)

Invoice me

I authorize SCCE to charge my credit card (choose card below):

CREDIT CARD: American Express Discover MasterCard Visa

Due to PCI Compliance, please do not provide any credit card information via email. You may email this form to [email protected] (without credit card information) and call SCCE at +1 952 933 4977 or 888 277 4977 with your credit card.

Credit Card Account Number

Credit Card Expiration Date

Cardholder’s Name

Cardholder’s SignatureHE0617

WAYS TO REGISTERMAIL Include registration form with check payable to: SCCE, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, United States

ONLINE corporatecompliance.org/highered

FAX +1 952 988 0146 (include billing info)

EMAIL [email protected] (do not email credit card details)

QUESTIONS? Call +1 952 933 4977 or 888 277 4977 or email [email protected]

SPECIAL REQUESTDIETARY NEEDS

Gluten Free

Kosher-Style (no shellfish, pork, or meat/dairy mixed)

Kosher (Hechsher certified)

Vegetarian

Vegan

Other (write below)

By submitting this registration form you agree to the Terms and Conditions as stated on page 15.

Registering for SCCE’s Higher Education Compliance Conference automatically registers you for HCCA’s Research Compliance Conference at no additional cost.

Society of Corporate Compliance and Ethics®

6500 Barrie Road, Suite 250 Minneapolis, MN 55435 United Statesp +1 952 933 4977 or 888 277 4977 | F +1 952 988 0146corporatecompliance.org | helpteam @ corporatecompliance.org

5 Session SelectionPlease select your sessions to assist us in room planning. Select only ONE session per time slot. Advanced Discussions are limited to the first 50 attendees and open on a first-come, first-served basis —no pre-registration is available.

MON, JUNE 5 BREAKOUTS

10:15 – 11:15 am

101

102

* 103AD

12:15 – 1:15 pm

201

202

203

1:45 – 2:45 pm

301

302

303

3:15 – 4:15 pm

401

402

403

TUE, JUNE 6 BREAKOUTS

10:00 – 11:00 am

501

502

503

11:15 am – 12:15 pm

601

602

* 603AD

1:15 – 2:15 pm

701

702

703

2:30 – 3:30 pm

801

802

803

WED, JUNE 7 POST-CONFERENCE

+$125

8:30 – 10:00 am

W1

W2

10:15 – 11:45 am

W3

W4

SUN, JUNE 4 PRE-CONFERENCE

+$125

1:00 – 2:30 pm

P1

P2

2:45 – 4:15 pm

P3

P4

I’m interested in selecting sessions from HCCA’s Research Compliance Conference. Please send me more information.


Details Higher Education Compliance Conference | June 4–7, 2017 | Baltimore, MD

TERMS AND CONDITIONS

Registration Payment Terms. Checks are payable to SCCE. Credit cards accepted: American Express, MasterCard, Visa, or Discover. SCCE will charge your credit card the correct amount should your total be miscalculated. If you wish to pay using wire transfer funds, please email [email protected] for instructions.

Cancellations/Substitutions. You may send a substitute in your place or request a conference credit. Refunds will not be issued. Conference credits are issued in the full amount of the registration fees paid, and will expire 12 months from the date of the original, cancelled event. Conference credits may be used toward any SCCE service or product. If a credit is applied toward an event, the event must take place prior to the credit’s expiration date. If you need to cancel your participation, notification is required by email, sent to [email protected], prior to the start date of the event. Please note that if you are sending a substitute, an additional fee may apply.

Group Discounts. Discounts take effect the day a group reaches the discount number of registrants. Please send registration forms together to ensure that the discount is applied. A separate registration form is required for each registrant. The group discount is NOT available through online registration. Note that discounts will NOT be applied retroactively if more registrants are added at a later date, but new registrants will receive the group discount.

5 or more: $50 discount/each registrant10 or more: $100 discount/each registrant

Use of Information. Your information may be received by exhibitors at a conference as well as our affiliates and partners who we may share it with for marketing purposes. Please note that only postal address information is shared. If you wish to opt-out, please follow the process set out in the Privacy Statement (online at corporatecompliance.org/privacy.aspx).

Agreements & Acknowledgements. I agree and acknowledge that I am undertaking participation in SCCE events and activities as my own free and intentional act, and I am fully aware that possible physical injury might occur to me as a result of my participation in these events. I give this acknowledgement freely and knowingly and assert that I am, as a result, able to participate in SCCE events, and I do hereby assume responsibility for my own well-being. I agree and acknowledge that SCCE plans to take photographs and/or video at the Higher Education Compliance Conference and reproduce them in SCCE educational, news, or promotional material, whether in print, electronic, or other media, including the SCCE website. By participating in the Higher Education Compliance Conference, I grant SCCE the right to use my name, photograph, video, and biography for such purposes. As a participant of this event, your name, job title, organization, city, state, and country will be listed on the attendee list that will be distributed to attendees, speakers, and exhibitors of this event.

Special Needs/Concerns. Prior to your arrival, please call SCCE at +1 952 933 4977 or 888 277 4977 if you have a special need and require accommodation to participate.

Dress Code. Business casual dress is appropriate.

Recording. No unauthorized audio or video recording of SCCE Conferences is allowed.

Continuing Education Units. SCCE is in the process of applying for credits. See page 10 for more. Visit the website, corporatecompliance.org/highered, for the most up-to-date information.

HOTEL & CONFERENCE LOCATIONMarriott Baltimore Waterfront 700 Aliceanna Street Baltimore, MD 21202 p 410-385-3000 baltimoremarriottwaterfront.com

PHONE RESERVATIONS: Call the hotel directly at +1 410 385 3000 and ask for the SCCE Higher Education Compliance Conference rate.

ONLINE RESERVATIONS: https://aws.passkey.com/event/15793724/owner/3649/landing

A reduced rate of $242 per night for single/double occupancy plus applicable taxes has been arranged for this conference. This rate is good through May 12, 2017, or until the group room block is full, whichever comes first. All reservations must be accompanied by a first-night room deposit or guaranteed with a major credit card.

Please visit corporatecompliance.org/highered for updated hotel reservation information.

PLEASE NOTE: Neither SCCE nor any hotel it is affiliated with will ever contact you to make a hotel reservation. If you receive a call soliciting reservations on behalf of SCCE or the event, it is likely from a room poacher and may be fraudulent. We recommend you make reservations directly with the hotel using the phone number or web link provided by SCCE. If you have concerns or questions, please contact +1 952 933 4977.

SCCE THANKS OUR 2017 PLATINUM SPONSOR

Register today and enjoy the flexibility of two conferences for the price of one!Complimentary access to HCCA’s Research Compliance Conference is included with your registration. Build your own schedule and attend sessions at both conferences!

AGENDA INSIDE

6500 Barrie Road, Suite 250Minneapolis, MN 55435, United Statescorporatecompliance.org

corporatecompliance.org/highered

Gather with your peers for the primary networking and learning event for compliance and ethics professionals in higher education.





LAST CHANCE: REGISTER

NOW

last chance: register higher now education · david s. lane, deputy compliance officer, univ of ca...

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