Higher Education Compliance Conference

P1 The Evolving Role of Compliance in Higher Education: A Practical Guide

Speakers: Alejandro Diaz, Katlyn Andrews

• Discuss some of the unique challenges compliance presents for institutions of higher education
• Explore various organizational and reporting structures for compliance at colleges and universities
• Discover how compliance offices facilitate and/or support enterprise risk management (ERM) processes

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P2 Building a Champions Network to Support Compliance in Higher Education

Speakers: Matt Silverman, Tracy Arwood

• Understanding the psychology behind the spread of ideas and how to influence your network
• Learning the key steps and overall process in developing a successful champions network
• Examining the components of a real-world champions network at an institution of higher education

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P3 Real Talk: Policy Management Headaches and How to Avoid Them

Speakers: Alexandra Killian, Andrea Falcione, Desiree Ramirez

• Policies: Are they centrally located? Can employees find what they need? Do they answer key questions?
• Learn how often to update your policies and create an effective policy management plan
• See how UNTHSC transformed its large bank of policies so employees can actually use them

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P4 Building a Culture of Compliance and Trust

Speakers: Jennifer Clark, Katy Galloway, Marcy Huey

• Explore strategies for managing common roadblocks
• Use marketing tools to create a trustworthy internal "brand" for your department
• Define reasonable expectations based on the culture of your campus

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P5 Conflict of Interest, NSPM-33, and DPI: Implications for Your Research Compliance Program

Speakers: Amanda Ferguson, Rebecca Scott

Discuss the background and major provisions of the presidential memo

• Analyze the changes to COI disclosures and the grant application process, including DPI's
• Deliver guidance on how to prepare, and what steps research institutions can take now

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P6 The Hotline Is Ringing Now What? Best Practices for Managing and Coordinating Investigations in an Academic Environment

Speakers: Jordan Segall, Kimberly Fearney, Robert Roach

• Discuss techniques for structuring your investigations program and conducting effective investigations
• Learn best practices for overseeing and coordinating compliance investigations with other departments
• Learn how to meet recent DOJ and Federal Agency reporting requirements when conducting investigations

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P7 Reading Body Language for Audit Compliance

Speaker: Jerry Balistreri

• Develop skills in reading non-verbal tells in the workplace
• Detect deception in any situation
• Describe the three requirements to detecting deception

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P8 Compliance Officers Roundtable

Speaker: Nedra Abbruzzese-Werling

• 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
• Adapting your program during unprecedented regulatory, political, and media scrutiny

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General Compliance Session 1: How to be an Effective and Impactful CECO: Strategies for the Modern Day Compliance Officer

Speakers: Alysa Rollock, Erum Raza, Gary Nimax, Nedra Abbruzzese-Werling

• Keeping your compliance office running with increasingly limited resources 
• Establishing connections and fostering relationships with campus stakeholders in a Zoom/hybrid/WFH post-COVID world
• Choosing how to focus your limited bandwidth when competing priorities are demanding your attention
• Strategies for keeping up with the onslaught of new laws, regulations, and state-specific laws that could completely consume your time if you let them
• Strategies for balancing your work load against your personal life and mental wellbeing

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101 Report Card for Your Compliance Program: How to Start or Continue Measuring Your Program’s Quality and Effectiveness

Speakers: Aminah Massenburg, Kyra Castano

• Discuss hot topic compliance risks in higher education & understand how they could impact your institution
• Understand what TCNJ and other institutions are doing to measure program quality and effectiveness
• Learn how to create action plans after self, peer, and consulting reviews

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102 Title IX: Practice Pointers for Compliance Perfection

Speakers: Ashley Lynam, Kacie Kergides

• Review Title IX comment period leading to current promulgated regulations
• Discuss current regulations, compliance requirements, major policy-changes required and implementation concerns
• Provide recommendations and advice to avoid litigation and promote safe, compliant campus community

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103 International Research Security and Compliance: Hot Topics for 2023

Speakers: Chetna Koshy, Kenneth Liddle, Robert Roach

• Learn the latest news on protecting international research, federal enforcement and legislative action
• Discover recent developments in U.S. and foreign export controls, OFAC regs and CFIUS requirements
• Discuss latest trends in anticorruption laws: FCPA, UK anti-bribery and other international regimes

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104 Measuring the Effectiveness of Risk Mitigation Strategies

Speakers: Christine Packard, Olivia Watson

• Develop an understanding of the relationship between risk assessment and risk mitigation
• Apply a risk assessment process as a baseline for measuring risk mitigation
• Identify how to measure effectiveness of risk mitigation strategies in reducing risk exposure

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105 University Export Control Compliance Programs

Speakers: Scot Allen, Sheila Cranman

• Discuss export control basics and federal agency requirements for export compliance programs
• Learn what the GAO recommends for university export control programs
• Is your export compliance program the best it can be? Evaluate strategies to improve and educate

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106 Minimizing Risk, Maximizing Impact: New Approaches to Compliance and Internal Audit Partnerships

Speakers: Ashley Fountaine, John Kiss

• Provide tools and resources for effective compliance risk tracking and internal audit collaboration
• Identify areas of emerging compliance risk and provide examples of how compliance and internal audit partner together in these areas for enhanced risk management and service delivery
• Facilitate a discussion around current and evolving practices in compliance and internal audit partnerships, providing opportunity for participants to engage and share

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107 The Bear Climbed Over the Mountain: When it Comes to Accessibility, Why We Can Never Stop

Speakers: Erum Raza, Tessa Lucey

• Physical accessibility and digital accessibility
• Challenges faced by IHE (old buildings, decentralization, resources)
• What’s next and what does this mean for compliance officers/professionals

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108 Assessing Non-disclosure of Foreign Activity

Speakers: Aaron Cohen, Melissa Hall

• Learn what foreign activity is and why it is important that faculty and researchers disclose it
• Discover what Institutional data and open-source data are useful to perform a risk assessment
• Identify best practices to review and assess non-disclosed foreign activity risk

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109 Deconflicting Conflicts of Interest

Speakers: Isabelle Holcombe, Marcy Huey

• Gain executive support and departmental buy-in to create and execute a centralized COI process
• Assess existing processes and improve coordination, efficiency and minimize redundancy
• Streamline disclosure submissions and reporting processes

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110 Monitoring vs. Assurance: Managing Risk in a Decentralized Research Environment

Speakers: Krista Kenney, Vanessa Peoples

• Review key elements of an effective compliance program based on U.S. Department of Justice guidance
• Understand the three lines of defense model and how it can be used in effective risk management
• Understand how both monitoring and assurance activities are important in mitigating risks with practical examples

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General Session 2: Privacy Law - Year in Review

Speakers: Alexander Bilus, Kenneth Liddle

• Understand changes to privacy law at all levels - including state, federal, and international
• Prepare for the emerging role of Artificial Intelligence (AI) and biometric data on campus
• Look beyond a CISO: Is it time to establish a privacy program on your campus?

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111 The Risk May Be Real: A Refresh on DOJs Corporate Compliance Polices and Their Application to Institutions of Higher Education

Speakers: Deborah Solmor, Rachael Honig, Terance Gonsalves

• Summarize DOJ's guidance on corporate compliance programs and enforcement actions
• Discuss best practices and how compliance programs are evolving in light of DOJ's guidance
• Review how institutions of higher education should be thinking about DOJ's guidance

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112 Use What You Know: Applying Foundational Compliance Principles to Clery Act Requirements

Speaker: Melinda Latas

• Developing policies that will anchor your campus Clery compliance program
• Training partners based on values, priorities and their specific role in of the compliance puzzle
• Linking controls to key business and investigative processes, to optimize efficiency and enhance completeness of data sets

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113 Integrity Builds Trust: What? So What? and Now What?

Speaker: Paul Fiorelli

• Analyze the Elements of Trusting Relationships
• Review Higher Education Concerns including Admissions, NCAA, ChaptGPT, and Grant Mismanagement
• Explore Ways of Improving Trust through Whistleblower Protection, Internal Controls, Lessons Learned, Remediation and Hiring Trustworthy People

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114 You’re Not a Unicorn: Managing Compliance without a JD

Speakers: Stephanie Barber, Tessa Lucey, Tye Welch

• Leverage your skills, expertise and relationship building that brought you here in the first place
• Addressing the issue of attorney-client privilege and when to engage legal
• Discuss different possible career paths to overseeing compliance in higher education and suggestions on continued development

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115 Weathering Tough Times: The Role of the Institutional Compliance Officer in Helping the Institution Navigate Institutional Crisis

Speaker: Karen Solinski

• Identify the external and internal situations that can lead to institutional crisis
• Outline approaches for the Compliance Office to navigate institutional crisis situations
• Strategize improvement strategies to address the question of "what have we learned" from crisis

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116 Investigations, Root Cause, and Corrective Actions: Tools, Tips & Tricks

Speakers: Eleanor Kuszmar, Kele Piper

• An organized approach to conducting an investigation: checklists, timelines, scoping, reports
• I know what happened, how do I figure out why? Using Root Cause Analysis to determine issues
• How do I make sure it doesn’t happen again? Multi-level corrective action plans to address issues

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117 Three Ways to Ensure Effective Relationships between System Offices and Member Institutions

Speakers: Janet Gordon, John LaRue

• Communicate effectively across organizational silos within and between university and system offices
• Collaborate to ensure effective policies and procedures supported on campus and throughout system
• Cooperate on initiatives, investigations, and change management for proper oversight and compliance

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118 The Alliance of Awesome: Policy and Investigator Partnerships That Win!

Speakers: Kelly Cross, LaTeisha Jeannis

• Structures to facilitate partnerships and lessons learned by Investigators and Policy Administrators
• Input and guidelines from policy owner vs subject area expert vs investigator
• Identification and pursuit of resolution of gaps identified in policy review and investigations

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General Compliance Session 3: Compliance Program Lessons from Recent Higher Ed Enforcement Actions

Speakers: Eric Groen, Samir Kaushik

• Look back at recent high profile enforcement actions 
• Learn how organizations responded 
• Take away lessons for how to improve your compliance program

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