Sessions by date and time

College and University Compliance Programs: Obligations, Organization and Implementation

Presented in cooperation with the American Council on Education (ACE), the Association of Governing Boards (AGB), AAU, NAICU, EDUCAUSE, NACUBO, and CUPA-HR.

Wednesday, November 11, 2009

1:00 p.m. - 1:15 p.m.

Welcome and Introduction to the Program

Location: Palladian Ballroom

Derek Langhauser, President of NACUA; General Counsel, Maine Community College System

Miles Postema, Chair of Legal Education Committee Planning Group; Vice President and General Counsel, Ferris State University

Kathleen Curry Santora, Chief Executive Officer, National Association of College and University Attorneys

1:15 p.m. - 2:30 p.m.

01. Overview: College and University Compliance Program Goals, Elements, Structures and Strategies

Location: Palladian Ballroom

Overview of compliance program models: Compliance program goals, structures and strategies; Board and CEO leadership; Risk identification and minimization; How to incorporate ethics in your program
Elements of an effective compliance program
Legal mandates: Federal statutes, regulations, case law and other sources of the compliance obligation

Craig Parker, Moderator, University of the District of Columbia

Patrick Dunkley, Stanford University

Rudolph Green, The University of Texas at Austin

2:45 p.m. - 4:00 p.m.

02A. Campus Codes of Ethics: Culture and Roles and Compliance Programs

Location: Palladian Ballroom

Difference between ethics and compliance: Organizational culture; What is a culture of ethical conduct
Developing a "state of the art" code of ethical conduct
Tailoring ethics and compliance program to your institution: Defining college/university’s values and standards; Public or private institution?
Organizational size and structure
Regulatory environment
History of ethics and compliance violations?; Management style and ability

Maureen Scannell Bateman, Moderator, Manhattanville College

Diane Delaney-Sheehan, New York University

Rebecca Holland, New York University

02B. Conducting Campus Risk Assessment and Setting Compliance Priorities

Location: Diplomat Ballroom

Conducting a compliance risk assessment: COSO and other risk assessment models; Compliance risk assessment as part of an "enterprise risk management" program
Identifying potential compliance risks - mapping business and academic processes and other methodologies
Setting priorities using "risk algorithms"

Craig Stewart, Arnold & Porter LLP

Andrea Bonime-Blanc, Daylight Forensic & Advisory LLC

Marcia Isaacson, State University of New York

Stephen Sencer, Emory University

4:15 p.m. - 5:30 p.m.

03A. Creating Effective Compliance Programs at Larger Institutions: Models and Procedures

Location: Palladian Ballroom

Jeffrey Kestler, Columbia University

Kevin Licciardi, Princeton University

Robert Roach, New York University

03B. Creating Effective Compliance Programs at Smaller Institutions or on a Limited Budget: Models and Procedures

Location: Diplomat Ballroom

Various structures and models: centralized, decentralized, other; cultural and fiscal considerations
Effective and affordable strategies: role of general counsel; risk assessments; outsourcing; web resources/technology; compliance partners

Margaret O'Donnell, Moderator, The Catholic University of America

Lucien (Skip) Capone, University of North Carolina at Asheville

Jennifer Kirkland, Washington and Lee University

Georgia Yuan, U.S. Department of Education

5:30 p.m. - 6:30 p.m.

Reception for Registrants and Presenters

Location: Empire Ballroom

Thursday, November 12, 2009

7:00 a.m. - 8:00 a.m.

Continental Breakfast

Location: Palladian Ballroom Foyer

8:00 a.m. - 9:15 a.m.

04A. Compliance in Governance (Including IRS Requirements and Recommended Practices)

Location: Palladian Ballroom

IRS "Good Governance Practices" for non-profits
Orientation/training of trustees regarding their obligations
Governing documents – state law, articles of incorporation, by-laws, policies and procedures
Form 990
Intermediate sanctions
Sarbanes Oxley

Stephen Dunham, Johns Hopkins University

Leanne Shank, Washington and Lee University

04B. Key Human Resources Compliance Obligations, Part I - Non-Discrimination Compliance

Location: Diplomat Ballroom

Flora Devine, Kennesaw State University

Amy Foerster, Saul Ewing LLP

Brent Wilson, Elarbee, Thompson, Sapp & Wilson, LLP

9:30 a.m. - 10:45 a.m.

05A. Compliance in Conflict of Interest Policies

Location: Palladian Ballroom

Drivers of COI Policies
Compliance Goals and Exposures
Elements of Effective Policy
Best Practices and Pitfalls
Case Studies

Bacardi Jackson, Moderator, Tucker Law Group, LLC

Robert Bienstock, Yale University

Benjamin Rosenberg, Dechert LLP

05B. Key Human Resources Compliance Obligations, Part II - Non-EEO Compliance

Location: Diplomat Ballroom

Some particularly thorny HR compliance areas
Best practices to avoid legal exposure
Creative and effective approaches to implementing compliance measures
Useful resources

Jennifer Kirkland, Washington and Lee University

Megan Norris, Miller, Canfield, Paddock and Stone P.L.C

Kathleen Rinehart, Saint Xavier University

11:00 a.m. - 12:00 p.m.

06A. Compliance in Intercollegiate Athletics

Location: Senate

Discussion Group

Melinda Grier, Melinda Grier Consulting

Steven Prevaux, University of South Florida

06B. Compliance in Human Subjects Research

Location: Congressional B

Discussion Group

Ann Adams, Northwestern University

Robert Bienstock, Yale University

06C. HR Compliance Issues

Location: Council

Discussion Group

Amy Foerster, Saul Ewing LLP

Kathleen Rinehart, Saint Xavier University

06D. Web 2.0: Compliance and Risk Issues

Location: Forum

Discussion Group

John Calkins, Northwestern University

Beth Cate, Indiana University

06E. Compliance Programs at Smaller Institutions or with Limited Budgets

Location: Congressional A

Discussion Group

Craig Parker, University of the District of Columbia

06F. Compliance Programs at Larger Institutions

Location: Cabinet

Discussion Group

Andrew Strong, The Texas A&M University System

12:00 p.m. - 1:30 p.m.

Luncheon

Location: Empire Ballroom

1:30 p.m. - 2:45 p.m.

07A. Compliance with Export Controls

Location: Palladian Ballroom

Roles and responsibilities of university counsel, sponsored program staff and others in export control compliance
Do you need an Export Control Management Plan? If so, what should it look like and how should it be used?
Biggest export control risks facing universities today?
Most common mistakes made by sponsor program personnel and/or counsel and what you can do to avoid them

Marcia Isaacson, Moderator, State University of New York

John Barker, Arnold & Porter LLP

Carol Carr, Carol Tracy Carr, University Consulting Services

Gretta Rowold, The University of Oklahoma

07B. Key HEOA Compliance Obligations

Location: Diplomat Ballroom

Major compliance obligations
Who on campus needs to be involved
Effective dates of various provisions
Models for tracking compliance
Helpful resources
Update on Compliance Page mandated by Congress

Jennifer Kirkland, Moderator, Washington and Lee University

Susan Hattan, National Association of Independent Colleges and Universities

Megan McClean, Advisory Committee on Student Financial Assistance

Margaret O'Donnell, The Catholic University of America

3:00 p.m. - 4:15 p.m.

08A. Compliance in International Activities and Programs

Location: Palladian Ballroom

U.S. laws applicable to overseas activities (except for export controls)
Policies and practices for compliance with foreign laws applicable to overseas campuses and student programs
Policies and practices for compliance with foreign laws applicable to overseas research programs
Doing business abroad: legal status (registration, licensing, local entity, joint venture), employment, tax, real estate, local counsel

E. Bernard Justis, Johns Hopkins University

Sunanda Holmes, Johns Hopkins University

Lisa Rae, World Learning

08B. Compliance in Privacy and Information Security

Location: Diplomat Ballroom

Risks of noncompliance: Legal—overview of laws and enforcement; Reputational
Risk minimization/mitigation strategies: Formulating and enforcing data protection standards and safeguards; Developing and delivering education; Choosing the right structure for a data protection program; Identifying and incorporating the key stakeholders

John Nicholson, Moderator, Pillsbury Winthrop Shaw Pittman LLP

Mark Bruhn, Indiana University

Beth Cate, Indiana University

Fred Cate, Indiana University School of Law

4:30 p.m. - 5:30 p.m.

09A. Compliance in Grants Management

Location: Cabinet

Discussion Group

Peter Harrington, Bowditch & Dewey, LLP

Jill Mortali, Dartmouth College

09B. Encouraging and Enforcing Compliance (and Compliance with the Compliance Program)

Location: Council

Discussion Group

Ann Franke, Wise Results, LLC

Margaret O'Donnell, The Catholic University of America

09C. Compliance in Lobbying and Political Activities

Location: Senate

Discussion Group

Ada Meloy, American Council on Education

C. Randall Nuckolls, McKenna Long & Aldridge

09D. Compliance in Immigration

Location: Congressional A

Discussion Group

Russell Ford, Graham Adair

Helene Robertson, The Catholic University of America

09E. Compliance with Economic Stimulus (ARRA) Funding Requirements

Location: Forum

Discussion Group

Jeffrey Hunter, Dow Lohnes PLLC

David Kennedy, Council on Governmental Relations

09F. Conducting Risk Assessments and Enterprise Risk Management

Location: Congressional B

Discussion Group

Robert Roach, New York University

Stephen Sencer, Emory University

Friday, November 13, 2009

7:00 a.m. - 8:00 a.m.

Continental Breakfast

Location: Palladian Ballroom Foyer

8:00 a.m. - 9:15 a.m.

10. Legal Ethics and the Role of Counsel in Compliance Programs

Location: Palladian Ballroom

Ethical issues arising from counsel role and involvement in compliance programs
Ethical obligations when compliance program activities reveal possible illegal activity
Disclosures to government agencies
Internal and criminal investigations
Litigation and compliance program information, documents and reports
Preserving privilege in context of compliance programs

Flora Devine, Moderator, Kennesaw State University

Jerry Blakemore, Northern Illinois University

Thomas D'Antonio, Ward Greenberg Heller & Reidy LLP

9:30 a.m. - 10:45 a.m.

11. Whistleblowers, Hot Lines and the False Claims Act

Location: Palladian Ballroom

Whistleblowers: laws and policies
Elements of False Claims Act liability and recent and proposed changes to the FCA
Effective use of campus "Hot Lines": policies, procedures and investigations

Laure Ergin, Moderator, University of Delaware

Charles Beckenhauer, Baylor University

Peter Chatfield, Phillips & Cohen LLP

11:00 a.m. - 12:15 p.m.

12. Developing and Implementing a Compliance Calendar and Other Compliance Tools

Location: Palladian Ballroom

Compliance calendar: what to include; stakeholders; format and narrative; responsibility assignments; distribution
Other compliance tools: matrix; risk analysis/mitigation; contract management; policy making; specific applications; sample templates and forms

Robert Roach, New York University

Leanne Shank, Washington and Lee University