November 13-15, 2019
Building and Sustaining a Culture of Compliance and Ethics

Building and sustaining a culture of compliance and ethics is an indispensable aspect of carrying out an institution’s mission.  Not only do institutional compliance efforts protect colleges and universities from legal liability and financial loss, but more than that, the compliance function promotes a culture that prioritizes ethical decision-making and integrity as colleges and universities endeavor to carry out their respective missions.

Guided by this notion of compliance as core to institutional mission, this Workshop focuses on building and sustaining a culture of compliance and ethics.  Todd Haugh, Assistant Professor of Business Law and Ethics at Indiana University’s Kelley School of Business, will deliver an Opening Plenary session that examines the role of behavioral ethics in building and sustaining strong compliance programs.  His research is premised on the idea that situational and organizational factors can influence ethical decision-making.  Nancy Tribbensee, Senior Counsel and Special Advisor to the Arizona Board of Regents who also has a Ph.D. in Counseling Psychology, will interview Professor Haugh about how institutions can integrate “choice architecture” into compliance programs to reduce risk. 

Thereafter, the Workshop will proceed on two separate and concurrent tracks: (1) Compliance Program Administration and (2) Legal and Regulatory Updates.  Track 1 will include sessions on:

  • Policy Development and Management;
  • Relationships Between and Among Compliance, Internal Audit, Legal, and the Board;
  • Compliance Training;
  • Implementing Regulatory Changes;
  • And more.

Track 2 will focus on legal and regulatory updates, including:

  • Legislative and Regulatory Update by Terry Hartle, Senior Vice President for Government and Public Affairs at the American Council on Education;
  • Athletics Compliance;
  • Undue Foreign Influence and Academic Espionage;
  • Title IV;
  • Title IX;
  • and more.

In addition, the Department of Education’s Assistant Secretary for Civil Rights Kenneth Marcus has agreed to join us during lunch to discuss the Office for Civil Rights’ enforcement priorities and to answer attendee questions.

Please join your colleagues in Washington, DC for this opportunity to learn from experts and discuss what’s new and important in college and university compliance.

Who Should Attend?

This is an intermediate-advanced level program. Registrants will be presumed to have general knowledge of institutional compliance programs and of issues surrounding institutional compliance. The program is directed to college and university counsel with responsibility for institutional compliance programs and issues. Campus administrators such as compliance officers, risk managers, and others with significant responsibility for college and university compliance will also benefit from the program, and after reviewing the program schedule, NACUA members may wish to invite such administrators to attend the program.

Featured Programs

Wednesday, November 13

4:15 PM - 5:30 PM

03B. Fostering Effective Relationships Between the Board, Internal Audit, Legal Counsel, and Compliance


Pat Harned CROPPED

Thursday, November 14

12:00 PM - 1:30 PM

Join us at the networking lunch for,
"A Conversation with Kenneth Marcus, Assistant Secretary of the U.S. Department of Education Office for Civil Rights."


Thursday, November 14

3:00 PM - 4:15 PM

08A. Undue Foreign Influence and Academic Espionage                                                                                 


Helena Fu


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Hotel & Travel

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Review the program’s schedule to learn more about the great sessions we have in store for this meeting!


Workshop presented in cooperation with: 





Association of American Universities