join us for scce’s 11th annual higher education · prevention – mark e. meaney, director of...

Join us for SCCE’s 11th Annual

Higher Education Compliance ConferenceJune 2–5, 2013 | Austin, TexasAT&T Executive Education Conference Center

www.corporatecompliance.org/events

Come to Austin, Texas, for the primary networking and learning event for compliance and ethics professionals within higher education. Don’t miss this opportunity to help increase the effectiveness of your institution’s compliance program by gathering with your peers to discuss emerging risks and issues, share best practices, and build valuable relationships.

LAST CHANCEREGISTER

NOW

2 www.corporatecompliance.org | +1 952 933 4977 or 888 277 4977

PROGRAM AT A GLANCESunday, June 2: PRE-CONFERENCE12:00 – 5:30 pm Registration Open

1:00 – 2:30 pm CONCURRENT SESSIONS pRE-CONFERENCE 1

P1 Seven Elements of Compliance & Higher Education – Bret S. Bissey, SVP, Chief Ethics & Compliance Officer, UMDNJ

P2 Internal Investigations in the Post-Penn State Era – S. Rebecca Holland, Deputy Chief Compliance Officer, New York University; Daniel I. Small, Partner, Holland & Knight LLP

2:30 – 3:00 pm Networking Break

3:00 – 5:00 pm CONCURRENT SESSIONS pRE-CONFERENCE 2

P3 Conflicts of Interest Workshop: Principles, Case Scenario, and Practical Applications – Sheryl Vacca, Senior Vice President/Chief Compliance & Audit Officer, University of California; Urton Anderson, Professor, McCombs School of Business, University of Texas at Austin

P4 Chief Compliance Officer Roundtable – discussion leader: Joel S. Mayer, Chief Compliance Officer, NJ Higher Education Student Assistance Authority

5:00 – 6:00 pm Welcome Reception in Exhibit Hall

Monday, June 3: CONFERENCE7:00 am – 5:30 pm Registration Open

7:00 – 8:15 am Continental Breakfast in Exhibit Hall

8:15 – 8:30 am Opening Remarks

8:30 – 9:30 am General Session 1: Shooting the Messengers: A Survival Guide for Audit and Compliance in Higher Ed – (Moderator) Urton Anderson, Professor, McCombs School of Business, University of Texas at Austin; Charles G. Chaffin, (Retired) System-Wide Compliance Officer & Chief Audit Executive, University of Texas; Sheryl Vacca, Senior Vice President/Chief Compliance & Audit Officer, University of California; Michael L. Somich, Executive Director of Internal Audits, Duke University

9:30 – 10:00 am Networking Break in Exhibit Hall

10:00 – 11:30 am CONCURRENT SESSIONS

101 Matching and Mismatching Metrics for Meaning – Luanna Putney, Director of Research Compliance, University of California; Marti Arvin, Chief Compliance Officer, UCLA Health System

102 NCAA Compliance: Surviving a NCAA Infractions Case and Ideas for Improving NCAA Compliance –Rhonda L. Bishop, Chief Compliance & Ethics Officer, University Compliance, Ethics and Risk Office, University of Central Florida; Courtney J. Vinson, Assistant Athletics Director for Compliance, University of Central Florida

103 Integrating Audit, Compliance, Risk Management & Legal – David Galloway, Compliance Officer, Brigham Young University

104 Practical Export and Secure Research Compliance – William A. Metcalf, Export Control Officer, University of Louisville

11:30 am – 12:30 pm Networking Lunch

12:45 – 2:15 pm CONCURRENT SESSIONS

201 What to Do if You Suspect a Fraud in Your Office – Ransom McClung, Visiting Assistant Instructor, Florida State University

202 Committee Governance: Leading Engaged and Effective Compliance Committees – Boyd Kumher, University Compliance Officer, Case Western Reserve University; John Sideras, CFO, Case Western University

203 Higher Ed’s New and Bold Regulatory Sheriff: The CFPB – Joel S. Mayer, Chief Compliance Officer, NJ Higher Education Student Assistance Authority

204 Hazing: An Old Risk with Renewed Attention – Maurice L. Crescenzi, Jr., Advisory Director, KPMG LLP; Timothy P. Hedley, Partner, KPMG LLP

2:15 – 2:45 pm Networking Break in Exhibit Hall


301 Global Programs: University Employees Abroad – Carolyn Marks, International Operations Compliance Manager, Yale University; Cynthia Carr, Deputy General Counsel and Director of International Legal Affairs, Yale University

302 Let the Sunshine In: Conflicts of Interest and the Age of Transparency – Daniel Shapiro, Director, Research Administration Compliance, University of Southern California; Tammy Capretta, Assistant Vice President, Healthcare Compliance, University of Southern California

303 Preparing for a Data Breach: Navigating the Rocky Shoals of U.S. Data Breach Laws – Deanie J. Reh, Consultant, Special Counsel

304 Compliance Program Assessments in Higher Education: How They Add Value – Steven A. Tremaglio, Manager of Compliance, Northwestern University

4:15 – 4:30 pm Networking Break in Exhibit Hall

4:30 – 5:30 pm General Session 2: Keynote – Michael Josephson, President and Founder, Josephson Institute

5:30 – 6:30 pm Networking Reception in Exhibit Hall

www.corporatecompliance.org | +1 952 933 4977 or 888 277 4977 3

PROGRAM AT A GLANCETuesday, June 4: CONFERENCE7:30 am – 4:30 pm Registration Open



8:30 – 10:00 am General Session 3: Freeh: Implications for Higher Education – Anna Drummond, Chief Compliance Officer, Chief Privacy Officer, University of Vermont; S. Rebecca Holland, Deputy Chief Compliance Officer, New York University; Leyda L. Benitez, University Compliance Officer, Florida International University

10:00 – 10:30 am Networking Break in Exhibit Hall

10:30 am – 12:00 pm CONCURRENT SESSIONS

401 Best Practices in Child Sexual Abuse Prevention – Mark E. Meaney, Director of Ethics and Compliance, Office of Ethics, Compliance and Audit Services, University of California; Aaron Lundberg, Vice President, Praesidium, Inc.

402 Starting a Compliance Program at a Small (Non-Research Oriented) Institution: Advice for Taking the Initial Steps – Thomas Mahoney, General Counsel and Compliance Officer, The College of New Jersey; Ellie A. Fogarty, Vice President, Middle States Commission on Higher Education

403 Ethics in the Age of Online Education & MOOCs – Augusto Failde, Principal, www.AboutEdu.org

12:00 – 1:00 pm Networking Lunch (provided)


501 Leverage Their Pain: Evolving Challenges for Ethics-Based Compliance Programs – Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University

502 FISMA Compliance in Higher Education – Mark Phillips, Director of Internal Audit-IT, Office of Internal Audits, Duke University/Duke Medicine; Mike Cullen, Senior Manager, Baker Tilly

503 Termination for Cause: A Case Study – Joshua B. Toas, Chief Compliance Officer and Assistant Secretary, The Research Foundation for SUNY; Rich Agnello, Corporate Counsel, The Research Foundation for SUNY


3:00 – 4:15 pm General Session 4: Race to the Top: Issues Related to Rankings and External Data Misreporting in Higher Education – William Jennings, Managing Director, Alvarez & Marsal Global Forensic and Dispute Services, LLC; Richard H. Deane Jr., Partner, Jones Day

Wednesday, June 5: POST-CONFERENCE8:00 – 11:30 am Registration Open

8:00 – 8:30 am Continental Breakfast

8:30 – 11:30 am CONCURRENT SESSIONS pOST-CONFERENCE (INClUdES 15-mIN bREak)

W1 Internal Compliance Investigations – Kimberly Fearney, Director of Compliance and Ethics Liaison, Storrs and Regional Campuses, University of Connecticut

W2 Conceiving and Developing an Effective University-Wide Compliance Office: Lessons Learned – Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University; Susan Alexander, Managing Director, Protiviti Consulting; Jane Burns, Compliance Officer, University of Tennessee

11:30 am – 12:30 pm Lunch (on own)

12:30 – 1:00 pm CCEP Exam Check-In

1:00 – 3:00 pm Certifed Compliance & Ethics Professional (CCEP)® Exam (optional)

TOP 10 THINGS TO DO IN AUSTIN, TEXAS1. Completed in 1888, the pink granite TEXAS STATE CAPITOL stands 302

feet high and is 14 feet higher than our nation’s capitol. 2. Relive the pages of Texas history at the BOB BULLOCK TEXAS STATE

HISTORY MUSEUM. Interactive exhibits, artifacts, an IMAX Theatre and the multi-sensory Texas Spirit Theatre bring the myth, legend and fact of Texas all together under one roof.

3. The University of Texas is home to the BLANTON MUSEUM OF ART, recognized for its European paintings and modern and contemporary American and Latin American art.

4. Enjoy the spectacle of the CONGRESS AVENUE BATS, the largest urban bat colony in North America, as 1.5 million Mexican free-tailed bats depart nightly at sunset, April through October, from beneath the bridge.

5. See the natural beauty of the Texas Hill Country at the LADY BIRD JOHNSON WILDFLOWER CENTER, where planting areas, wildflower

meadows, exhibits and observation tower pay homage to Lady Bird’s devotion to native landscaping and preservation.

6. Visit the LYNDON BAINES JOHNSON LIBRARY AND MUSEUM to see copious volumes of presidential papers, a scale replica of the Oval Office during his presidency, and a First Lady’s Gallery devoted to the work of Lady Bird Johnson.

7. Swim in the constant 68-degree waters of BARTON SPRINGS POOL, an artesian spring-fed swimming hole in Zilker Park.

8. Take in all the sights on THE UNIVERSITY OF TEXAS campus, one of the largest public universities in the nation.

9. The heart of Austin is found along the LADY BIRD LAKE HIKE AND BIKE TRAIL, a 10.1-mile path bordering the lake on its flow through downtown.

10. Head to SOUTH CONGRESS AVENUE to discover eclectic shops, trendy restaurants, unique accommodations and popular music venues.


AGENDASUNDAY, JUNE 2, 2013PRE-CONFERENCE

12:00 – 5:30 pm

Registration Open

1:00 – 2:30 pm

CONCURRENT SESSIONS

P1 Seven Elements of Compliance & Higher Education

Bret S. Bissey, MBA, FACHE, CHC, CMPE, SVP, Chief Ethics & Compliance Officer, Office of Ethics, Compliance and Corporate Integrity, UMDNJ

• Learn how the 7 elements of an effective compliance program and the Department of Health and Human Services’ Office of Inspector General’s Model Compliance Program for Physician Practices/Academic Faculty Practice Plans can be utilized for your higher education institution

• Learn how education, as key elements of your compliance program/approach, can be beneficial to identifying issues before they become problematic

• Learn of the value of an independent compliance function and discuss the importance of non-retaliation policies and practices as a component of your compliance program

P2 Internal Investigations in the Post–Penn State EraS. Rebecca Holland, JD, Deputy Chief Compliance Officer, New York University

Daniel I. Small, Partner, Holland & Knight LLP

2:30 – 3:00 pm

Networking Break

3:00 – 5:00 pm

CONCURRENT SESSIONS

P3 Conflicts of Interest Workshop: Principles, Case Scenario, and Practical Applications

Sheryl Vacca, CCEP, CCEP-I, CHC-F, CHRC, CHPC, Senior Vice President/Chief Compliance & Audit Officer, University of California

Urton Anderson, CCEP, Professor, McCombs School of Business, University of Texas at Austin

• Discuss the overall definition of conflict of interest and its application to higher education

• Discuss COI monitoring and auditing suggestions• Apply COI principles to case scenario

P4 Chief Compliance Officer Roundtablediscussion leader: Joel S. Mayer, Esq., CCEP, Chief Compliance Officer, NJ Higher Education Student Assistance Authority

• Brainstorm with other Chief Compliance Officers, General Counsel and Higher Ed Executives

• Attendee-driven focus on your emerging issues, questions or concerns• Our version of the Compliance Genius Bar

5:00 – 6:00 pm

Welcome Reception in Exhibit Hall

MONDAY, JUNE 3, 2013

7:00 am – 5:30 pm

Registration Open



8:30 – 9:30 am General Session 1: Shooting the Messengers: A Survival Guide for Audit and Compliance in Higher Ed

moderator: Urton Anderson, CCEP, Professor, McCombs School of Business, University of Texas at Austin

Charles G. Chaffin, (Retired) System-Wide Compliance Officer & Chief Audit Executive, University of Texas

Michael L. Somich, Executive Director of Internal Audits, Duke University


• The strategy of the three wise monkeys, or is there another way?• Delivering messages people don’t want to hear• “A prophet is not without honor, save in his own country, and in his own

house”—the role of professional support

9:30 – 10:00 am

Networking Break in Exhibit Hall

10:00 – 11:30 am CONCURRENT SESSIONS

101 Matching and Mismatching Metrics for Meaning

Luanna Putney, PhD, CHC, CCEP, Director of Research Compliance, University of California

Marti Arvin, JD, CHC-F, CCEP-F, CPC, CHRC, CHPC, Chief Compliance Officer, UCLA Health System

• Identify measureable metrics that may tell a story about the ethical culture of the organization

• Describe examples of important culture indicators that may not be evident until they are matched, or mismatched, with other indicators

• Engage leadership to think creatively about dashboards that capture the unique compliance culture of the organization, with the goal of informing decision-making and creating a culture of compliance


AGENDA102 NCAA Compliance: Surviving a NCAA Infractions Case and Ideas for Improving NCAA Compliance

Rhonda L. Bishop, CCEP, Chief Compliance & Ethics Officer, University Compliance, Ethics and Risk Office, University of Central Florida

Courtney J. Vinson, Assistant Athletics Director for Compliance, University of Central Florida

• Examine the NCAA infractions process from the survivors’ perspective and review recent infractions cases

• Learn the NCAA’s expectation for an institution to demonstrate governance and a commitment to rules compliance and how it relates to the Seven Elements for an Effective Compliance Program

• Evaluate the benefits of improving institutional control by shifting the reporting structure of the athletics compliance program to the institutional compliance and ethics office

103 Integrating Audit, Compliance, Risk Management, & Legal

David Galloway, CPA, CCEP, Executive Director, Compliance and Audit, Brigham Young University

• Understand the results of current research on the reporting relationship between internal audit and compliance on university campuses

• Gain a picture of how internal audit, compliance, risk management and general counsel can be integrated into a useful tool to promote both audit and compliance on campus

• Understand the characteristics of effective coordination between internal audit, compliance, risk management and the general counsel

104 Practical Export and Secure Research Compliance

William A. Metcalf, Export Control Officer, University of Louisville

• Overview of federal export control laws and potential impact of export control reform

• Factors to consider when evaluating research proposals and awards

• Receive list of troublesome contract terms and template for I-129 review

11:30 am – 12:30 pm Networking Lunch


201 What to Do if You Suspect a Fraud in Your Office

Ransom McClung, Visiting Assistant Instructor, Florida State University

• What are the best ways to approach the suspected employee?• What should you do with the evidence?• What actions can I do to help the investigators?

202 Committee Governance: Leading Engaged and Effective Compliance Committees

Boyd Kumher, University Compliance Officer, Case Western Reserve University

John Sideras, CFO, Case Western University

• Effectively governing committees in a way that encourages members to be engaged and participatory

• Charting a course for the committee and staying focused• Tools and tips to enhance committee performance

203 Higher Ed’s New and Bold Regulatory Sheriff: The CFPB

Joel S. Mayer, Esq., CCEP, Chief Compliance Officer, NJ Higher Education Student Assistance Authority

• The CFPB is the most aggressive and well-funded new federal regulator in recent memory and they’ve got Higher Ed in their sights: Understanding their mandate, concerns & mentality are keys to your Institution’s protection.

• The CFPB’s College-facing initiatives: Beyond the College Shopping Sheet and Complaint Portal (Data Integrity, Student Lending, Privacy & UDAAP)

• Regulators and investigators as valuable compliance partners: Perspectives, confessions and advice from a former prosecutor.

204 Hazing: An Old Risk with Renewed AttentionMaurice L. Crescenzi, Jr., MA, CCEP, Advisory Director, KPMG LLP

Timothy P. Hedley, PhD, CPA, CFF, CFE, Partner, KPMG LLP

• Origins and psychology of hazing• Key data, statistics, and trends• Elements of an effective anti-hazing compliance program• Strategies and methods for evaluating your anti-hazing program

2:15 – 2:45 pm


2:45 – 4:15 pm

CONCURRENT SESSIONS

301 Global Programs: University Employees AbroadCarolyn Marks, International Operations Compliance Manager, Yale University

Cynthia Carr, Deputy General Counsel and Director of International Legal Affairs, Yale University

• Using scenarios, examine the employment challenges universities with overseas operations may face

• Learn about the main compliance issues & the questions to ask • Develop strategies for building awareness & improving compliance


AGENDA302 Let the Sunshine In: Conflicts of Interest and the Age of Transparency

Daniel Shapiro, JD, Director, Research Administration Compliance, University of Southern California

Tammy Capretta, RN, MPH, Assistant Vice President, Healthcare Compliance, University of Southern California

• Give an overview of COI/Sunshine Act regulations and discuss observations/experiences

• Describe other COI policies and procedures that can impact a university

303 Preparing for a Data Breach: Navigating the Rocky Shoals of U.S. Data Breach Laws

Deanie J. Reh, Consultant, Special Counsel

• How to navigate multiple domestic data breach laws• How to design domestic data breach procedures• Highlighting some of the outlying requirements

in U.S. data breach laws

304 Compliance Program Assessments in Higher Education: How They Add Value

Steven A. Tremaglio, MBA, CFE, Manager of Compliance, Northwestern University

• Learn about Northwestern University’s approach for assessing compliance program effectiveness

• Attendees will walk away with a compliance program framework• Analyzing the assessment results—What are common areas for

improvement and how to design recommendations that add value?

4:15 – 4:30 pm


4:30 – 5:30 pm

General Session 2: KeynoteMichael Josephson, President and Founder, Josephson Institute

5:30 – 6:30 pm Networking Reception in Exhibit Hall

TUESDAY, JUNE 4, 2013

7:30 am – 4:30 pm

Registration Open

7:30 – 8:30 am

Continental Breakfast in Exhibit Hall


8:30 – 10:00 am

General Session 3: Freeh: Implications for Higher Education

Anna Drummond, JD, LLM, Chief Compliance Officer, Chief Privacy Officer, University of Vermont

S. Rebecca Holland, JD, Deputy Chief Compliance Officer, New York University

Leyda L. Benitez, JD, University Compliance Officer, Florida International University

• Panel discussion of the implications of the Freeh Report and campus responses including: Clery Act, mandatory reporting, minors on campus, culture of compliance, and board governance and transparency

10:00 – 10:30 am


10:30 am – 12:00 pm CONCURRENT SESSIONS

401 Best Practices in Child Sexual Abuse PreventionMark E. Meaney, PhD, CCEP, Director of Ethics and Compliance, Office of Ethics, Compliance and Audit Services, University of California

Aaron Lundberg, Vice President, Praesidium, Inc.

• Sample exposures on campus involving minors and common claims in litigation

• How offenders operate: types of offenders and conditions necessary to offend

• The University of California program: Six Steps to Prevention

402 Starting a Compliance Program at a Small (Non-Research Oriented) Institution: Advice for Taking the Initial Steps

Thomas Mahoney, JD, MBA, MS, CCEP, General Counsel and Compliance Officer, The College of New Jersey

Ellie A. Fogarty, Vice President, Middle States Commission on Higher Education

• Learn how one institution is developing its compliance program following best practices

• Discover steps to establish a compliance program at a small (non-research oriented) institution

• Explore how to leverage compliance and ethics activities to demonstrate institutional effectiveness and support accreditation processes

403 Ethics in the Age of Online Education & MOOCs

Augusto Failde, Principal, www.AboutEdu.org

• New ethics training and compliance challenges in Online Education• Ethical Roles & Responsibilities in the new Public-Private Partnerships

models for Online Education• Case Studies: Assessing ethics programs in the age of online


AGENDA12:00 – 1:00 pm

Networking Lunch

1:15 – 2:45 pm

CONCURRENT SESSIONS

501 Leverage Their Pain: Evolving Challenges for Ethics-Based Compliance Programs

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

• Handling increased expectations (“regulatory arbitrage”)• Increased pressure to establish the independence of compliance• Maintaining your integrity culture in a world that favors regulatory

compliance over ethics

502 FISMA Compliance in Higher EducationMike Cullen, CISA, CISSP, CIPP/US, Senior Manager, Baker Tilly

Mark Phillips, Director of Internal Audit–IT, Office of Internal Audits, Duke University/Duke Medicine

• Overview of FISMA and the supporting NIST guidance and why it matters to Higher Education

• Understand the Department of Education’s (ED) efforts to ensure FISMA compliance

• Discuss practices for FISMA within a compliance program

503 Termination for Cause: A Case StudyRich Agnello, JD, CCEP, Corporate Counsel, The Research Foundation for SUNY

Joshua B. Toas, JD, CCEP, Chief Compliance Officer and Assistant Secretary, The Research Foundation for SUNY

• Environmental scan and background of the pre-investigation campus and corporate environment

• Overview of competing investigations, what was missed, bad acts, how bad acts went undetected

• Internal investigation, findings, results, and implementing change


3:00 – 4:15 pm

General Session 4: Race to the Top: Issues Related to Rankings and External Data Misreporting in Higher Education

William Jennings, CPA, CFF, CFE, Private Detective, Managing Director, Alvarez & Marsal Global Forensic and Dispute Services, LLC

Richard H. Deane Jr, JD, LLM, Partner, Jones Day

• The competitive environment fueling score reporting issues • The consequences of misreporting: reputation, ranking, recruitment, and

remedial measures• How to avoid misreporting at your institution

WENESDAY, JUNE 5, 2013

8:00 – 11:30 am

Registration Open

8:00 – 8:30 am

Continental Breakfast

8:30 – 11:30 am

POST-CONFERENCE CONCURRENT SESSIONS(includes a 15-minute break)

W1 Internal Compliance InvestigationsKimberly Fearney, CCEP, Director of Compliance and Ethics Liaison, Storrs and Regional Campuses, University of Connecticut

• Review basic techniques for conducting prompt, independent, and effective investigations.

• Address more advanced topics specifically related to investigations in the college or university setting.

W2 Conceiving and Developing an Effective University-Wide Compliance Office: Lessons Learned

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

Susan Alexander, Managing Director, Protiviti Consulting

Jane Burns, Compliance Officer, University of Tennessee

• An in-depth look into conceiving and structuring a University-Wide Compliance Office

• Leading practices and components of an effective Compliance Program• How to best align a University-Wide Compliance Program with the

unique culture of Higher Education

• Case Study: deploying a strategic approach to the challenge of export control and confidentiality compliance in an open university

11:30 am – 12:30 pm Lunch (on own)

12:30 – 1:00 pm CCEP Exam Check-In

1:00 – 3:00 pm Certifed Compliance & Ethics Professional (CCEP)® Exam (optional)The CCEP exam is optional. You must register in advance to sit for the exam. The cost of the exam is not included in the conference registration fee. To register for the exam, complete the date-specific exam application and mail or fax as directed on the application. For a link to the exam application, visit www.corporatecompliance.org and look for the Higher Education Compliance Conference.


SCCE is in the process of applying for additional credits. If you do not see information on your specific accreditation and would like to make a request, please contact us at +1 952 933 4977 or 888 277 4977. Visit SCCE’s website, www.corporatecompliance.org for up-to-date information.

Compliance Certification Board (CCB): 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): CCB has awarded a maximum of 22.2 CEUs for these accreditations in the following subject areas: Application of Management Practices for the Compliance Professional; Application of Personal and Business Ethics in Compliance; Written Compliance Policies and Procedures; Designation of Compliance Officers and Committees; Compliance Training and Education; Communication and Reporting Mechanisms in Compliance Enforcement of Compliance Standards and Discipline; Auditing and Monitoring for Compliance; Response to Compliance Violations and Corrective Actions; HIPAA Privacy Implementation and/or Complying with Government Regulations.CLE: The Society of Corporate Compliance and Ethics is a State Bar of California Approved MCLE provider, a Pennsylvania Accredited Provider, a Rhode Island Accredited Provider, and a Texas Accredited Sponsor. An approximate maximum of 18.5 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 and Ethics 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 and may not accept one-half credits. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Website: www.nasba.org. A recommended maximum of 22.0 credits based on a 50-minute hour will be granted for the entire learning activity. This program addresses topics that are of a current concern in the compliance environment. This is an update, group-live activity. For more information regarding administrative policies such as complaints or refunds, call SCCE at +1 952 933 4977 or 888 277 4977.

Nursing Credit: The Society of Corporate Compliance and Ethics is preapproved by the California Board of Registered Nursing, Provider Number CEP 12990, for a maximum of 22.2 contact hour(s). The following states will not accept CA Board of Nursing contact hours: Delaware, Florida, New Jersey and Utah. Massachusetts and Mississippi nurses may submit CA Board of Nursing contact hours to their state board, but approval will depend on review by the board. Please contact the Accreditation Department at [email protected] with any questions you may have. Oncology Nurses who are certified by ONCC may request CA Nursing Credit (check box or indicate “Nursing” on the CEU form).RACC: Attendees seeking CRA credits through the Research Administrators Certification Council (RACC) may request a certificate of attendance from SCCE by completing an Application for Continuing Education and indicating RACC/CRA on the form. A certificate of attendance along with a complete brochure should be submitted to RACC at the end of each individual’s RACC renewal period. The Research Administrators Certification Council (RACC) promotes the concept of voluntary certification by examination for all research and sponsored programs administrators. Certification in research and sponsored programs administration is highly valued and provides formal recognition of basic knowledge in the field.SoCRA: The Society of Clinical Research Associates (SoCRA - www.SoCRA.org) accepts documentation of candidate participation in continuing education programs for recertification if the program is applicable to clinical research regulations, operations or management, or to the candidate’s clinical research therapeutic area. This program offers 18.5 hours of CE credit.SoCRA’s requirements for recertification Continuing Education credit are quite general, as they pertain to clinical research regulations, operations and management, and to the therapeutic area of the clinical research in which the candidate participates. We therefore leave it to the candidate to determine whether a course or program would be acceptable for SoCRA’s CE requirement. SoCRA does not “validate” individual training courses/workshops.

PRIM&R: Some portions of this program may meet the requirements for CPIA continuing education. The CPIA Council accepts documentation of continuing education hours when the topics fall within the CPIA Body of Knowledge. If you are unsure about whether a specific session meets these requirements you should consult with PRIM&R.Some portions of this program may meet the requirements for CIP continuing education. CCIP accepts documentation of continuing education hours when the topics fall within the CIP Body of Knowledge and the education is intended to be beyond initial, basic or fundamental level education. If you are unsure about whether a specific session meets these requirements you should consult with PRIM&R.”

CONTINUING EDUCATION UNITSPlatinum Sponsor

Silver Sponsor

SCCE would like to thank the 2013 Conference Planning CommitteeUrton Anderson, CCEP, Professor, McCombs School of Business, University of Texas at Austin

Joel S. Mayer, Esq., CCEP, Chief Compliance Officer, NJ Higher Education Student Assistance Authority

F. Lisa Murtha, Esq., CHC, CHRC, Partner, Dentons US LLP

Larry Plutko, Systemwide Compliance Officer, The University of Texas System


MEET THESE EXHIBITORS

ACUAAmber RoadBaker & McKenzieNAVEX GlobalHCCSHuron

iMedRIS Data Corp.IRBNetMediTractPharmaSeekTopaz Technologies LLCWIRB

EXHIBIT HALLThe HCCA Research Compliance Conference and the SCCE Higher Education Compliance Conference have teamed up to provide a combined exhibit hall for your convenience. Discover new products and services provided by companies in the compliance profession. The Internet Café, continental breakfast (Monday and Tuesday only), and networking breaks will be located in the exhibit area throughout the conference. Open hours are listed below.

Exhibit Viewing HoursSunday, June 2 ............................5:00 – 6:00 pmMonday, June 3 ....................7:00 am – 6:30 pmTuesday, June 4 ....................7:30 am – 3:00 pm

Take the CCEP certification exam on‑site after the conferenceWednesday, June 5 | 1:00–3:00 pm $250 SCCE Members/$350 Non-Members

You must be pre-registered to sit for the exam. To apply, download the application at www.corporatecompliance.org. Questions? E-mail [email protected]. Twenty CEUs are required to sit for the exam. Higher Education Compliance Conference sessions qualify: each hour attended equals 1.2 CEUs (one clock hour equals 1.2 CCB hours). Attending the entire Higher Education Compliance Conference will provide a maximum of 22.2 CEUs to qualify to sit for the exam.


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REGISTRATION Higher Education Compliance Conference | June 2–5, 2013 | Austin, Texas

CONTACT INFORMATION Mr. Mrs. Ms. Dr.

SCCE Member ID

First Name MI Last Name

Credentials (CCEP, CCEP-F, CHC, etc.)

Title

Place of Employment

Address

City State Zip

Phone

Fax

Email (required for registration confirmation & conference information)

REGISTRATION OPTIONS

SCCE/HCCA Members .......................................................................................$649

Non-Members ................................................................................................... $749

Membership Renewal & Registration .................................................................$944

New Membership & Registration .......................................................................$849 new members only / dues regularly $295 annually

Pre-Conference Registration 1 ..........................................................................$100

Pre-Conference Registration 2 ..........................................................................$100

Post-Conference Registration (free with full conference registration only)

Group Discount: subtract from my total (see details for more)

Exhibit Hall Guest Badge .....................................................................................$50

TOTAL

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

PAYMENT OPTIONSMail to: SCCE, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, United States

Fax to: +1 952 988 0146

Invoice me | Purchase Order #

Check enclosed

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

Credit Card: American Express MasterCard Visa

Credit Card Account Number

Credit Card Expiration Date

Cardholder’s Name

Cardholder’s SignatureHE0613

Please fax your completed registration form with payment information to +1 952 988 0146, or visit www.corporatecompliance.org/events to register online.

SESSION SELECTIONPlease select to assist in room planning. Select ONE session per time slot.

SUN, JUNE 2 PRE-CONFERENCE 1

1:00 – 2:30 pm

P1

P2

PRE-CONFERENCE 2

3:00 – 5:00 pm

P3

P4

MON, JUNE 3 CONCURRENTS

10:00 –11:30 am

101

102

103

104

12:30 –2:00 pm

201

202

203

204

2:30 –4:00 pm

301

302

303

304

TUE, JUNE 4 CONCURRENTS

10:30 am–12:00 pm

401

402

403

1:00 –2:30 pm

501

502

503

WED, JUNE 5 POST-CONFERENCE

8:30 – 11:30 am

W1

W2

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

SOCIETY OF CORPORATE COMPLIANCE AND ETHICS 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 United Statesphone +1 952 933 4977 or 888 277 4977 | fax +1 952 988 0146www.corporatecompliance.org | helpteam @ corporatecompliance.org


Hotel & Conference Location:

AT&T Executive Education Conference Center The University of Texas at Austin 1900 University Avenue, Austin, Texas 78705

Hotel Rooms are SOLD OUT at the AT&T Executive Education Conference Center. Overf low Hotel Accommodations can be made at:

DoubleTree Suites by Hilton–Austin 303 W. 15th Street, Austin, TX 78701 +1 512 478 7000 www.austinsuites.doubletree.com

Reservations can be made by calling 800-222-8733 and mentioning identification code HCC. Or go online at www.austinsuites.doubletree.com, and after selecting your dates, enter the Group Code HCC under the “Add Special Rate Codes” link.

A reduced rate of $179 for a standard one-bedroom suite with two queen beds has been arranged for this program. This reduced rate is good until Tuesday, May 21, 2013. Reservation requests received after this cut-off date or after the group block is filled (whichever comes first) will be accepted on a space and rate availability basis only. Hotel accommodations are not included in your conference registration fee. A credit card or deposit is required to guarantee your reservation. Cancellation policy is 72 hours prior to scheduled arrival. Any reservations after this time will be subject to charge of one night’s room and tax.

Registration Terms & Conditions: Please make your check payable to SCCE, enclose payment with your registration, and return it to the SCCE office, or fax your credit card payment to +1 952 988 0146. If your total is miscalculated, SCCE will charge your card the correct amount. All expenses incurred to maintain or improve skills in your profession may be tax deductible, including tuition, travel, lodging, and meals. Please consult your tax advisor.

Cancellations/Substitutions: You may send a substitute in your place or request a conference credit. Conference credits are issued in the full amount of the registration fees paid and are good for 12 months from the date of the cancelled event. Conference credits may be used towards any SCCE service. If you need to cancel your participation, notify us prior to the start date of the event by email at helpteam @ corporatecompliance.org or by fax at +1 952 988 0146. 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. 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 for each registrant10 or more: $100 discount for each registrant

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: See page 8 for more information.

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 at the SCCE 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 SCCE Higher Education Compliance Conference, I grant SCCE the right to use my name, photograph, and biography for such purposes.

DETAILS

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 Higher Education Compliance Conference registration. The parallel schedule gives you the freedom to attend sessions at either conference—two for the price of one.

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

www.corporatecompliance.org/events

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 Higher Education Compliance Conference registration. The parallel schedule gives you the freedom to attend sessions at either conference—two for the price of one.

June 2–5, 2013 | Austin, Texas

June 2–5, 2013 | Austin, Texas

AT&T Executive Education Conference Center

AT&T Executive Education Conference Center


Higher Education Compliance Conference


Higher Education Compliance Conference

LAST CHANCEREGISTER

NOW

join us for scce’s 11th annual higher education · prevention – mark e. meaney, director of...

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