join us for scce’s 12th annual higher education...a comprehensive compliance program ... von...

Join us for SCCE’s 12th Annual

Higher Education Compliance ConferenceJune 1–4, 2014 | Austin, Texas

Learn more & register at www.corporatecompliance.org/events

Gather with your peers for the primary networking and learning event for compliance and ethics professionals in higher education. Learn how to increase the effectiveness of your institution’s compliance program, discuss emerging risks and issues with your colleagues, share best practices, and build valuable relationships.

Questions: taci.tolzman @ corporatecompliance.org

LAST CHANCE TO REGISTER

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Program at a glance

SUNDAY, JUNE 1: PRE-CONFERENCE12:00 – 5:30 pm Registration Open

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

P1 One University’s 10-year Compliance Program Journey: Here, There, and Yonder – Annette Wallis, Director, Texas A&M University; Margaret Zapalac, Director, Texas A&M University; Janet Smalley, System Ethics and Compliance Officer, The Texas A&M University System

P2 Creating an Interactive, User-friendly Code of Conduct on a Lean Budget – Jaycee Dempsey, Senior Integrity & Compliance Analyst, Virginia Commonwealth University; Jacqueline Kniska, University Integrity/Compliance Officer, Virginia Commonwealth University

2:30 – 3:00 pm Networking Break

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

P3 Chief Compliance Officer Roundtable – Joel S. Mayer, Esq., CCEP, Director of University Compliance, UNC Charlotte

P4 Schoolplace Whistleblower Hotlines No Longer a Luxury – Autumn Lowry, MA, PCI, Manager, Investigations, Convercent, Inc.

5:00 – 6:00 pm Welcome Reception

MONDAY, JUNE 2: CONFERENCE7:00 am – 5:30 pm Registration Open

7:15 – 8:15 am Continental Breakfast

8:15 – 8:30 am Opening Remarks

8:30 – 9:30 am General Session: Why Plain Language Matters, and Why You Should Care – Deborah Bosley, Principal, The Plain Language Group

9:30 – 10:00 am Networking Break

10:00 – 11:30 am CONCURRENT SESSIONS

101 Approaches to International Compliance for Higher Ed – Carolyn Marks, International Operations Compliance Manager, Yale University; Cynthia Carr, Director, International Legal Affairs, Yale University

102 Lessons Learned from a University Whistleblower: A Case Study on Retaliation – Amy B. Joy, Faculty/Specialist Emeritus, University of California

103 Managing Records in an E-Discovery World –Seth Gilbertson, Associate Counsel, Office of General Counsel, State University of New York; Nedra Abbruzzese-Werling, CCEP, Compliance Administrator, SUNY System Records Management Officer, Office of Compliance, State University of New York

104 Financial Aid Data Analysis and Fraud Prevention and Detection: Strengthening Your Compliance Programs – Tracey Sadler, The Texas A&M University System; Nora Miles, Internal Audit Manager, The Texas A&M University System; Joe Agins, Director, Ethics & Compliance Investigations, Apollo Education Group, Inc.

11:30 am – 12:30 pm Networking Lunch

12:45 – 2:15 pm CONCURRENT SESSIONS

201 Compliance Blueprint: Building Structures and Relationships – David Galloway, Compliance Officer, Brigham Young University; Sarah Campbell, Associate University Counsel, Brigham Young University

202 Are You Clery Compliant? Practical Application and Tools for Implementation – Ashley Greene, Compliance Analyst, Virginia Commonwealth University; Jacqueline Kniska, University Integrity/Compliance Officer, Virginia Commonwealth University

203 Structuring Compliance: The Duke Model – Tina Tyson, JD, Chief Ethics and Compliance Officer, Duke University; Michael Somich, Executive Director Internal Audits, Duke University

204 Financial Reporting and Transparency: Federal Grants, Effort Reporting and COI – Lisa Murtha, CHC, CHRC, Senior Managing Director, FTI Consulting; Matthew Staman, Managing Director, Huron Consulting Group



301 Integrating an Ethical Decision-Making Model into a Comprehensive Compliance Program – John R. Steer, Allenbaugh Law Firm LLP

302 The Regulator In The Rear View Mirror is Closer Than You Think: The CFPB – Joel S. Mayer, Esq., CCEP, Director of University Compliance, UNC Charlotte

303 Compliance Monitoring: The Evolving Need and Growing Demand – (Moderator) Robert Roach, Chief Compliance Officer, Office of Compliance and Risk Management, Office of the President, New York University; Dan Donovan, Vice President, Guidepost Solutions, LLC; John Hanson, CPA, CFE, CCEP, Founder and Executive Director, Artifice Forensic Financial Services, LLC; Larry Plutko, Systemwide Compliance Officer, The University of Texas System

304 Best Practices in Higher Education: Brainstorming with Your Peers – Sheryl Vacca, CCEP-F, CCEP-I, CHC-F, CHRC, CHPC, Senior Vice President/Chief Compliance & Audit Officer, University of California; Luanna Putney, Executive Director of Ethics & Compliance, University of California Systemwide Office


4:30 – 5:30 pm General Session: Research Year in Review – Lisa Murtha, CHC, CHRC, Senior Managing Director, FTI Consulting

5:30 – 6:30 pm Networking Reception

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Program at a glance

TUESDAY, JUNE 3: CONFERENCE7:30 am – 4:30 pm Registration Open



8:30 – 10:00 am General Session: Ethics and Compliance Transformation: Establishing a New Model at Penn State – Regis Becker, Director, Office of Ethics and Compliance, The Pennsylvania State University; Julie Del Giorno, Athletics Integrity Officer, The Pennsylvania State University; Sandy Weaver, Youth Programs Compliance Specialist, The Pennsylvania State University


10:30 am – 12:00 pm CONCURRENT SESSIONS

401 Internal Investigations: What Your Colleagues Need to Know – Joshua Toas, Chief Compliance Officer, Research Foundation for SUNY; Rich Agnello, Corporate Counsel, Research Foundation for SUNY; Joanmarie Dowling, Dowling Law, PLLC

402 Collision Avoidance: Managing and Monitoring Conflicts of Interest and Conflicts of Commitment – Urton Anderson, Director, Von Allmen School of Accountancy, University of Kentucky; Jeff Ferguson, Partner, Ernst & Young LLP, Dallas

403 Big Data for Educational Institutions: A Framework for Addressing Privacy Compliance and Legal Considerations – David Navetta, Partner, Information Law Group

404 InfoSec for Compliance Officers – Michael G. Carr, Chief Information Security Officer, University of Kentucky

12:00 – 1:00 pm Networking Lunch


501 Self-Harming Students and Legal Compliance: Balancing the ADA, Direct Threat, and Student Safety – Paul G. Lannon, Attorney, Holland & Knight LLP

502 Athletic Compliance Hot Topic – Michael Somich (moderator), Executive Director Internal Audits, Duke University; Amy Folan, Associate Athletics Director, The University of Texas; Dan Guerrero, Director of Athletics, UCLA; Kevin Reed, Vice Chancellor, Legal Affairs, UCLA

503 Too Many Boards Are Just Checking the Box: Tune Up With a Meaningful Board Evaluation – Robert Roach, Chief Compliance Officer, Office of Compliance and Risk Management, Office of the President, New York University; Erum Raza, Compliance and Risk Management Officer, New York University

504 Ethics and Compliance Investigations in the Higher Education Environment – Rebecca Holland, Assistant Vice President, Global Standards and Compliance, Department of Public Safety, New York University


3:00 – 4:00 pm Evolution of the Higher Education Compliance Profession: Past, Present, and Future – Matt Kelly, Editor & Publisher, Compliance Week; Odell Guyton, JD, CCEP, CCEP-I, SCCE Advisory Board Co-Chair, Vice President, Head of Global Compliance, Jabil Circuit, Inc.; Ryan D. Meade, CHRC, Director of Regulatory Compliance Studies, Loyola University Chicago School of Law

WEDNESDAY, JUNE 4: POST-CONFERENCE8:00 – 11:30 am Registration Open


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

W1 Compliance Program Effectiveness: Measuring and Communicating Benchmarking, Data, and How to Communicate Effectiveness to Your Board and Senior Leaders – Gates Garrity-Rokous, Vice President and Chief Compliance Officer, The Ohio State University, Office of University Compliance and Integrity; Anna Drummond, Chief Compliance Officer, University of Vermont

W2 Developing an Effective Audit and Compliance Committee – Bret S. Bissey, Senior Vice President, Compliance Services, MediTract, Inc.; Sean McKenna, Partner, Hayne and Boone, LLP

11:30 am – 12:30 pm Lunch (on your own)

12:30 – 1:00 pm CCEP Exam Check-In

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


Agenda

SUNDAY, JUNE 1PRE-CONFERENCE

12:00 – 5:30 pm Registration Open

1:00 – 2:30 pm

P1 One University’s 10-year Compliance Program Journey: Here, There, and Yonder

Annette Wallis, Director, Texas A&M University

Margaret Zapalac, Director, Texas A&M University

Janet Smalley, System Ethics and Compliance Officer, The Texas A&M University System

• Lessons learned from Texas A& M University’s nearly 10-year Compliance Program implementation journey in a decentralized environment: History, structure, ERM, challenges, and successes

• Looking beyond the University and coordinating with a System-level Compliance Program–designated Compliance Officer, Compliance Committee, quarterly reporting, and training

• Looking forward: Monitoring of high risk areas, compliance reviews, and affinity groups

P2 Creating an Interactive, User-friendly Code of Conduct on a Lean Budget

Jaycee Dempsey, Senior Integrity & Compliance Analyst, Virginia Commonwealth University

Jacqueline Kniska, University Integrity/Compliance Officer, Virginia Commonwealth University

• From start to finish: Tools to publish your code in one year

• Lessons learned: Engaging stakeholders and establishing buy-in

• Leveraging your code into training


3:00 – 5:00 pm

P3 Chief Compliance Officer Roundtable

Joel S. Mayer, Esq., CCEP, Director of University Compliance, UNC Charlotte

P4 Schoolplace Whistleblower Hotlines No Longer a Luxury

Autumn Lowry, MA, PCI, Manager, Investigations, Convercent, Inc.

• How modern whistleblower hotlines work

• Why whistleblower hotlines are a necessary component of effective risk management and compliance

• Current best practices relative to the deployment and use of modern whistleblower hotlines

5:00 – 6:00 pm

Welcome Reception

MONDAY, JUNE 2

7:30 am – 5:30 pm Registration Open

7:15 – 8:15 am Breakfast


8:30 – 9:30 am General Session: Why Plain Language Matters, and Why You Should Care

Deborah Bosley, Principal, The Plain Language Group


10:00 – 11:30 am

BREAKOUT SESSIONS

101 Approaches to International Compliance for Higher Ed

Carolyn Marks, International Operations Compliance Manager, Yale University

Cynthia Carr, Director, International Legal Affairs, Yale University

• Review which laws, regulations and institutional policies may apply to different kinds of overseas presences and programs

• Identify effective compliance strategies, practices, and tools to mitigate risks in a University setting

• Using project scenarios, hone your issue spotting skills and determine who on campus needs to be where in your RASCI template

102 Lessons Learned from a University Whistleblower: A Case Study on Retaliation

Amy B. Joy, Faculty/Specialist Emeritus, University of California

• Case: What happens after blowing the whistle on $2.3 million in fraud—a whistleblower’s perspective

• Analysis: How the exposure of wrong-doing in the workplace led to ten different forms of retaliation

• Discussion on prevention strategies: How the university’s prompt action to investigate retaliation improved institutional credibility

103 Managing Records in an E-Discovery World

Seth Gilbertson, Associate Counsel, Office of General Counsel, State University of New York

Nedra Abbruzzese-Werling, CCEP, Compliance Administrator, SUNY System Records Management Officer, Office of Compliance, State University of New York

• The importance of records retention to compliance, and how to develop and implement a robust records retention schedule and program at your campus

• The increasing burdens of E-discovery and how to manage those burdens, including: 1) Establishing a system within which a campus and its staff can efficiently and effectively comply with e-discovery demands; and 2) Set forth best practices for handling discoverable records before, during, and after the e-discovery process

• How to develop an organized, streamlined approach to e-discovery that defines the roles for each participant involved and establishes a process for responding to the e-discovery demands that your campuses are already struggling with, while capitalizing on current University resources to ensure all legal demands for information are met

104 Financial Aid Data Analysis and Fraud Prevention and Detection: Strengthening Your Compliance Programs

Tracey Sadler, The Texas A&M University System

Nora Miles, Internal Audit Manager, The Texas A&M University System

Joe Agins, Director, Ethics & Compliance Investigations, Apollo Education Group, Inc.

• Using IDEA for data analysis to determine how well data complies with federal and state requirements

• Using IDEA to detect systemic problems

• Organized student financial aid fraud schemes overview and characteristics

• Detecting and preventing student financial aid fraud


Agenda

11:30 am – 12:30 pm Networking Lunch

12:45 – 2:15 pm

BREAKOUT SESSIONS

201 Compliance Blueprint: Building Structures and Relationships

David Galloway, Compliance Officer, Brigham Young University

Sarah Campbell, Associate University Counsel, Brigham Young University

• See the “big picture” of what a compliance program looks like, including its constituent parts

• Learn how the relationships between these parts facilitates the success or failure of your compliance program

• Discuss the details of the parts of the compliance program that interest you and how your peers have implemented their programs

202 Are You Clery Compliant? Practical Application and Tools for Implementation

Ashley Greene, Compliance Analyst, Virginia Commonwealth University

Jacqueline Kniska, University Integrity/Compliance Officer, Virginia Commonwealth University

• Provide an overview of and a framework for monitoring the requirements of the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act

• Review the preparation process for the Annual Security and Fire Safety Report from an oversight perspective

• Make it real–challenges and successes of implementing a Clery Compliance Program

203 Structuring Compliance: The Duke Model

Tina Tyson, JD, Chief Ethics and Compliance Officer, Duke University

Michael Somich, Executive Director Internal Audits, Duke University

• This presentation will provide insight into the structure of the compliance program at Duke University including how the institution defines institutional risks, identifies operational compliance liaisons, and defines risk owners in Senior Leadership.

• The presentation will address the inventory of laws and regulations affecting the university and compliance monitoring conducted by compliance liaisons including more frequent monitoring reporting for areas as defined as highest institutional risk areas

• The presentation will demonstrate how risks are prioritized within the compliance work plan and provide an overview of top risk areas and the scope of compliance audits for these areas

204 Financial Reporting and Transparency: Federal Grants, Effort Reporting and COI

Lisa Murtha, CHC, CHRC, Senior Managing Director, FTI Consulting

Matthew Staman, Managing Director, Huron Consulting Group

• This session will provide a brief overview of the requirements for reporting in Federal Grants (OMB Circulars A-110, A-21 and A-133)

• The speakers will describe the practical implications of the government’s reporting obligations and the intersections with the transparency obligations in the ACA

• Finally, the speakers will provide recommendations for what Universities should do to supplement their Compliance Programs to ensure ongoing compliance with these reporting obligations


2:45 – 4:15 pm

BREAKOUT SESSIONS

301 Integrating an Ethical Decision-Making Model into a Comprehensive Compliance Program

John R. Steer, Allenbaugh Law Firm LLP

• The Federal Sentencing Guidelines for Organizations continue to provide the best available basic framework for a comprehensive higher education compliance program. Key elements will be examined

• The Rutland Institute for Ethics at Clemson University has developed an “Ethical Toolkit” and decision-making model that can facilitate application of compliance program elements on a daily basis to maximize effectiveness

• Both a well-designed compliance program and an ethical choice process that individuals can readily understand and apply are neede to meet the complex compliance challenges facing higher education institutions

302 The Regulator In The Rear View Mirror is Closer Than You Think: The CFPB


• The CFPB is expanding their supervision of Higher Education business practices. Are you prepared?

• Avoid the Student Loan Scandal Déjà vu

• Train Twice–Respond Once. How you can prepare now for your first CFPB review


Agenda303 Compliance Monitoring: The Evolving Need and Growing Demand

(Moderator) Robert Roach, Chief Compliance Officer, Office of Compliance and Risk Management, Office of the President, New York University

Dan Donovan, Vice President, Guidepost Solutions, LLC

John Hanson, CPA, CFE, CCEP, Founder and Executive Director, Artifice Forensic Financial Services, LLC

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

• Practical advice about the expanded False Claims Act and Family Educational Rights and Privacy Act and the growing use of monitors in regulatory and prosecutorial situations for higher education institutions exposed to improper or illegal conduct

• Learn more about integrity monitoring programs from its origins to what they do and how they are selected and from its advantages and disadvantages to reports, costs and other factors; real case studies, including Penn State, will be highlighted

• Preparing your institution for the NCAA athletics integrity monitoring modeled after the U.S. Department of Justice and Securities Exchange Commission integrity monitoring; what measurable results can be expected and how will it affect your institution

304 Best Practices in Higher Education: Brainstorming with Your Peers

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

Luanna Putney, Executive Director of Ethics & Compliance, University of California Systemwide Office

• Discuss key elements of their compliance program and share best practices

• Discuss tools shared by participants for compliance efforts

• Discuss industry practices on the different elements in a compliance program


4:30 – 5:30 pm General Session: Research Year in Review


5:30 – 6:30 pm Networking Reception

TUESDAY, JUNE 3

7:30 am – 4:30 pm Registration Open



8:30 – 10:00 am General Session: Ethics and Compliance Transformation: Establishing a New Model at Penn State

Regis Becker, Director, Office of Ethics and Compliance, The Pennsylvania State University

Julie Del Giorno, Athletics Integrity Officer, The Pennsylvania State University

Sandy Weaver, Youth Programs Compliance Specialist, The Pennsylvania State University


10:30 am – 12:00 pm

BREAKOUT SESSIONS

401 Internal Investigations: What Your Colleagues Need to Know

Joshua Toas, Chief Compliance Officer, Research Foundation for SUNY

Rich Agnello, Corporate Counsel, Research Foundation for SUNY

Joanmarie Dowling, Dowling Law, PLLC

• Overview of the importance of an ethical culture and the policies that support an ethical culture

• Reasons why internal investigations are a vital component of maintaining your ethical culture

• Review of the basic components of an internal investigation, do’s and don’ts, and lessons learned

402 Collision Avoidance: Managing and Monitoring Conflicts of Interest and Conflicts of Commitment

Urton Anderson, Director, Von Allmen School of Accountancy, University of Kentucky

Jeff Ferguson, Partner, Ernst & Young LLP, Dallas

• Why the heightened concern about conflicted of interest (COI) and conflict of commitment (COC)?

• The multiple facets of COI and COC: Recognition and risk assessment

• Managing and monitoring techniques: Best practices and new tools

403 Big Data for Educational Institutions: A Framework for Addressing Privacy Compliance and Legal Considerations

David Navetta, Partner, Information Law Group

• Understanding the compliance and legal risk associated with Big Data projects for educational institutes

• Data flow and policy analysis

• Key considerations for retaining and contracting with data analytics consultants

404 InfoSec for Compliance Officers

Michael G. Carr, Chief Information Security Officer, University of Kentucky

• Compliance Officers are often tasked with Information Security Program oversight but yet may be unfamiliar with the laws and regulations that drove the establishment of the program itself

• This session will briefly review these laws and regulations, assess several InfoSec Program frameworks as they relate to the regulatory environment and, in layman’s terms and interactively, discuss the most common technical safeguards and their value

• Several InfoSec Program frameworks that will be assessed are ISO 27002, COBIT, HITRUST CSF and FISMA

12:00 – 1:00 pm Networking Lunch


Agenda1:15 – 2:45 pm

BREAKOUT SESSIONS

501 Self-Harming Students and Legal Compliance: Balancing the ADA, Direct Threat, and Student Safety

Paul G. Lannon, Attorney, Holland & Knight LLP

• Review real-life scenarios to develop better legal compliance and safety strategies

• Learn the latest legal developments in assessing and responding to students who pose a “direct threat” of self-harm

• Discuss best practices for conducting emergency removals, involuntary withdrawals, and setting conditions for readmission without violating disability discrimination laws

502 Athletic Compliance Hot Topic Michael Somich (moderator), Executive Director Internal Audits, Duke University

Amy Folan, Associate Athletics Director, The University of Texas

Dan Guerrero, Director of Athletics, UCLA

Kevin Reed, Vice Chancellor, Legal Affairs, UCLA

503 Too Many Boards Are Just Checking the Box: Tune Up With a Meaningful Board Evaluation

Robert Roach, Chief Compliance Officer, Office of Compliance and Risk Management, Office of the President, New York University

Erum Raza, Compliance and Risk Management Officer, New York University

• Discuss often negative attitude surrounding evaluations and explains how to turn it into a positive one

• Board evaluations shouldn’t be about going on a witch hunt or having a “gotcha” moment. They provide results that allow the board to tune up, realign with senior management, and ensure the board is fully engaged

• Board members need an opportunity to be candid and truly reflect on their performance and preparation for the future. Steve will discuss steps boards should take immediately after the evaluation, including following the evaluation with positive interaction

504 Ethics and Compliance Investigations in the Higher Education Environment

Rebecca Holland, Assistant Vice President, Global Standards and Compliance, Department of Public Safety, New York University

John A. Lohse, Director of Investigations, University of California

• Because of the culture of higher education, conducting investigations in a university or college is different from doing so in a law enforcement or corporate environment; the presenter will discuss approaching investigations in this landscape

• Basic investigatory techniques (setting goals, interviewing witnesses, gathering documentation, analyzing information) will be discussed

• How to report and make recommendations, and to whom, are the most sensitive area in higher education internal investigations. This session will address various frameworks for doing so


3:00 – 4:00 pm Evolution of the Higher Education Compliance Profession: Past, Present, and Future

Matt Kelly, Editor & Publisher, Compliance Week

Odell Guyton, JD, CCEP, CCEP-I, SCCE Advisory Board Co-Chair, Vice President, Head of Global Compliance, Jabil Circuit, Inc.

Ryan D. Meade, CHRC, Director of Regulatory Compliance Studies, Loyola University Chicago School of Law

WEDNESDAY JUNE 4POST-CONFERENCE

8:00 – 11:30 am Registration Open


8:30 – 11:30 am

W1 Compliance Program Effectiveness: Measuring and Communicating Benchmarking, Data, and How to Communicate Effectiveness to Your Board and Senior Leaders

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

Anna Drummond, Chief Compliance Officer, University of Vermont

• Identify the right metrics to: (1) assess overall program effectiveness; (2) demonstrate the program’s “return on investment”; (3) leverage control testing and monitoring; and (4) measure ethics and integrity

• Engagement: How to use program effectiveness metrics to engage risk owners and influence behavior

• Deliver immediately useful, practical tools through specific templates, surveys and reports

W2 Developing an Effective Audit and Compliance Committee

Bret S. Bissey, Senior Vice President, Compliance Services, MediTract, Inc.

Sean McKenna, Partner, Hayne and Boone, LLP

• The relationship between General Counsel, The Compliance Officer, the Compliance Committee and the Audit Committee

• Pro-active communication strategies between and amongst Counsel, the Compliance Officer, the CEO and the Audit Committee Chair

• Development of appropriate goals, objectives and expectations of the Compliance Committee and Audit Committee including how you will deal with difficult situations and the assignments of accountability and authority in different scenarios

11:30 am – 12:30 pm

Lunch (on your own)

12:30 – 1:00 pm

CCEP Exam Check-In

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


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 21.9 CEUs for these accreditations.

CLE: The Society of Corporate Compliance and Ethics is a State Bar of California Approved MCLE provider, Pennsylvania Accredited Provider, and Texas Accredited Sponsor. An approximate maximum of 18.25 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 through its website: www.learningmarket.org. A recommended maximum of 21.5 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. Advanced Preparation: None. 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 21.9 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).

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.

RACC: Attendees seeking CRA credits through the Research Administrators Certification Council (RACC) may request a certificate of attendance from HCCA 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 18.25 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.

PLATINUM SPONSOR

SCCE would like to thank the 2014 Conference Planning Committee


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


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

Urton Anderson, Director, Von Allmen School of Accountancy, University of Kentucky

MEET THESE EXHIBITORS

ACUAAmber RoadBaker McKenzieBRANYCaseWare

HCCSMeditractNavexWeComply

EXHIBIT HALLThe SCCE Higher Education Compliance Conference and the HCCA Research 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 1 ............... 5:00 – 6:00 pm

Monday, June 2 .......... 7:15 am – 6:30 pm

Tuesday, June 3 .......... 7:15 am – 1:15 pm

Take the CCEP certification exam on‑site after the conferenceWednesday, June 4 | 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 21.9 CEUs to qualify to sit for the exam.

Continuing Education Units


Registration Higher Education Compliance Conference | June 1–4, 2014 | Austin, Texas

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Registration Higher Education Compliance Conference | June 1–4, 2014 | Austin, Texas

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

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

SUN, JUNE 1 PRE-CONFERENCE 1

1:00 – 2:30 pm

P1

P2

PRE-CONFERENCE 2

3:00 – 5:00 pm

P3

P4

MON, JUNE 2 BREAKOUTS

10:00 – 11:30 am

101

102

103

104

12:45 – 2:15 pm

201

202

203

204

2:45 – 4:15 pm

301

302

303

304

TUE, JUNE 3 BREAKOUTS

10:30 am – 12:00 pm

401

402

403

404

1:15 – 2:45 pm

501

502

503

504

WED, JUNE 4 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.

CONTACT INFORMATION Mr Mrs Ms Dr

SCCE Member ID (if applicable)

First Name MI

Last Name

Credentials (CCEP, CHC, etc.)

Job Title

Name of Employer

Street Address

City/Town State/Province

Country Zip/Postal Code

Phone

Email (required for registration confirmation & conference information)

REGISTRATION OPTIONS (prices listed reflect savings)

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 ....................................................... $125

Pre-Conference Registration 2 ....................................................... $125

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

Group Discount: subtract $ from my total (see details on page 11)

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

Fax to: +1 952 988 0146

Invoice me

Check enclosed (payable to SCCE)

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

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

Credit Card: American Express MasterCard Visa

Credit Card Account Number

Credit Card Expiration Date

Cardholder’s Name

Cardholder’s SignatureHE0614

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


Details

Hotel & Conference Location:

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

SLEEPING ROOM BLOCK IS SOLD OUT

Hotel Reservations: https://resweb.passkey.com/go/SCCEHA0614

Phone Reservations: +1 877 744 8822 and mention identification code SCCEHA0614

A special rate of $179/night plus tax (for standard rooms) has been arranged for this conference. Please make your reservations directly with the hotel via phone or online by following the instructions below. Reservations will be accepted at the group rate until May 14, 2014, or until the group block is sold out, whichever comes first. Reservations received after this date, or after the block is filled, will be accepted based on space and rate availability. Individual reservations may be cancelled up to 48 hours prior to arrival without charge. Cancellations after this time will result in room rate and applicable taxes being charged one night room rate and applicable taxes to the credit card on file of the party that made the reservation. This hotel offers free high-speed wireless internet at any location in the hotel.

Overflow hotel options

DoubleTree Suites by Hilton–Austin 303 W. 15th Street, Austin, Texas +1 512 478 7000

MENTION GROUP CODE: HEA

When making online reservations, you will need to select “Add special rate codes” and enter in HEA in order to get the $189 rate: www.austinsuites.doubletree.com/

A group rate of $189 has been arranged for conference attendees. Please make your reservations directly with the hotel via phone or online link above. Reservations will be accepted at the group rate until May 16, 2014. Cancellations must be made 72 hours in advance of arrival date.

Hampton Inn & Suites 1701 Lavaca Street Austin, TX 78701 +1 512 499 8881

http://hamptoninn.hilton.com/en/hp/groups/personalized/A/AUSUAHX-SCH-20140531/index.jhtml?WT.mc_id=POG

A LIMITED NUMBER OF ROOMS IS AVAILABLE

A group rate of $179 plus tax has been arranged for conference attendees. Please make your reservations directly with the hotel via phone or online link above. If reserving over the phone, please identify that you are with the SCCE/HCCA group. Individual reservations may be cancelled up to 72 hours prior to scheduled arrival. Any reservations canceled after this time will be subject to charge of one nights room and tax. Reservations will be accepted at the group rate until May 10, 2014, or until the group block is sold out, whichever comes first. Reservations received after this date, or after the block is filled, will be accepted based on space and rate availability.

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 toward 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 registrant

10 or more: $100 discount for each registrant

Special Needs/Concerns: Prior to your arrival, please call SCCE at +1 952 933 4977 or +1 888 277 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.

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. 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 1–4, 2014 | Austin, Texas

June 1–4, 2014 | Austin, Texas

AT&T Executive Education Conference Center

AT&T Executive Education Conference Center


Higher Education Compliance Conference


Higher Education Compliance Conference

Last chance to register

join us for scce’s 12th annual higher education...a comprehensive compliance program ... von...

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