Higher-Ed

Pre-Conference Wed 4/21
Conference Thurs 4/ 22
Conference Fri 4/23
Post Conference Sat 4/24

Wednesday, April 21 — Pre-conference

Breakout Sessions

12:00 – 2:00 pm

P1: Institutional Biosafety Committee (IBC) 101

IBC basics for the research compliance community
Strategies for streamlining the IBC review process and integrating with IR Bs, IACUCs, and grant management
Inside the National Institutes of Health (NI H) Site Visit Program

Ted Myatt, ScD, RBP, Senior Scientist, Environmental Health and Engineering, Inc

P2: Conflicts of Interest

Detailed overview of the many laws and regulations that govern conflicts of interest disclosure in higher education and research
Summaries of pending legislation (including the Physician’s Payments Sunshine Act) and other relevant bills to understand where the issue of conflicts of interest is going in 2010 and beyond
Recent investigations, settlements, and cases that continue to outline the government’s expectations and vision for conflicts of interest policies, disclosure processes and compliance

Lisa Murtha, Esq., CHC, Partner, Sonnenschein, Nath & Rosenthal LLP; Latour “LT” Lafferty, Practice Leader, Fowler White Boggs P.A.

Breakout Sessions

2:30 – 4:30 pm

P3: Privacy & Security: Reporting and Compliance Management

How effectively do you think your institution has met the various privacy and security laws?
How is your institution managing privacy and security compliance in a decentralized environment?
Hear practical tips and success stories in implementing privacy and security programs

P.J. Warwick, Director, Baker Tilly; Marti Arvin, JD, CPC , CCEP -F, CHC-F, CHRC , Privacy Officer, University of Louisville

P4: Internal Audit’s Role in Promoting and Evaluating Institutional Compliance

Learn from a panel of leading internal audit professionals how internal audit can:

successfully provide assurance on institutional-wide compliance through auditing and evaluation of the ethics and compliance program
be an active participant in promoting ethics and values and improving the organization’s ethical culture beyond simply auditing

Moderator: Urton Anderson, CCEP , Chair, Department of Accounting, McCombs School of Business, University of Texas at Austin; Sheryl Vacca, SVP/Chief Compliance and Audit Officer, University of California;
Daniel Roach, VP Compliance and Audit, Catholic Healthcare West; Gail Klatt, Associate Vice President, Internal Audit, University of Minnesota; Kathie Schwerdtfeger, Partner, Deloitte & Touche LLP

Thursday, April 22
7:30 – 8:15 am		Breakfast
General Sessions 8:30 – 9:45 am	GS1: General Session The recent financial crises and current scandals: commonalities, root causes and risk indicators Lessons learned and what it means for compliance and ethics professionals Practical tips for building a strong ethical foundation that will lead to sustainable success Cynthia Cooper, CPA (in Georgia), CFE, CISA, CEO, The CooperGroup LLC
Networking Break	9:45 – 10:15 am
Breakout Sessions 10:15 – 11:45 am	101: Compliance Officer’s Quick and Dirty Guide to Scientific Misconduct Handling allegations of scientific misconduct Conducting inquiry and investigations of scientific misconduct Training programs for Responsible Conduct of Research John Chinn, Director, Office of Research Compliance Administration, East Carolina University
	102: Risk Diverse Environments: Prioritizing the Priorities Diverse risks, multiple priorities: How to address these through a scalable approach Prioritizing the diverse risks of your organization Addressing diverse risk priorities in a compliance auditing and monitoring plan Sheryl Vacca, SVP/Chief Compliance and Audit Officer, University of California
	103: Roundtable Discussion: Top Risks Facing Your Institution for 2010–2011 Answer the question: “What risks are other institutions facing?” Hear how other institutions are addressing risks that your institution may be facing Develop/strengthen your risk management network Michael Hill, VP for Audit, Compliance & Risk Management, Medical College of Georgia
	104: We Are Special!!! The Special Need for Contract Management for the Health Sciences Function of a University Why contracts management is special for Health Sciences Compliance issues, concerns and solutions for Health Sciences contracting and procurement Avoid being recognized as “special” by the OIG or DOJ Brian D. Annulis, Partner, Meade & Roach, LLP; Janis Anfossi, JD, MPH, RN , Associate General Counsel, Associate Compliance Officer, Privacy/Security Officer, Rush University Medical Center

Lunch Speaker	11:45 am – 12:45 pm	Networking Luncheon

Breakout Sessions 12:45 – 2:15 pm	201: Conducting Effective Workplace Interviews How to maximize the value of an interview Detecting and addressing deception in an interview Ways to expect and respond to unexpected interview problems Meric Bloch, Vice President‑Compliance and Corporate Investigations, Adecco
	202: Assessing Compliance in Technology Transfer Programs: Royalty Underreporting and Faculty Non‑Disclosure What are some key compliance issues in technology transfer programs? How can monitoring/auditing efforts be used as tools for addressing non-compliance? What are the cost/benefit ratios for potential monitoring/auditing activities in this area? Luanna K. Putney,Director of Research Compliance, University of California; Daniel Burns, President, Daniel Burns & Associates
	203: Clout Goes to College Should power and money influence college admissions? How should university leaders respond when pressed by power? Who rebuilds public confidence after a crisis? Gretchen Winter, Executive Director, University of Illinois Center for Professional Responsibility in Business & Society, College of Business; Donna McNeely, Ethics Officer, University of Illinois
	204: Strategies for Protecting Sensitive Data Developing procedures for protecting export‑controlled information Reviewing security plans for protecting sensitive data Understanding the requirements for protection of sensitive data Susan Wyatt Sedwick, Associate Vice President for Research, The University of Texas at Austin
Networking Break	2:15 – 2:45 pm
Breakout Sessions 2:45 – 4:15 pm	301: Clinical Research Enforcement Initiatives and False Claims Act Update Relevant to Academic Medical Centers Research compliance risks including National Coverage Determination & recent CMS clarification Enforcement efforts including cost allocation, effort reporting, indirect cost rates, & other issues Strategies for assessing internal compliance and minimizing False Claims Act risks Gary W. Eiland, Partner, King & Spalding; Lisa Murtha, JD, CHC, Partner, Sonnenschein, Nath & Rosenthal LLP
	302: Finding the Meaning in Research Compliance Metrics What are the challenges to developing meaningful research compliance metrics? What strategies exist for developing meaningful metrics? How do you know when metrics are meaningful? Luanna K. Putney, Director of Research Compliance, University of California; Rachelle Jeppson, Director, Ethics & Compliance, Northern California, University of California
	303: Common Findings of IRB Non-Compliance and Their Solutions IRB non-compliance concerns are usually related to common themes and underlying causes Know the common areas where IR Bs are non-compliant Know the solutions to commonly noted areas of IRB noncompliance Jeffrey A. Cooper, Director, Huron Consulting Group
	304: International Compliance Programs for Colleges and Universities Elements of an Effective International Compliance Program U.S. laws of special significance in for program sites Foreign Laws of Special Significance Robert Roach, Chief Compliance Officer, New York University;Sunita Desouza, PhD, Associate Director of the Office of Compliance and Risk Management, New York University
Networking Break	4:15 – 4:30 pm
GENERAL SESSION 4:30 – 5:30 pm	GS2: Managing the Future Role of the Compliance Profession Jim Sheehan, Medicaid Inspector General, New York State Office of the Medicaid Inspector General; John R. Steer, Senior Partner, Allenbaugh Samini/LLP; Chip Jones, SVP, Corporate Responsibility and Sustainability, Dean Foods; Larry Plutko, Systemwide Compliance Officer, The University of Texas System

Networking Reception	5:30 – 6:30 pm

Friday, April 23
Continental Breakfast	7:30 – 8:30 am
GENERAL SESSION 8:30 – 9:45 am	GS3: General Session Mark G. Yudof, President, University of California
Networking Break	9:45 – 10:15 am
GENERAL SESSION 10:15 – 11:15 am	GS4: General Session Speaker TBA
Networking Luncheon	11:30 – 12:30 pm
Breakout Sessions 12:30 – 2:00 pm	401: Compliance & Integrity: An OIG Perspective Overview of NSF Office of Inspector General Knowledge of applicable federal regulations and grant conditions Elements of an effective compliance program Fara Damelin, Investigative Attorney, NSF Office of Inspector General
	402: You’ve Deployed Your Hotline—Now What? Taking an institution-wide approach to issue detection and management Aligning your program to the institution’s people and processes and technology KPI ’s, Trend Analysis and benchmarking Tom O’Keefe, Executive Vice President, EthicsPoint, Inc
	403: Silos: Why Siloed Compliance Programs Create Less Efficiency and More Work for Compliance Programs in Academia Discussion of the inefficiencies in a siloed approach to compliance Issue with the reporting structure of a siloed approach Solutions to these issues when management does not want a centralized function Martha Arvin, JD, CPC, CCEP, CHC-F, CHRC, Privacy Officer, University of Louisville
	404 Integrating Institutional Risk Management into Athletics Evolution of idea and structure Implementation of concept Vision for future Rudy Green, Director of Compliance, The University of Texas at Austin; Amy Folan, Associate Athletics Director of Compliance, University of Texas; Chris Plonsky, Director of Women’s Athletics, The University of Texas
Networking Break	2:00 – 2:30 pm
Breakout Sessions 2:30 – 4:00 pm	501: The Basics of Export Control for Universities Learn the basics of export controls and how they can impact your institution What is an “export” and by which Federal agencies are they regulated? What are the terms and general concepts that compliance/ethics professionals should be aware of? Haley Lincourt, Compliance Manager, Rutgers, The State University of New Jersey; Kevin Licciardi, Associate General Counsel, Rutgers University
	502: Practical Considerations for Managing the Business Risk of Financial Fraud for Higher Education Providers Leveraging existing infrastructure and activities to holistically address fraud risk How others in higher education are proactively responding to the risk of fraud. How fraud risk management issues are the key to expansion, both domestically and globally William Pollard, Partner, Deloitte FAS LLP; Mark Albers, Senior Manager, Deloitte FAS LLP
	503: Implementing an Automated Conflict of Interest and Commitment System Pitfalls and Successes COI system Implementation: pitfalls and successes Lessons learned in developing a comprehensive COI policy Considerations in education and training on the policy Christy Hooper, Assistant Vice Chancellor, Vanderbilt University
	504: Too Hot, Too Cold, Just Right: Finding the Ideal Balance in Communicating Between Operations and Compliance Showcase methods for unifying communication into a centralized compliance reporting and monitoring system Provide strategies for managing operational challenges to implementing your compliance agenda Discuss effective communication methods and lessons learned over a multi-year restructuring phase Rebekah M. Stewart, Associate, Huron Consulting Group; Jacqueline L. Kniska, Compliance Manager of Communication, Education and Investigations, Virginia Commonwealth University Health System

Saturday, April 24 — Post-Conference
Beverages	7:30 – 8:30 am
Breakout Sessions 8:30 – 11:30 am	W1: Compliance 101 An in-depth look into the seven elements of an effective compliance program “How-to’s” of designing and implementing an ethics and compliance program from the ground up A suggested governance structure and program frame-work Project and program management techniques, systems, tools, etc. Monitoring and follow-up techniques Debbie Troklus, CCEP-F, CHC-F, CHRC, Assistant VP for Health Affairs/Compliance, University of Louisville; Sheryl Vacca, SVP/Chief Compliance and Audit Officer, University of California
	W2: TBA Speakers TBD
Lunch (on own)	11:30 – 12:30 pm
	1:00 – 3:00 pm	CCEP Exam