Ethics, Compliance and Audit Services
2015 UC Compliance Symposium
9:00 AM – 5:00 PM
Export Controls Boot camp
Marci Copeland (UCI), Brittany Whiting (UCSD), Brian Warshawsky (UCOP)
This intensive day-long program provides both novice and experienced university professionals with an in-depth education on the export control regimes and issues affecting the academic community. The comprehensive curriculum will provide both a general overview as well as hands-on approaches for complying with export controls, excluded parties screening, trade embargoes, antiboycott regulations and many other compliance challenges arising from the US Departments of State (ITAR), Commerce (EAR) & Treasury (OFAC).
1:00 PM – 5:00 PM
Effective Investigation Reports: Tips to Writing it Right!
Bill Cormier (UCLA), Irene Levintov (UCOP)
This session will include an overview of the types of workplace investigations conducted at the University of California. We will provide you with practical tools on how to structure allegations, draft reports, document interviews, manage information and analyze the information gathered, including elements of credibility assessment. We will include practical tips on all the characteristics of an excellent report including use of appropriate grammatical style, how to avoid common writing pitfalls, and readability analysis. We will teach you to write “small” and communicate relevant information. We will provide you with advice on how to make your report relevant and useful for the intended decision maker.
1:00 PM – 5:00 PM
Policy Boot Camp
Joshua Adams (Cornell), Andrei Trifonov (UCOP)
What are the key pieces of a successful policy and an effective policy program? This session will explore the best practices and critical success factors for policy initiatives at institutions of higher education. You will hear about a policy program that has been in existence for over twenty years, and learn what makes a policy work, including tools, templates, communication plans, and approval methods. And in a cooperative exercise, you will gain hands-on experience in writing a policy statement and organizing policy information for effective policy promulgation.
5:00 – 7:00 PM
7:00 – 8:00 AM
Breakfast and Registration
8:00 – 8:30 AM
Introduction and Welcome (General Session)
Charlene Zettel (UC Regent), Sheryl Vacca (UCOP)
8:30 – 9:30 AM
Keynote: Establishing an Ethical Tone (General Session)
Michael Josephson (Josephson Institute)
9:45 – 11:00 AM
Risk Intelligence Process
Sarah Latham (UCSC), Barry Long (UCSC)
This session will provide an overview of recent efforts to move the UC Santa Cruz compliance model to a risk intelligence model. Presenters will outline the evolution of the compliance model used at the campus and how it is integrating an ethos of simplification into the model used to identify risks, identify priorities and monitor progress. The critical role of Internal Audit as a partner in this work will be highlighted. Attendees will have the opportunity to reflect upon their own challenges when it comes to the model of compliance used at their campuses.
Tom Andriola (UCOP), David Rusting (UCOP)
Today everything is connected, and the common buzzword linking it all is the “cloud.” Come and learn about what the cloud is and isn’t, as well as what we are doing at UC with cloud computing. There will also be a discussion about the myriad compliance, privacy, and security implications of cloud computing and strategies we can use to move forward effectively. Bring your questions and come speak with the UC Chief Information Security Officer about how UC can best use cloud computing at the system and campus levels.
Research Compliance 101
Marianne Generales (UCSD), Charles Greer (UCR), Deborah Motton (UCM)
This session will focus on developing a research compliance program within a major research university. The presenters will cover the basics and engage the audience in a dialog about common challenges, questions, and solutions.
11:15 – 12:30 PM
Changing the Climate
Gibor Basri (UCB)
This session will cover some basic questions concerning the UC-wide campus climate survey: What does the data tell us about the state of inclusion on our campuses today? How are the “micro-climates” for different types of populations on campus? What are some of the approaches to improving the climate for students, faculty, and staff? Now that we’ve had a year to pore over the results of the climate survey (with over 100 questions and a lot of demographic information), what are some of the actionable take-aways? Which issues seem amenable to progress on campus, and which are reflections of broad societal issues? How does campus climate affect people’s abilities to work and learn? Where are the points of action that might produce results? And finally, how can we best make the case to the folks who need to make changes and the folks who need changes made? We'll dicuss some of the action steps being taken at UC Berkeley.
Coordination of Complaints Across the Investigational Divide
Wendi Delmendo (UCD), William Kidder (UCR), Luanna Putney (UCM)
Resolving complaints in the University setting is complex and challenging. Multiple categories of complainants, various reporting channels and a myriad of policies and procedures governing complaints make effective coordination key. In this session we will discuss best practices related to roles and responsibilities across the lifecycle of complaint resolution, across multiple stakeholder groups. We will highlight UC complaint resolution and investigation processes, practices and policies at three different campuses, including governance structures, workgroup dynamics and local procedures. Finally, we will address a range of case scenarios that illustrate the complexity and diversity of complaints across the University setting with emphasis on the importance of cross-functional coordination.
Research Misconduct Investigations: Expectations from Federal Regulators
Craig Allison (UCD), Eric Mah (UCSF), Claudia Modlin (UCLA), Kelly Simmons (UCSF)
A delegation from three University of California campuses recently visited the federal Office of Research Integrity. In this session, we will share key lessons learned and brainstorm approaches to address common challenges each of our campuses face. We will discuss a comparison of priorities between the Institution and the Office of Research Intergrity, different approaches to an investigation, and challenges and potential solutions, including best practices.
12:30 - 2:00 PM
Lunch General Session: UC Health Update
John Stobo, M.D. (UCOP)
2:15 – 3:30 PM
Overview of State and Federal Legislation Pertaining to Preventing and Responding to Sexual Misconduct
Steve Juarez (UCOP)
The subject of sexual violence and sexual assault on college and university campuses is a matter of national importance that has drawn the attention of both the state and federal governments. This session will provide an overview of legislative activities and bills from 2014 and a preview of the political environment in the coming year.
Records Management – Sleepless Nights and Close Encounters of the Unwanted Kind
Laurie Sletten (UCOP)
This session will cover an overview of records management principles and recordkeeping risks in general. We will discuss electronic records and the benefits and potential pitfalls of storing them. We will discuss scanning hard copies and whether or not you can destroy the hard copy. We will discuss what keeps records managers up at night: e-mail records and storing everything because storage is cheap. Some recent legal issues will also be discussed.
Clinical and Human Subjects Research: Monitoring Your Compliance Program
Shanley Curran (UCLA), Sharalyn Reed (UCD), Andrew Walton (UCI)
This session will engage the audience in a dialog about clinical and human subjects research compliance within a major research university. The presenters will cover three unique compliance risk areas and share best practices as well as mechanisms for ensuring that policies, processes and procedures are followed and work as designed to improve research compliance.
3:45 – 5:00 PM
Students in Distress: How to Share Enough Information to Help and Maintain Privacy
Marti Arvin (UCLA), David Bergquist (UCR)
Students can experience distress from a variety of areas, and University employees work to protect the student during these vulnerable times. This talk will help you navigate the legal requirements and understand what information you can share--and with whom you can share it--to protect and assist our students. Bring your questions and hear from health and mental health practitioners, counsel, and privacy experts about how to best assist students on your campus.
Digital Forensics and Security in the Workplace
Don Vilfer (Califorensics)
This session’s focus will be on creating an awareness of what data can be retrieved from digital devices and the steps to take to preserve and find evidence. It will provide an overview of computer forensic techniques and strategies, including preservation methods and pitfalls to avoid. Today's smart phones should also always be considered part of your forensic examination plan in investigating and litigating a case. It will discuss types of data on smart phones, techniques for recovering and preserving data, and the challenges and duties to preserve the information. The session will also cover digital security issues and steps for responding to an incident (the dreaded hack).
Chemical Safety, Biosafety and Security: the Yin and Yang of the Risk/Research Productivity Challenge
Brett Henrikson (UCOP), Craig Merlic (UCLA), Kenneth Smith (UCOP), Samuel Traina (UCM), Nancy Wayne (UCLA)
5:00 – 7:00 PM
7:30 – 8:30 AM
Breakfast and Registration
8:30 – 9:30 AM
General Session: Vision and Strategies for UC
Maria Anguiano (UCR), Sam Traina (UCM), Howard Gillman (UCI), Ralph Hexter (UCD), Sheryl Vacca (UCOP)
9:45 – 11:00 AM
Play an Active Role: Tips to Incorporate Cyber Security and Privacy into Your Life Today!
Tawny Luu (UCI), Tessa Mendez (UCSB), Robert H. Smith (UCR)
While technology can greatly increase our productivity and efficiency, it can also increase security and privacy risks. UC is at the forefront of values-based privacy and security practices. Come learn some top tips to help you in your professional and personal lives to actively protect your data and the data of others.
The Legal Mind: Solving Problems by Looking at Disputes and Conflicts Through the Eyes of the Legal System
Daniel Park (UCSD)
No one likes the legal system. Lawyers argue too much. Disputes take too long to resolve. And the results can seem arbitrary. Yet there is a method to the madness and understanding how the law approaches disputes can sharpen your skills for spotting and solving problems long before you reach the courthouse. This session will focus on three aspects that make disputes challenging to deal with: different perceptions of events, conflicting recollections, and ambiguities in people’s words and actions as well as in the rules that govern what people do. Come and explore how the legal system thinks about problems and how the lesson’s of the law can be applied to our daily work.
Overview of International Compliance
Kathryn Atchison (UCLA), Rowena Manlapaz (UCOP), Deborah Motton (UCM), Patrick Schlesinger (UCB)
If your campus is educating students, performing research, or conducting business operations overseas, this session will help frame the issues that you will be facing. Campus and systemwide experts will illustrate with real examples the issues that arise when UC performs international work and strategies to mitigate the risks. This session will act as an introduction to the later sessions on the International Activities Track.
11:15 – 12:30 PM
Can't Buy Me Love? Then how 'bout a little privacy and security?
Lisa Ho (UCB), Maria Shanle (UCOP), Isaac Straley (UCI)
We all know that it's important to address data issues related to vendor contracts. But what are the actual privacy and security risks, and what best practices can you use on your campus to assess vendors? This session will discuss those questions and also review what you need to know in assessing vendor contracts related to data.
Visual Impact: Data Analytics and Compliance
Brian Warshawsky (UCOP), Manfred Zorn (UCOP)
Every day we generate more business data than we are able to process. Now we have new tools to present big data in a visually rich way for ease of access and understanding. We present a case study in international shipping that highlights the use of modern data analytics tools and the potential risks that can be uncovered by use of visual study. We will give a brief overview of the capabilities of Tableau Software that allows easy access to large amounts of data and facilitates development of fast analytics, impactful charts, smart dashboards and heat maps.
International Research: Navigating the Regulatory Maze while Getting the Work Done
Dragana Nikolajevic (UCOP), Georgina Lopez (UCSF)
This session will provide an overview of the challenges, pitfalls, trials, tribulations and rewards of conducting research in international settings. Issues, best practices, and support systems at UC for conducting research internationally will be discussed. Compliance issues will be raised and discussed and challenges and solutions explored.
12:30 PM – 2:00 PM
Lunch General Session: Anti-Corruption and Anti-Bribery: the Changing Landscape
Odell Guyton (Jabil Circuit)
This session will explore the business risk associated with anti-corruption and bribery laws, including the Foreign Corrupt Practices Act (FCPA) and the UK Anti-Bribery Act.
2:00 - 3:15 PM
Privacy and Security, They’re the Same Thing, Right?
Roslyn Martorano (UCOP), David Rusting (UCOP)
What is a privacy concern? What should information security handle? They are not the same thing, but how does that help us understand the importance of both pieces? Hint: Their roles extend far beyond breach response. With the increasing speed at which universities must comply with regulation and meet the demands of expanding knowledge and technological advancements, privacy and information security are key roles in driving campus values and practices. Join us for answers and discussion, as well as insight into what privacy and information security challenges UC will face in 2015.
Athletics Compliance: Pac 12 & NCAA
David Guerrero (UCOP), Kevin Reed (UCLA)
This session will discuss recent NCAA rule changes for major conferences and the implications for the Pac-12.
Due Diligence: Tools for Conducting International Activities
Marci Copeland (UCI), Michelle Hermas (UCSD), Brian Warshawsky (UCOP), Mark Peters (Oregon State)
From travel, to student exchanges, to research, University activities are often International. This session will provide an overview of tools for managing international activities including risk and compliance in the international arena.