Nonprofit Sector Compliance Conference

1. Charity Watchdog Compliance

   Nonprofit Sector Compliance Conference  | Presenter(s): Kitty Holt  | May 25, 2021 

   • The methodology of the larger charity watchdogs

   • What they plan to measure in the future

   • How you can manage your ratings

2. Developing and Utilizing a Compliance Matrix to Track Compliance Obligations

   Nonprofit Sector Compliance Conference  | Presenter(s): Katie Ignatowski  | May 25, 2021 

   • Illustrate how one organization developed a compliance matrix database to inventory, track, and organize compliance obligations from federal law, state law, and Board of Regents policy across the entire system

   • Learn the approach used to create the platform, the research strategies used to populate the relevant compliance information, and the methods deployed to identify accountability for each obligation at multiple levels

   • Understand how the tool integrates with the HR system to ensure that reporting and disclosure obligations don’t “fall through the cracks” when an employee leaves and that new employees receive information regarding relevant compliance obligations in the onboarding process

3. How to Be an Excellent U.S. Government Grantee

   Nonprofit Sector Compliance Conference  | Presenter(s): Doug Horner  | May 25, 2021 

   • Proven practices in USG grant compliance and grant management that apply regardless of your funding agency

   • Implications of USG’s philosophy shift from discretionary grants being thought of as “conditional gifts” to buying specific performance like a contract

   • What to do internally with colleagues in your organization

4. Non-Profits at Risk: Cyber and Ransomware Attacks on the Rise

   Nonprofit Sector Compliance Conference  | Presenter(s): John Riggi  | May 25, 2021 

   • The types of cyber attacks targeting non-profits, which may result in the loss of sensitive data, theft of funds, interruption of operations, and compliance risk exposure

   • The latest cyber tactics and techniques used by international criminal gangs and foreign spies to penetrate organizations, steal data, and execute devastating ransomware attacks

   • The intersection of business risk, compliance, technology, and cyber risk and what the compliance office can do to identify and mitigate cyber risk

5. Using Data Analytics to Detect Fraud and Noncompliance

   Nonprofit Sector Compliance Conference  | Presenter(s): Gerry Zack  | May 25, 2021 

   • Understand a framework for the application of data analytics to the detection of fraud and noncompliance

   • Apply analytic techniques to specific examples of fraud and noncompliance

   • Scale and customize an analytics function based on size and risk profile of your organization

6. What Does the Science of Educational Psychology Teach Us About Compliance Training Best Practices

   2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

   Compliance training and education is one of the well-documented elements of an effective compliance program. Historically, many compliance programs threw words on a slide deck, forced people to read the material and then checked off the box.But why waste such a precious opportunity by providing substandard training? Educational psychologists study the principles of effective training and education. This session will focus on best practices learned from educational psychology. We will cover:

   • Established principles of adult education (Knowles' principles of andragogy)

   • How to design effective compliance training

   • Principles of training evaluation (Kirkpatrick's four levels of evaluation)

7. People and Compliance: Challenges in Nonprofit Organizations

   2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

   • Explore people related risks in nonprofits.

   • Share best practices.

   • Identify immediate take-a-ways

8. Embracing Risk Leadership

   2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

   • Distinguish risk leadership from risk management

   • Create a more risk-aware culture

   • Adopt a governance model that emphasizes risk leadership

9. Hot-Button Federal Tax Issues for Nonprofits

   2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

   • What are the most common and recurring UBIT pitfalls for nonprofits - and what are the best strategies for minimizing UBIT while maximizing revenues?

   • What are best practices and trends in nonprofit executive compensation?

   • Nonprofit and for-profit affiliates and subsidiaries - everything you need to know to protect the separate corporate and tax status of each member of the family

   • Private inurement and private benefit - what's the difference between them, what are the leading pitfalls, and what are practical solutions for mitigating tax risk?

10. Fraud Risks in Nonprofit Organizations

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    • Identify critical fraud risks within their organizations

    • Assess the compliance risk posed by key fraud risks

    • Develop a response to mitigate fraud risk

11. Complying with Fundraising Legal Requirements: An Overview

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Kristalyn Loson, Daniel Sotelino  | November 05, 2020 

    • Understand charitable registration responsibilities in different scenarios including when is the charity required to register, what does registration entail, and what types of fundraising relationships need to be reported to state regulators

    • Know the legal considerations when working with for-profit entities to promote the mission of the charity

    • Learn strategies of how to keep track of regulatory responsibilities in multi-state (or even multi-national) fundraising initiatives as well as key steps if a charity is found to be out of compliance

12. Fraud Risks are EVERYWHERE

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Kenneth Dieffenbach  | November 05, 2020 

    • The three primary fraud risks for every nonprofit regardless of funding sources

    • Emerging fraud and compliance topics in federal grant funding

    • What nonprofits can do to mitigate the risks

13. Understanding the Basics of Compliance and Ethics Programs

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Gerry Zack  | November 05, 2020 

    • Learn the background to and benefits of implementing a comprehensive compliance and ethics program in a nonprofit organization

    • Understand what comprises each of the key elements of an effective compliance and ethics program

    • Apply elements of a program to specific compliance risks faced by nonprofit organizations

14. General Session: Hot Topics in Privacy Law (2020 Nonprofit Sector Compliance Conference)

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Michelle Cohen  | November 05, 2020 

    • Review important federal and state laws and recent actions and developments relating to privacy and data breach laws

    • Review and update privacy policies and procedures

    • Lessons learned from a data breach case involving nonprofit organizations

    • Implement best practices in privacy

15. General Session: Hot-Button Federal Tax Issues for Nonprofits

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Jeffrey Tenenbaum  | November 05, 2020 

    • What are the most common and recurring UBIT pitfalls for nonprofits - and what are the best strategies for minimizing UBIT while maximizing revenues?

    • What are best practices and trends in nonprofit executive compensation?

    • Nonprofit and for-profit affiliates and subsidiaries: Everything you need to know to protect the separate corporate and tax status of each member of the family

    • Private inurement and private benefit: What’s the difference between them, what are the leading pitfalls, and what are practical solutions for mitigating tax risk?

16. Tricks and Triggers of Form 990 Compliance

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Rebekuh Eley  | November 05, 2020 

    • Identify the common errors in filling out the Form 990

    • Understand how the disclosures on the Form 990 integrate into the IRS Priority Guidance Plan and analytical approach to the IRS examination selection process

    • Provide the resources to assess the compliance with your own organization’s 990 and other tax laws

17. Imagineering an Organization-Wide Conflict of Interest & Commitment Disclosure Process (2020 Nonprofit Sector Compliance Conference)

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Robert Gottesman, Kevin Robinson  | November 05, 2020 

    • Readiness: Understand the legal impetus, culture, and administrative will, leading to creation of our disclosure procedure, including considerations on drafting policy, crafting a questionnaire, and selecting delivery method

    • Roll-out: Prepare for the disclosure process including beta testing, messaging/marketing to employees, and developing resources. Hear lessons learned, surprising response rates, and how we dealt with the unexpected

    • Review: Learn how we devised an efficient and consistent approach to review thousands of responses. Having template management plans available and determining when they are needed. How and when to communicate with respondents and other campus partners

18. Fraud Risk in Nonprofits and the Impact on Organizations

    2023 SCCE Nonprofit Sector Compliance Conference  | May 23, 2023 

    • Learn that fraud and corruption are existential problems for nonprofits

    • Identify the specific types of fraud risks at nonprofits: internal, external and cyber

    • Understand the impact fraud and its aftermath have on a nonprofit's ability to perform its mission

19. The Ethical Fundraiser

    2023 SCCE Nonprofit Sector Compliance Conference  | May 23, 2023 

    • Better understand and know when to utilize a risk assessment evaluation.

    • Understand what professional licensing organizations expect of fundraisers and how to better hold

    • Make sense of ethics, morals, and laws and know where they intersect with each other.
      

20. Building In-House Real-time Compliance Monitoring and Risk Notification: A Practical Process Guide with Case Study Examples

    2023 SCCE Nonprofit Sector Compliance Conference  | May 23, 2023 

    • Identify processes to incorporate real-time compliance or proactive notification to reduce risk.

    • Build strategies for internal assessment of regulation alignment - including case studies.

    • Customize internal tools to provide real-time value-add tracking with risk area identification.
      

21. The Risk of Assessing Risk - SCCE Nonprofit Sector

    2023 SCCE Nonprofit Sector Compliance Conference  | May 23, 2023 

    • Recognize common shortcomings in human judgment regarding risk management

    • Identify ways to avoid them

    • Improve your risk management strategies
      

22. Developing a Compliance Champions Network for Nonprofit Organizations

    2023 SCCE Nonprofit Sector Compliance Conference  | May 23, 2023 

    • Understand the psychology behind champion networks and how they can help to spread your message

    • Guidance on recruiting and training champions so that you can find the right people for the role

    • Best practices when launching your network and how to create metrics to demonstrate program success