Harvard Institutional Risk Management Symposium 2017

June 22, 2017

Thank you for your interest in the Harvard Institutional Risk Management Symposium held on June 22, 2017. We hope you find these resources helpful. Please note that you must have a HarvardKey login to view the presentations.

Opening Keynote Address

Crossroads and Transformations - Institutional Risk Management and "Compliance U" Under the New Federal Administration


Peter Lake, Professor of Law, Charles A. Dana Chair and Director of The Center For Excellence in Higher Education Law and Policy, Stetson University College of Law

The Obama administration will be remembered for kickstarting an unprecedented era of legal compliance for higher education. The recent election cycle may, or may not, have changed everything. How will “Compliance University” transform under the new administration? Much may be left to the realm of informed speculation, but some features of the new landscape are becoming more detectable. Expect new areas of risk management and regulation to become focal: issues of free speech and academic freedom, immigration reform, student lending, etc. Anticipate operational and theoretical challenges that will range from mandatory reporting requirements for responsible employees under Title IX, to epistemological debates over metrics for “truth”—particularly “regulatory truth.” In this presentation, Professor Lake will offer a view of the current and future state of “Compliance University,” weaving tactical guidance with strategic visioning.

Breakout Sessions I

A. Information Security Case Study: What Happens When Things Go Wrong?


Christian Hamer, Chief Information Security Officer, Harvard University Information Technology
Don Oppenheimer, Associate Dean and Chief Information Officer, Harvard Kennedy School
Steve Duncan, Director of Information Technology, Harvard Kennedy School

Information security continues to be in the news and high on Harvard's risk heat map. Christian Hamer and Don Oppenheimer will present how the Harvard is organized to detect and respond to information security incidents across the University. Christian and Don will also go through a real case study that demonstrates these processes in a coordinated response to a recent incident at the Harvard Kennedy School. Anyone interested in how information security works at the University is welcome to attend this session.

B. Risks to Sponsored Research in the Current Political Environment


Sarah T. Axelrod, Assistant Vice President, Office for Sponsored Programs, FAD
Kevin Casey, Associate Vice President for Public Affairs and Communications, HPAC
Ara Tahmassian, University Chief Research Compliance Officer, Office of the Provost

Potential changes to federal research funding present serious risks to Harvard. This session will provide background on the federal funding portfolio at the University and will focus on the potential risks to federal funding in the near term and strategies to address those risks, should they materialize. This session will be most applicable to those in the sponsored research community but all are welcome to attend.

C. The Internet of Things (IoT) and Operational Technologies (OT): Implications for the Harvard Campus


Elizabeth Copeland, Associate Director, Strategic Procurement, FAD
Eric D'Souza, Senior Project Manager, Harvard University Information Technology (HUIT)
Ben Gaucherin, Director of Information Security and Campus Services IT, HUIT
Rick Kellan, Senior Managing Auditor, Risk Management and Audit Services, FAD
Jason Munro, Director of Infrastructure and Renewal, FAS Physical Resources
Joe O'Farrell, Managing Director for Capital Projects, Campus Services

This session will cover the definitions and descriptions of the Internet of Things (IoT) and Operational Technologies (OT), and the exponential growth in use of these technologies being experienced on campus, especially in the arena of building automation and facilities management. A cross-functional panel will use the current state and likely evolution of the (Siemens) Building Management Systems on campus, as a primary example, to frame the practical opportunities, challenges and risks facing Harvard University, in this area. Questions, comments and insights from the audience are welcomed. This session will be of interest to attendees in the following functional areas: Facilities Planning and Management, Construction projects, capital planning and projects, IT, Information Security, risk management, sustainability, facilities data analytics, and anyone who interacts with operational technologies and/or Siemens.

Breakout Sessions II

A. Seizing Opportunity & Reducing Risk: A New Business Model to Better Manage Harvard’s Contingent Workforce

Presentation not available

Mary Ann O'Brien, Director of Planning and Program Management, Harvard Human Resources

Harvard spends an estimated $100 million annually on contingent labor -- temps and contractors from agencies and consulting firms, as well as self-employed independent contractors, all part of the growing “gig” economy. Leaders and managers at Harvard increasingly use contingent workers to minimize FTE growth and source needed talent quickly and flexibly – but this approach is not without its challenges and risks. In this session, we’ll discuss a new business model Harvard is implementing to mitigate the risks, reduce the cost, and reduce administrative burden in this complex area. This session will be most relevant to leaders and managers who want to understand more about the issues, risks and opportunities represented by the increasingly “blended” workforce of directly-employed and contingent workers, and how a new business model can help.

B. Should I Stay or Should I Go? Harvard's Response to Changes in US Immigration and Travel Policy


Jason Corral, Attorney, Harvard Law School Immigration and Refugee Clinic
Maureen Martin, Director of Immigration Services, Campus Services
Joe O'Regan, Director of Global Support Services, Campus Services
Todd Washburn, Senior Associate Provost for International Affairs, Office of the Provost

Current and prospective members of the Harvard community may be uncertain about their ability to travel, teach, and conduct research outside the United States as a result of President Trump’s executive orders on immigration and related changes to immigration policy and practice. These changes have serious implications for the University’s teaching and research activities, which are increasingly global in nature. This session addresses the steps University administrators have taken to address 1) the orders banning travel to the US by citizens of certain countries, 2) proposed changes to visa processing procedures, 3) the perception of increased scrutiny of travelers by immigration officers at ports of entry, and 4) a variety of other restrictions on travelers attempting to enter the US. This session will be most relevant to individuals who work with international students or faculty, who travel internationally, or who support students or faculty who teach, conduct research, or travel abroad for academic purposes.

C. Panel Discussion: Risk Strategies for Managing High Profile Events at Harvard

Presentation not available

Moderator: Jackie O'Neill, University Marshal
Brian Conroy, Director of Security Operations, Harvard Kennedy School
Amy Divirgilio, Police Lieutenant, Harvard University Police Department
Jason Luke, Associate Director of Custodial and Support Services, Campus Services
Jill Mazmanian, Senior Director of Alumni Affairs and Development Events, AA&D
Caitlyn Prandato, Assistant Director for Athletics, Faculty of Arts and Sciences

Commencement, athletic competitions, alumni reunions, donor events and those featuring high profile speakers are some of the many activities Harvard conducts throughout the year. Each of these present potential risks to the reputation of the University as well as attendees, planners and staff. Issues such as protocol, free speech, public safety, regulatory compliance, financial stewardship and operational execution are just some of the areas where such risks must be carefully considered and planned for in order to ensure success. In this panel discussion, key leaders responsible for these large, complex, signature events will share their experiences, insights and recommendations for effective management.

Breakout Sessions III

A. Harvard’s Finances in Context: Perceptions, Realities and Future Outlook


Tom Hollister, Vice President for Finance and Chief Financial Officer, Financial Administration
Jonathan Paul, Assistant Vice President for Finance, Financial Administration

While Harvard continues to have one of the strongest financial positions in higher education, revenue constraints have created a sense of austerity and malaise in some areas. It is important for our University’s leaders to understand and be able to communicate why those constraints are felt and to separate perceptions from financial realities, particularly as it relates to endowment performance, research funding, tuition, and financial aid. This session is intended to explain Harvard’s financials in context, identify genuine risks to our financial health and sustainability, and suggest ways in which we might confront those risks together. This session will be most relevant to institutional leaders responsible for resource allocation and decision-making; finance teams; School/Unit risk managers; and internal and externally-facing communications teams.

B. International Research: Risks and Rewards


Matthew Alper, Senior Associate Dean for Research Policy and Administration, Harvard Kennedy School
Jennifer Ponting, Director, Pre-Award Services, Office for Sponsored Programs
Amanda Spickard, Assistant Dean of Research Strategy and Development, Harvard T.H. Chan School of Public Health
Ara Tahmassian, Chief Research Compliance Officer, Office of the Vice Provost for Research

International research collaborations are a key feature of Harvard University’s international presence with programs spanning across all continents. In addition to U.S. funded research, Harvard faculty have successfully obtained funding from various international sponsors for their projects and activities. This growth in research has provided opportunities for significant contributions to global issues such as public health, medical care, and public policy. At the same time, international research projects pose potential risks and management challenges. This session will provide an overview of the international research projects at Harvard University, discuss specific risks associated with international research, and present examples and case studies to foster discussion. This presentation will be most relevant to researchers and departmental administrators engaged in conduct or managing of research in an international setting; but all are welcome to attend.

C. Disabilities and Information Technology: Ensuring Accessible Tools, Platform and Content for All


Brad Abruzzi, University Attorney, Office of the General Counsel
Vittorio Bucchieri, Senior User Experience Lead, Harvard University Information Technology
Heather Quay, University Attorney, Office of the General Counsel
Kyle Shachmut, HarvardX Project Manager for Accessibility

Information technology presents an opportunity for disabled Harvard faculty, staff, and students to participate more fully in University life than ever before. In order to take best advantage of this opportunity, members of the University community need to be mindful of the barriers persons with disabilities commonly encounter in accessing and using digital content and technology, as well as the resources available to improve their accessibility. This session will (1) demonstrate how persons with disabilities experience IT and digital content, (2) provide a framework for thinking about accessibility, and (3) advise Harvard personnel of best practices, how-to guidance, and testing resources within the University.

Closing Keynote Address

The Art of Leading in a Diverse World


Patricia Bellinger, Adjunct Lecturer at the Harvard Kennedy School and Research Fellow at the Center for Public Leadership

To close the Symposium, Kennedy School faculty member, Patricia Bellinger, will explore the personal, interpersonal and organizational dimensions of being an effective leader in an increasingly diverse and interconnected world. Patricia will discuss the implications of leadership behavior on organizational culture, mission and values, risk management and, ultimately, operational outcomes. Patricia will also cover the concept of unconscious bias as an important factor in social interactions. Given the reality of unconscious bias in all of us, what can we do to move beyond bias to work against inequity and affirm and leverage difference in ourselves and others? Patricia will share insights into practices and programs that can help build and leverage diverse teams and foster inclusive cultures both within and beyond Harvard.


See also: Risk Management