Compliance, Ethics and ERM Program Overview

Compliance, Ethics and ERM Program Overview

Who is responsible for ensuring compliance at Stanford?

Compliance, Ethics and ERM Program

The role of the Compliance, Ethics and ERM Program is to:

• ­Coordinate the University’s compliance and ethics activities, including chairing the Compliance, Ethics and ERM Steering Committee and coordinating the activities of the Compliance Officers’ Network
• ­Assess the adequacy of compliance activities, evaluate overall program effectiveness and recommend and implement modifications to the program as necessary
• ­Administer a Compliance Helpline and oversee and coordinate investigations of potential misconduct
• ­Provide compliance advisory services to faculty and staff
• ­Assist in the development of compliance and ethics related policies or practices
• ­Assist in the development and delivery of compliance and ethics related training
• ­Evaluate emerging compliance trends in higher education and government and implement best practices
• ­Report results of compliance and ethics program activities to senior management and the Audit, Compliance and Risk Committee of the Board. 

Compliance, Ethics and ERM Steering Committee 

The mission of the Compliance, Ethics and ERM Steering Committee is to support and assist in raising awareness of compliance and ethics and help in the assessment and management of enterprise risk within the Stanford Community. It is committed to ensuring that all functions are carried out in accordance with laws, regulations and policies.

Back Row (left to right): Megan Pierson, Ken Schulz, Scott Calvert, Greg Boardman, Ewart Thomas, Patrick Dunkley, Lawrence Gibbs, Megan Davis

Front Row: Jason Garcia (staff), Marcia Cohen, Phil Lavori, Susan Calandra, Rick Moyer,
Sonal Shah (chair), Gayle Saxton, Laura Wilson, Sara Bible, Sonya Pais (staff)

Not Pictured: Michael Duff, Lisa Lapin
For a complete list of Compliance, Ethics and ERM Steering Committee Members, Click here

Stanford's Compliance Initiative Background

Information on the Stanford University Hospitals' Compliance Program is available on the web.