Compliance Matrix
Stanford’s compliance and ethics program includes 27 specific compliance areas. These compliance areas are independently managed by subject matter experts who are responsible for developing and maintaining internal compliance programs.
The role of Stanford’s central compliance and ethics organization includes exercising general oversight over these individual compliance programs, assessing their effectiveness and providing feedback to senior management and the Board of Trustees regarding the effectiveness of Stanford’s compliance activities.
| Compliance Area | Cognizant Cabinet Member(s) | Functionally Responsible Office / Person | Primary Locus of Responsibility |
|---|---|---|---|
|
Americans with Disabilities Act (ADA) EEOC Affirmative Action |
Vice Provost for Academic Affairs, Vice Provost for Student Affairs, |
Diversity and Access Office, Office of Accessible Education, |
Department and School Administrators Diversity and Access Office Staff Disability Resource Center Staff |
|
Campus Crime Statistics |
VP and General Counsel, |
Department of Public Safety, |
Department of Public Safety Staff |
|
Conflicts of Interest: |
Vice Provost and Dean of Research, VP Human Resources, |
Office of the Dean of Research, Human Resources |
School Deans/Faculty Departmental and School Administrators Central HR |
|
Culture of Compliance and Ethics |
VP for Business Affairs & CFO, VP and General Counsel, |
Senior Associate Vice President and Chief Risk Officer, Rick Moyer |
Chief Ethics and Compliance Officer |
|
Donor Gift Restrictions |
VP Office of Development, Martin Shell VP for Business Affairs & CFO, Randy Livingston |
Office of Development, Howie Pearson Financial Management Services, Susan Calandra |
Schools / Departments / Staff |
|
Environmental Health & Safety |
Vice Provost and Dean of Research, Ann Arvin | Environmental Health & Safety Office, Larry Gibbs |
Principal Investigators Managers and Supervisors |
|
Export Control |
Vice Provost and Dean of Research, Ann Arvin |
Office of the Dean of Research, Steve Eisner |
Principal Investigators Department and School Administrators |
|
Financial Aid |
Dean of Admissions and Financial Aid, Richard Shaw |
Financial Aid Office, Karen Cooper |
Financial Aid Office Staff |
|
Global Operations |
VP for Business Affairs & CFO, Randy Livingston Vice Provost and Dean of Research, Ann Arvin |
Financial Management Services, Susan Calandra Vice Provost and Dean of Research, Ann Arvin |
Global Business Services, Karen Kearney Office of International Affairs, Brenden Walsh |
|
Hospitals (including Medicare) |
Lucile Packard Children's Hospital, Chris Dawes Stanford Hospital & Clinics, Amir Dan Rubin School of Medicine, Lloyd Minor |
Hospital Compliance Officer, Diane Meyer |
Medical Faculty |
|
Human / Animal |
Vice Provost and Dean of Research, Ann Arvin |
Research Compliance, Kathy McClelland Administrative Panels for Animals Research, Sherril Green |
Principal Investigators Continuous Quality Improvement Staff |
|
Human Resources |
VP Human Resources, Elizabeth Zacharias |
Assocaite Vice President, Employee & Labor Relations, Alex Gurza |
Departmental and Shcool Administrators Central HR |
|
Immigration |
VP for Business Affairs & CFO, Randy Livingston VP Human Resources, Elizabeth Zacharias Vice Provost for Student Affairs, Greg Boardman |
Financial Management Services, Susan Calandra Human Resources Bechtel International Center, John Pearson |
Controller's Office, Sue Schmitt Departmental and Central HR Staff Bechtel International Center Staff |
|
Land Use: Stanford Lands Investment Property |
Vice President for Land, Building & Real Estate, Robert Reidy | University Architect & Planning Office, Megan Davis |
Planning Office Staff |
|
NCAA |
Athletics Director, Bernard Muir |
Deputy Athletic Director, |
Coaches DAPER Compliance Services Office |
|
Privacy: |
VP for Business Affairs & CFO, Randy Livingston Vice Provost for Student Affairs, Greg Boardman |
Senior Associate Vice President and Chief Risk Officer, Rick Moyer Registrar, Thomas Black |
Cheif Privacy Officer, Wendi Wright Registrar's Staff |
|
Procurement |
VP for Business Affairs & CFO, Randy Livingston | Financial Management Services, Susan Calandra |
Procurement Office, Ben Moreno |
|
Property Management |
VP for Business Affairs & CFO, Randy Livingston | Research Financial Compliance and Services, Ken Schulz |
Principal Investigators Departmental and School Administrators Office of Research Administration Staff |
|
Research Administration |
VP for Business Affairs & CFO, Randy Livingston | Research Financial Compliance and Services, Ken Schulz |
Principal Investigators Departmental and School Administrators Office of Research Administration Staff |
|
Research Policy |
Vice Provost and Dean of Research, Ann Arvin |
Office of the Dean of Research, Sara Bible |
Principal Investigators Committee on Research Office of the Dean of Research |
|
Scientific Misconduct |
Vice Provost and Dean of Research, Ann Arvin |
Office of the Dean of Research, Kathy McClelland Office of the General Counsel, Tom Fenner |
Principal Investigators |
|
Securities Exchange |
CEO, Stanford Management Company (SMC), Robert Wallace |
SMC Chief Financial Officer |
SMC Staff |
|
Sexual Harassment Title IX |
Vice Provost and Dean of Research, Ann Arvin Vice Provost for Academic Affairs, Stephanie Kalfayan |
Sexual Harassment Policy Office, Laraine Zappert Title IX Office |
Department and School Administrators, Central HR Title IX Office, Schools, Departments, Faculty |
|
Taxes |
VP for Business Affairs & CFO, Randy Livingston | Financial Management Services, Susan Calandra |
Controller's Office Tax Group, Susan Schmitt and Chris Cannellos |
|
Technology Licensing |
Vice Provost and Dean of Research, Ann Arvin | Office of Technology Licensing, Katherine Ku |
Office of Technology Licensing Staff Faculty |
|
Workers Compensation |
VP for Business Affairs & CFO, Randy Livingston | Risk Management, Tina Dobleman |
Risk Management Staff School and Department Administrators |
Last modified Tue, 27 Jun, 2017 at 16:45
Compliance and Ethics Helpline
