Stanford’s compliance and ethics program includes 27 specific compliance risk areas.  These compliance risks 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.

Printable Compliance Risk Matrix

 

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,
Stephanie Kalfayan

Vice Provost for Student Affairs,
Greg Boardman

Diversity and Access Office,
Rosa Gonzalez

Office of Accessible Education,
Joan Bisagno

Department and School Administrators

Diversity and Access Office Staff

Disability Resource Center Staff

Campus Crime Statistics

VP and General Counsel,
Debra Zumwalt

Department of Public Safety,
Laura Wilson

Department of Public Safety Staff

Conflicts of Interest:
Faculty
Staff

Vice Provost and Dean of Research,
Ann Arvin

VP Human Resources,
David Jones

Office of the Dean of Research,
Ann Arvin

Human Resources,

School Deans/Faculty

Departmental and School Administrators

Central HR

Culture of Compliance and Ethics

VP for Business Affairs & CFO,
Randy Livingston

VP and General Counsel,
Debra Zumwalt

Associate VP of Audit, Compliance and  Privacy, Rick Moyer

Director of Compliance

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 Financial Management Services, Susan Calandra

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
Subjects

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, Mahshid Parsi

Human Resources

VP Human Resources, David Jones Human Resources,

Departmental and Shcool Administrators

Central HR

Immigration

VP for Business Affairs & CFO, Randy Livingston

VP Human Resources, David Jones

Vice Provost for Student Affairs, Greg Boardman

Financial Management Services, Susan Calandra

Human Resources

Bechtel International Center, John Pearson

Controller's Office, Sue Schmitt
Payroll, Kelly Wright

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,
Patrick Dunkley

Coaches

DAPER Compliance Services Office, Megan Boone

Privacy:
Student Records
Other SU Records

VP for Business Affairs & CFO, Randy Livingston

Vice Provost for Student Affairs, Greg Boardman

Associate VP of Audit, Compliance and  Privacy, Rick Moyer

Registrar, Thomas Black

Director of Privacy, David Behinfar

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, Ann George

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), John Powers

SMC Chief Financial Officer, Odile Disch-Bhadkamkar

SMC Staff

Sexual Harassment

Vice Provost and Dean of Research, Ann Arvin Sexual Harassment Policy Office, Laraine Zappert

Department and School Administrators

Central HR

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
and Intellectual Property

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, 18 Mar, 2014 at 15:02