Institutional Compliance Program
Overview
Institutional Compliance at Stanford is the responsibility of a number of different organizations with oversight residing under the Associate Vice President of Internal Audit and Institutional Compliance.
This website describes an initiative to develop a matrix compliance program which connects these different components, coordinates their operations and represents the University's institutional perspective. The goals of the initiative include:
- Coordinate the University's compliance assurance activities (laws, regulations, contractual requirements)
- Ensure the institutional perspective is always present
- Assess existing programs against Federal Sentencing Guidelines characteristics of "ideal" compliance program, and improve as necessary (the "Matrix" of the Plan)
- Implement "early warning" program for emerging compliance issues
- Carry out specific compliance support activities
What you will find here includes a comprehensive lists of offices and cognizant officers responsible for compliance within a given area. In addition, references to relevant policies are provided.
Information on the Stanford University Hospitals' Compliance Program is available on the web.
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Institutional Compliance Charter
Institutional Compliance at Stanford University is the responsibility of all employees and is conducted by a number of different organizations with oversight residing under the Associate Vice President for Internal Audit and Institutional Compliance. IAIC works closely with the Office of General Counsel, seeking advice and counsel on matters that involve legal issues. Institutional Compliance is organized in a matrix operational framework. This framework helps connect and coordinate the different compliance organizations ensuring that compliance is an integral part of the University’s culture. This framework also ensures that the institutional perspective is always present as we continue to fulfill our legal and ethical obligations to each other and to persons outside Stanford with whom we interact.
Compliance services include,
but are not limited to:
- Coordinating the University’s compliance activities, including chairing the Institutional Compliance Coordinating Committee.
- Serving as a resource in developing or improving compliance related processes.
- Assisting in the development of University policies or practices to help ensure compliance with Federal, State, and Local laws and regulations, and contract/grant provisions.
- Assisting in the development and delivery of compliance related training.
- Promoting compliance awareness.
- Providing compliance advisory services to management, faculty, and staff.
- Monitoring compliance and assessing the adequacy of compliance activities in compliance areas throughout the University.
- Evaluating emerging compliance trends in higher education and government and implementing best practices.
- Administering a Compliance Helpline, in conjunction with the Office of General Counsel and Human Resources, that provides the University community with a mechanism to: obtain advice regarding compliance issues; report concerns related to possible noncompliance with government or external agency regulations; and report concerns related to University policies and procedures or errors or irregularities in Stanford’s financial accounting practices or policies.
On February 8, 2010, signed by:
Chair, Board of Trustees Audit and Compliance Committee,
Stanford University President,
Stanford VP Business Affairs and Chief Financial Officer, and
Associate Vice President for
Stanford IAIC
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Helpline
A "Helpline" form is available on this website to provide reporting of non-compliance (anonymity optional) or for asking questions regarding compliance issues.
For more information, check: compliance@stanford.edu
or
(650) 721-2667
(650)
721-COMP(liance)
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