How To

Address a concern about non-compliance.

As members of the Stanford University community, faculty, staff, students, members of the Board of Trustees, University Officers and affiliates are responsible for sustaining the highest ethical standards of this institution, and of the broader community in which we function. The University values integrity, honesty and fairness and strives to integrate these values into its teaching, research and business practices.

If you have concerns of any kind stemming from possible noncompliance with government or external agency regulations, University policies, errors or irregularities in Stanford's financial accounting practices or policies report them. Raising such concerns is a service to the University and will not jeopardize your employment.

Make your concern known by reporting or seeking guidance. Contact managers beginning with your immediate supervisor, instructor or advisor. If for any reason it is not appropriate to report suspected violations to the immediate supervisor (e.g., the suspected violation is by the supervisor) you can go to a higher level of management within your school or department. If you are not comfortable with that you can report your concern internally to the Institutional Compliance Helpline or (650) 721-COMP or 721-2667] or to the Office of the General Counsel at (650) 723-9611.

The Compliance Helpline is confidential, anonymous (if desired), and resolution will be made by knowledgeable individuals. The program is managed by the Director of Internal Audit and Institutional Compliance, and deals with all aspects of the University's regulatory compliance. It includes but is not limited to environmental health and safety, sexual harassment, financial transactions, and NCAA rules.

Such reports may be made confidentially, and even anonymously, although the more information given, the easier it is to investigate the reports. Raising such concerns is a service to the University and does not in itself jeopardize employment.

Do you have a concern about non-compliance?

If any of these statements applies to you, the answer is yes:

  • "A situation in the office makes me uneasy."

  • "This transaction appears to be out of compliance with federal regulations."

  • "This transaction appears to be out of compliance with tax regulations."

  • "I've tried to tell the appropriate people, but nothing seems to be corrected."

  • "I'm afraid to speak up."

  • "I don't know who to ask!"

Authority

Internal Audit and Institutional Compliance

http://www.stanford.edu/dept/Internal-Audit/

Associate Vice President for Internal Audit and Institutional Compliance

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