Compliance Program

Vanderbilt University is committed to the highest standards of ethics, honesty, and integrity in pursuit of its mission of education, research, patient care, and public service. All members of the Board of Trust, the Chancellor, General Officers, members of the Executive Administration, administrative officers, members of the faculty and staff and others representing Vanderbilt University are expected to adhere to these standards of conduct in the discharge of their duties. The Vanderbilt University Compliance Program demonstrates the University's commitment to ethical conduct and compliance by setting forth guidelines for conduct designed to prevent and detect violations of law and by encouraging compliance by providing support, training and educational resources to assist Vanderbilt in fulfilling its responsibilities through its faculty and staff. The Compliance Program is designed to assist and facilitate the University in fulfilling its compliance responsibilities by creating a process to monitor the University's compliance efforts and by documenting the University's expectations for its faculty, staff and other representatives in the performance of their responsibilities at Vanderbilt.

Resolution of the Executive Committee of the Board of Trust

Compliance Committees

Vanderbilt University has two compliance committees which have oversight responsibilities for the compliance activities of Vanderbilt and which assist the Vanderbilt community in fulfilling its legal compliance obligations. The Medical Center and Research Compliance Committee provides support for functions related to Medical Center operations and all institution-wide research activities. The Administrative Compliance Committee provides support for University Central operations and activities. The committees oversee the following areas of compliance activity:

• informing, training, and educating the Vanderbilt community about the Standards of Conduct and ethical obligations under those Standards
• monitoring compliance activities, including policies and procedures and training and education programs
• serving as a resource to Vanderbilt on matters of compliance and legal and regulatory changes, and assessing and identifying areas of risk
• maintaining a reporting helpline for compliance matters
• assisting operational units in developing corrective action plans
• recommending and reviewing disciplinary action for violations of the Standards of Conduct
• reporting on compliance activities to the Audit Committee of the Board of Trust through the Compliance Officers

Each Committee is supported and assisted in its oversight responsibilities by a Compliance Officer. Each Compliance Officer is responsible for the day-to-day operations of the Compliance Program. Their responsibilities include employee training on the Standards of Conduct, routine monitoring of compliance activities, assisting with corrective action plans, maintaining a reporting helpline, coordinating interdepartmental compliance efforts, and providing staff support for the Committees' operational activities.