Program

Mission

To support the University’s fundamental commitment to the highest standards of ethics, education, integrity, lawful conduct, and responsible citizenship by complying with all laws, regulations, and internal policies.

University Compliance Program


Office of
University Compliance

Executive
Compliance Committee

University
Compliance Committee

University
Compliance Network
Compliance Hotline 866-627-3768

Columbia is committed to operating with integrity in full compliance with all applicable laws, regulations, and policies.  Throughout the University, there are many talented people and substantial resources dedicated to achieving this end.  The Office of University Compliance, within the Office of the General Counsel, coordinates Columbia’s numerous existing compliance efforts and provides senior leadership with a comprehensive view of the University’s compliance activities. The University Compliance Program consists of an Executive Compliance Committee, a University Compliance Committee, and a University Compliance Network with representatives from across the University.

Office of University Compliance

The Office of University Compliance coordinates compliance efforts and assesses University-wide performance. The Office of University Compliance is led by the University Compliance Officer, Jeff Kestler. If you need additional information, please contact him at jk@gc.columbia.edu.

Executive Compliance Committee (ECC)

This committee is comprised of Senior Administrators representing the key functions within the University.  Robert Kasdin, Senior Executive Vice President, serves as the Chairman of the Executive Compliance Committee. 

Click here
for a list of current
ECC Members
 Role:
  • Provide senior executive level guidance to the University Compliance Program
  • Direct policy and set the “Tone at the Top”
    • Reinforce compliance as a key University value
    • Promote the visibility of compliance issues across the University
  • Review and assess information on compliance developments and best practices
  • Monitor ongoing progress in key ERM and compliance areas
  • Allocate appropriate resources for priority compliance areas

University Compliance Committee (UCC)

This committee is composed of key representatives from various organizations and functional areas within the University.  It is responsible for overseeing the implementation of the Compliance Program throughout the University.

Click here
for a list of current
UCC Members

Role:

  • Provide updates on compliance developments and trends
  • Monitor ongoing progress in key compliance areas
  • Identify gaps and create risk mitigation plans
  • Share best practices and participate in benchmarking activities
  • Report to senior administration on compliance programs

University Compliance Network (UCN)

This network will be comprised of subject-matter experts from the major substantive compliance areas.  It is responsible for keeping the appropriate University constituencies informed of compliance issues and for updating the network on recent developments in their fields.

Click here
for a list of current UCN Members

Role:

  • Serve as the Subject Matter Experts on key compliance areas
  • Post name and contact information posted within the “Compliance Contacts” section of the University Compliance website
  • Inform University Compliance Committee constituencies of compliance issues or significant developments and trends, and the status of compliance projects
  • Help identify any gaps in compliance coverage
  • Reinforce the concept of the University as a "Compliance Community"

 

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