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.

Columbia’s Commitment to Compliance and Ethics

The University expects the highest standards of ethical conduct from the members of its community and is dedicated to upholding its reputation as one of the top academic and research institutions in the world.

Columbia expects members of the University community to inform the appropriate contacts if they have observed unethical, illegal, or suspicious activity. Those who have concerns about possible noncompliance with federal, state, or local laws and regulations or University policies are expected to report promptly. The University prohibits retaliation against individuals who report or seek guidance on possible ethical or compliance issues in good faith.

University Compliance Program

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.


This committee is comprised of Senior Administrators representing the key functions within the University.


  • Direct policy and set the “tone at the top”
  • Monitor progress in Key Compliance Areas
  • Review updates on compliance developments and best practices
  • Allocate appropriate resources for compliance areas
Executive Compliance Committee Members
  • Jane Booth, General Counsel
  • Shih Fu Chang, Senior Executive Vice Dean, School of Engineering and Applied Science
  • Troy Eggers, Vice Provost
  • Lindsay Graham, Senior VP and Chief Operating Officer of CUMC, and Chief Executive Officer of Columbia Doctors
  • David Greenberg, Executive Vice President for University Facilities and Operations
  • G. Michael Purdy, Executive Vice President for Research
  • Joanne Quan, Senior Vice President, CFO, CUMC
  • Gerald Rosberg, Senior Executive Vice President
  • Steven Shea, Senior Vice Dean , College of Physicians and Surgeons
  • Anne Sullivan, Executive Vice President for Finance
  • Jeff Kestler, University Compliance Officer, Ex Officio 

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.


  • Support the coordination of compliance activities across the University
  • Identify Key Compliance Areas
  • Review updates on compliance developments and best practices
  • Monitor ongoing progress in Key Compliance Areas


University Compliance Committee:

  • David B. Austell, Associate Provost and Director,  International Students and Scholars Office
  • Lichinia N. Beltré, Executive Director of Compliance , Student Financial Services
  • Medha R. Bhalodkar, Chief Information Security Officer,  Associate Vice President
  • Kevin Burton, Associate Athletic Director for Compliance
  • Fran Caracappa, Controller, CUMC
  • Marjory Fisher, Associate Vice President and Title IX Coordinator
  • Mark Hawkins, Vice President, Financial Operations and Compliance
  • Jeri Henry, Associate Vice President for Student Conduct and Community Standards
  • Barbara Hough, Vice President, Controller and Treasurer
  • Bill Innes, Chief Human Resources Officer – CUMC, Associate Vice Dean - Human Resources
  • Karen Jewett, Vice President, Government and Community Affairs
  • Virginia Kaplan, Assistant Vice President, HR Operations
  • Colleen Lewis. Director, Disability Services, Columbia Health
  • Brendan Mallee, Chief Financial and Strategy Officer, School of Law
  • James McShane, Vice President for Public Safety
  • Heather Parlier, Associate Provost, Office of Equal Opportunity and Affirmative Action
  • Xin Peng, Executive Director, Columbia Global Centers
  • Patti Reid, Associate Treasurer, Global Cash Management & Operation
  • Colin Redhead, Deputy Treasurer
  • Naomi Schrag, Associate Vice President, Research Compliance and Training
  • Jeffrey Sears, Associate General Counsel, Chief Patent Counsel
  • Bob Sideli, Chief Information Officer, CUMC, Associate Professor of Biomedical Informatics CUMC
  • James Wang, Vice President for Finance and Administration, Columbia University Facilities and Operations
  • Yvonne Wojcicki, Executive Director of Campus Life Safety & Regulatory Compliance
  • Diane Yaeger, Chief Billing Compliance Officer and Associate Vice President


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.


  • Serve as Subject Matter Experts on key compliance areas
  • Provide information on compliance activities for their area
  • Reinforce the concept of the University as a “Compliance Community” 

View a list of University Compliance Network members.