Compliance Matrix
Compliance is everyone’s responsibility, but sometimes you may have questions or need help. The Compliance Matrix is your go-to guide for connecting with the right people and departments at Wake Forest to help with any compliance questions you might have. While the list of partners, issues, and laws serves as a helpful starting point, it isn’t exhaustive. The senior officers and departments listed for each section are responsible for oversight in those areas, and these partners are there to assist you. Of course, if you have questions, you can always email and we’ll help connect you to the right resources.
| Functional | Primary Responsible Office/Contact | Key Laws/Regulations |
|---|---|---|
| WFU Ethics and Compliance Program | Ken Liddle, Chief Compliance and Privacy Officer | DOJ Evaluation of Corporate Compliance Programs; US Federal Sentencing Guidelines §8B2.1, Hotline, Code of Conduct |
| Academic Regulation | Anne Hardcastle, Assoc Provost Academic Affairs | SACSCOC; Higher Education Act (as amended); FERPA; North Carolina General Statute 116-15; IPEDS |
| Access and Accommodations | Mary Lucal, Vice President and Chief Human Resources Officer (Employees) Aishah Casseus, Executive Director of Office of Institutional Equity and Title IX Coordinator (Students) Michael Shuman, Executive Director, Center for Learning Access & Accessibility | Americans with Disabilities Act (ADA); Section 504 of the Rehabilitation Act |
| Advancement/ Donor Gifts | Mark Petersen, Senior Vice President Advancement | State charitable solicitation and registration laws; Internal Revenue Code (IRC); Higher Education Opportunity Act (HEOA); Philanthropy Protection Act; SACSCOC 5.2c |
| Anti-bribery/ Anti-corruption | Ken Liddle, Chief Compliance and Privacy Officer | US Foreign Corrupt Practices Act (FCPA); UK Bribery Act; and related statutes |
| Athletics | Daren Koudele, Sr. Associate AD/Compliance and Admin Aishah Casseus, Executive Director, OIE & Title IX Coordinator | National Collegiate Athletic Association (NCAA) rules; Equity in Athletics Data Analysis (EADA); Atlantic Coast Conference(ACC) rules; College Sports Commission (CSC) rules; Title IX gender equity; SACSCOC 5.2b |
| Campus Safety Reporting | Regina Lawson, Assistant Vice President and Chief of Police Sonja Blea, Director of Clery Compliance | Clery Act; Campus Sex Crimes Prevention Act (CSCPA);; Campus Sexual Assault Bill of Rights; Emergency Planning and Community Right-To-Know Act (EPCRA); HEOA; NC Campus Police Act; SACSCOC 13.8 |
| Cardholder and Sensitive Authentication Data | Nathan Anderson, Executive Director, Finance Systems and Analysis Steve Bertino, Chief Information Security Officer | Payment Card Industry Data Security Standard (PCIDSS) |
| Climate/Global Warming | DeDee DeLongpre Johnston, VP for Institutional Sustainability and Chief Sustainability Officer | American College & University Presidents’ Climate Commitment (ACUPCC) |
| Conflicts of Interest and Commitment | Ken Liddle, Chief Compliance and Privacy Officer | NIH FCOI; NSF; federal grant obligations; SACSCOC 4.2d |
| Copyright Issues | Lauren Corbett, Director of Resource Services, ZSR Library | Copyright law; Copyright Term Extension Act |
| Drug and Alcohol Abuse Prevention | Warrenetta Mann, Assistant Vice President, Health & Wellbeing | Drug Free Schools and Communities Act (DFSCA); Drug and Alcohol Abuse Prevention Program (DAAPP) |
| Employment Eligibility Verification | Mary Lucal, Vice President and Chief Human Resources Officer | E-Verify; I-9 |
| Environmental Health and Safety | Steve Fisenne, Director of Environmental Health and Safety | Occupational Health and Safety Administration (OSHA); NC DOL; Comprehensive Environmental Response; Compensation; and Liability Act (CERCLA); Resource Conservation and Recovery Act (RCRA); Emergency Planning and Community Right-to-Know Act (EPCRA); Hazardous Materials Transportation Act (HMTA); Federal Insecticide Fungicide Rodenticide Act (FIFRA); Nuclear Regulatory Commission (NRC) regs; Board of Pharmacy Specialists (BPS); Higher Education Opportunity Act (HEOA); Asbestos Hazard Emergency Response Act (AHERA); Medical Waste Tracking Act; Clean Air Act (CAA), Clean Water Act (CWA) SACSCOC 13.8 |
| Equal Employment Opportunity/Anti-Discrimination | Mary Lucal, Vice President and Chief Human Resources Officer Aishah Casseus, Executive Director, OIE & Title IX Coordinator | American Disabilities Act; Titles VI/VII/IX; Uniform Services Employment and Reemployment Rights Act (USERRA); Immigration and Nationality Act (INA); Genetic Information Nondiscrimination Act (GINA); Pregnancy Discrimination Act; Equal Pay Act; Older Workers Benefits Protection Act (OWBPA); Age Discrimination Act of 1975; Equal Employment of Veterans; Office of Federal Contract Compliance Programs (OFCCP) |
| Export Control | Ken Liddle, Chief Compliance and Privacy Officer Export Control Officer and Empowered Official | International Traffic in Arms Regulation (ITAR); Bureau of Industry and Security (BIS) and Export Administration Regulations (EAR); Office of Foreign Assets Control (OFAC); Anti-boycott Restrictions; CHIPS Act; NSPM-33; Trading with the Enemy Act |
| Facilities/ Construction/ Building Codes | Chris Kiwus, Vice President for Facilities, Real Estate, and Planning | OSHA; state and local building codes; NC DOL; CERCLA; RCRA; EPCRA; HMTA; FIFRA; NRC regs; BPS; HEOA; ADA; SACSCOC 13.7 |
| Financial Aid | Eric Maguire, Vice President of Enrollment Craig Slaughter, Executive Director of Financial Aid | Title IV; Family Educational Rights Protection Act (FERPA); policies and requirements of federal Grant and Loan programs; MSSA; Student Loan Default Prevention Initiative Act of 1990; Higher Education Opportunity Act (HEOA); federal work/study requirements; Bankruptcy Abuse Prevention & Consumer Protection Act of 2005; Truth in Lending Act; Student Right to Know Act; Section 117; SACSCOC 12.6 and 13.6 |
| Financial Grant Administration (Post Award) | Erin Koewing, Assistant Vice President of Finance and Controller Katie Power, Director of Financial Reporting and Post-Award Accounting | OMB Uniform Guidance; 2 CFR Part 200; Fly America Act; Byrd Amendment; Financial Conflicts of Interest (42 CFR 50, Subpart F); CHIPS and Science Act |
| Government Relations | Jimmy Broughton, Director of Government Affairs | US Federal Campaign Act (FECA); US Lobbying Disclosure Act (LDA); Canadian Lobbying Act; other applicable state laws |
| Hazing Prevention | Marianne Magjuka, Assistant Vice President of Campus Life for Engagement | Stop Campus Hazing Act |
| Human Resources and Employment | Mary Lucal, Vice President and Chief Human Resources Officer | FLSA; FMLA; Drug-Free Workplace Act; INA; NLRA; USERRA; HEOA; Fair Credit Reporting Act (FCRA); COBRA; ERISA; Employee Polygraph Protection Act; WARN; Deferred Compensation; FICA; OFCCP |
| Immigration and Visas – Employment Based Visas | Mary Lucal, Vice President and Chief Human Resources Officer Nathanial Lynch, Director of Immigration Services and Support | Immigration and Nationality Act; Immigrant and Non-Immigrant Employment-Based Visas |
| Immigration and Visas – Scholars and Students | Nathanial Lynch, Director of Immigration Services and Support | Immigration and Nationality Act; SEVIS; Non-Immigrant F-1 Students (8 CFR 214.2(f)); J-1 Exchange Visitors (22 CFR 62) |
| Information Security and Data Governance | Mur Muchane, Vice President of Information Technology and Chief Information Officer Steve Bertino, Chief Information Security Officer | Gramm-Leach-Bliley Act (GLBA); Health Insurance Portability and Accountability Act (HIPAA); HEOA; Federal Information Securities Act (FISMA); CMMC; Controlled Unclassified Information (CUI) requirements; Data subject access requests; SACSCOC 10.6(b) |
| Insurance and Risk Management | Brandon Gilliland, Senior Vice President for Finance and Administration Julie Groves, Director of Risk Management | North Carolina G.S. 97; North Carolina G.S. 20-309 |
| Intellectual Property | Kenneth Russell, Director, Technology Innovation | Bayh-Doyle Act; Lanham Act; DMCA; VARA; HEOA; TEACH ACT; CREATE Act |
| International Study and Travel | Kline Harrison, Associate Vice President and Vice Provost | International laws relative to travel and study abroad |
| Investment Management | Brandon Gilliland, Senior Vice President for Finance and Administration Marnie Matthews, Senior Associate Vice President for Finance and Investments | Uniform Prudent Management of Institutional Funds Act (UPMIFA); Sarbanes-Oxley; SEC regulations; SACSCOC 4.1(b) and 13.1-6 |
| Privacy – Legal Compliance | Ken Liddle, Chief Compliance and Privacy Officer Dina Marty, Deputy General Counsel | Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley Act (GLBA); Health Insurance Portability and Accountability Act (HIPAA); US State privacy laws; EU & UK General Data Protection Regulation (GDPR) and other global privacy laws; SACSCOC 10.6(b) |
| Procurement | Kim Crewey, Associate Vice President of Financial Operations | FAR/DFARS; Anti-Kickback Act of 1988; Federal and state E-signature laws; 2 CFR Part 200 |
| Records Management | Department Specific | ISO 15489; Higher Education Opportunity Act (HEOA); Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley (GLBA); Health Insurance Portability and Accountability Act (HIPAA) |
| Research – Animal Research | Kim McAllister, Vice Provost of Research, Scholarly Inquiry, and Creative Activity Lisa Colvin, IACUC Coordinator | USDA Animal Welfare Act and regs; Guide for the Care and Use of Laboratory Animals; PHS Policy on Humane care/use of laboratory animals |
| Research – Human Subjects | Kim McAllister, Vice Provost of Research, Scholarly Inquiry, and Creative Activity Jeanie Baird, Associate Director for Human Research Protection and Human Protections Administrator John V. Petrocelli, Chair of the IRB | Common Rule; Belmont Report; IRB |
| Research Compliance and Non-Financial Grant Administration (Pre and Post Award) | Kim McAllister, Vice Provost of Research, Scholarly Inquiry, and Creative Activity Lori Gabriel, Assistant Vice President of Research Administration | Public Health Service (PHS); National Science Foundation (NSF); National Endowment for the Humanities (NEH); OMB Uniform Guidance; Federal Acquisition Regulations (FAR); Responsible Conduct of Research; SACSCOC 13.5 |
| Research Misconduct | Kim McAllister, Vice Provost of Research, Scholarly Inquiry, and Creative Activity Amy Comer, Associate Director of Research and Sponsored Programs | Common Rule; NSFA; Public Health Service Act; National Cooperative Research Act; IRB; FDA Amendments Act; Office of Research Integrity |
| Research Security | Ken Liddle, Chief Compliance and Privacy Officer, Research Security Officer | NSPM-33, CHIPS Act, NDAA Section 889 |
| Tax and Tax-Exempt Issues | Marnie Matthews, Senior Associate Vice President for Finance and Investments Allison Franklin, Tax Director | IRC; SEC regs; state and local tax laws; Fair Credit Reporting Act (FCRA); Federal Unemployment Tax Act (FUTA); Fringe Benefits; 501(c)3 requirements; Form 990 |
| Title IX and Sexual and Gender-Based Harassment | Mary Lucal, Vice President and Chief Human Resources Officer Aishah Casseus, Title IX Coordinator | Title IX; Campus (Sexual Violence Elimination) SaVE Act; VAWA |