Compliance Matrix

Welcome to the Compliance Matrix section of the OAC website! We are happy you are interested to learn more about an important aspect of Princeton University’s Institutional Compliance Program.  Here, you will find the Strategic Compliance Matrix, the Operational Compliance Matrices, FAQs related to each and Tips for how to search and use both types of matrices.
 
The compliance matrices are tools of the Institutional Compliance Program that help instill a sense of shared accountability for compliance and promote an institutional culture of honesty and integrity.  The compliance matrices are a resource for faculty and staff to assist in making the University’s obligations more understandable. The intended audience includes individuals who are new to Princeton, grants managers, faculty and senior leadership.  Basically, this information is for anyone within the University who desires to learn more about our key compliance obligations.
 
The compliance matrices are tools that give an overview - not an all-inclusive listing - of those key obligations.  With our campus partners, the Office of Audit and Compliance (OAC) created these tools by collecting data and verifying roles and responsibilities in order to populate and validate the matrices’ content.  The matrices were reviewed by the University's Executive Compliance Committee (ECC).
 
There are two types of matrices:
  1. Strategic Compliance Matrix – Provides a “big-picture” overview of University-wide, inherently high-risk categories of key compliance obligations, which is of particular use to senior management and the Audit and Compliance Committee of the Board of Trustees; and,
  2. Operational Compliance Matrices – Identify key compliance obligations for specific focus areas or departments.  They are intended for a broader constituency, which includes:
    • Senior administrators,
    • Individuals, including faculty and academic managers, who have compliance-related questions. 
The OAC acts as a central repository for the entire University community for all compliance matrices.  Please contact the OAC with any necessary changes to the matrices, including changes to personnel and laws, regulations or policies.  The OAC will request annual updates at a minimum from Compliance Leads.  Where significant changes occur, the Compliance Leads should proactively notify the OAC of revisions.
 
For any questions, please contact the OAC at 609-258-8865 and ask to speak with Hope Caldwell, Associate Director - Compliance, or Ethan Zlotchew, Senior Compliance Analyst.
 
 
DISCLAIMER:  This website is for University business only.  Those who access this website agree not to share any information contained herein with anyone outside the institution without the prior written permission of the Office of Audit and Compliance.  The matrices are meant to provide general guidance only and are not legal advice, nor are they exhaustive/comprehensive lists of all compliance obligations, roles, or responsibilities.