Duke Alert Bar

Compliance

David Falcone
David J. Falcone
Director of Privacy, Ethics and Compliance
University Compliance Officer

Duke University Compliance Program

University Compliance Mission Statement: University Compliance promotes the achievement of Duke’s strategic, financial and operational goals while adhering to Duke’s values and standards. Our team provides risk-based decision guidance and pragmatic solutions to navigate complex compliance and regulatory issues.

Duke’s compliance program is operationally efficient, produces assurance from which quality risk-based decisions are made and assists our stakeholders in achieving Duke’s institutional compliance objectives. Our department can help you navigate increasingly complex risk and regulatory environments, while still enabling productive work. Our team builds trust through being knowledgeable and sympathetic to individual and departmental objectives while remaining pragmatic and solutions-oriented.

Institutional Compliance Program

Duke University maintains a decentralized organization structure for compliance across the institution. The president designates the executive vice president (EVP) as the compliance risk owner and the chief audit, risk and compliance officer as the compliance assurance owner. The EVP delegates particular institutional responsibilities to area-specific compliance officers and they are directly responsible to the respective operational area senior leaders.

The Office of Audit, Risk and Compliance’s (OARC’s) responsibility is to promote institutional compliance program effectiveness and compliance risk management. We accomplish this through collaborating with compliance programs across the university, producing risk-based assurance and offering central services to promote better compliance while alleviating administrative burden. Please review our Sponsored Programs Assurance and Research Compliance (SPARC) and Compliance Services pages to learn more about what we offer.

Speak Up

We speak up when words, behaviors or actions are not consistent with our values.

If you witness or are asked to participate in actions that are not consistent with our values, tell someone. Ask your supervisor or department head for advice. If that is not possible, contact 800.849.9793 to discuss your question or report your concern. The toll-free number is a confidential and anonymous, if you choose, service provided 24 hours per day, 365 days per year.

It takes courage to come forward. Retaliation for reporting concerns in good faith is strictly prohibited.

Duke commits to conducting a fair and expeditious inquiry and to use any information to correct errors, make improvements and ensure accountability. Should illegal activity be suspected or confirmed, the university has a duty to report those facts to the appropriate authorities.