Compliance Services includes the following areas:
- Compliance Liaison Program: identifying compliance risk owners across Duke University; gathering information from the group at least annually regarding their monitoring activities, any noncompliance, applicable external regulations, and internal policies, procedures and training in place to manage identified risks
- Conflict of Interest Administration: conflict of interest assessment and monitoring for employees with key administrative responsibilities and for offices with significant access or influence
- Incident/Case Management: case management coordination and incident investigation, helpline administration; triage as appropriate to other areas at Duke based upon incident type
- Policy Administration: Duke University policy library maintenance, update and review coordination with content owners and policy stewardship for the Duke community
- Privacy Assurance and Investigations: assurance through departmental and area reviews for identified risk areas or gaps; investigations for Duke University privacy incidents
Annually, Compliance Services provides an institutional compliance risk assessment to the Audit and Compliance Committee of the Board of Trustees. The activities listed above and regular interactions with area management across Duke inform this assessment.