Ethics and Compliance Monitoring
The Ethics and Compliance Monitoring section is responsible for:
- Coordinating with the compliance liaisons who are considered the operational owners of the laws, regulations, and policies throughout the university.
- Maintaining the inventory of laws, regulations, and policies which are critical for the university's compliance.
- Evaluating the monitoring reports related to institutional compliance risks to ensure resources are appropriately focused and proportional for the level of identified risk.
- Performing a detailed review of documentation related to a sample of the monitoring plans annually.
- Reviewing the annual risk assessment and summarizing the institutional compliance risks for the Risk and Compliance Steering Committee (RCSC) and the Audit, Risk and Compliance Committee of the Board of Trustees annually.
- Perform departmental reviews for the highest priority risks related to sponsored research, subrecipients, and conflict of interests.
- Providing a status update to the Audit, Risk and Compliance Committee of the Board of Trustees relating to monitoring activities and significant instances of noncompliance.
Compliance liaisons are responsible for:
- Regularly assessing risk and annually reporting the impact and probability of a potential compliance violation for their area and summarizing the monitoring plans to mitigate risks and instances of noncompliance.
- Conducting appropriate monitoring activities related to their areas of responsibility.
- Certifying they followed the monitoring plan submitted and there have been no significant findings that would affect the level of assigned risk.
- Reporting significant findings from internal monitoring activities and/or external agency requests to OARC – Compliance Monitoring and senior leadership when issues arise.
- Implementing changes to address instances of noncompliance to strengthen controls and minimize future risks of noncompliance.
- Training individuals in their area on the compliance requirements.
Compliance Liaison Meetings
- Spring - April 20, 2017 at 9:00 a.m.; Perkins Library, Room 217
- Summer - August 24, 2017 at 9:00 a.m.; Bostock, Room 127
This link is for compliance liaisons to risk assess their laws, regulations and other polices annually. Compliance liaisons can log in using their NetID and Duke Password.