The Ethics and Compliance Program (ECP) section is responsible for:
- Coordinating with the compliance liaisons who are considered the operational owners of the laws, regulations, and policies throughout the university
- Reviewing the annual risk assessment and summarizing the institutional compliance risks for the Audit, Risk and Compliance Committee of the Board of Trustees annually
- Performing compliance program reviews in order to provide a status update to the Audit, Risk and Compliance Committee of the Board of Trustees relating to monitoring activities and significant instances of noncompliance
- Performing monitoring and evaluations to assess the design and effectiveness of the compliance programs that make up Duke’s federated structure.
- ECP reviews focus on providing assurance over the highest priority risks to the institution.
Compliance liaisons are responsible for:
- Regularly assessing risk and annually reporting the impact and probability of a potential compliance violation for their areas and summarizing monitoring plans to mitigate risks and instances of noncompliance
- Conducting appropriate monitoring activities related to their areas of responsibility
- Reporting significant findings from internal monitoring activities and/or external agency requests to the ECP 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 areas on the compliance requirements
Conflict of Interest Policies
Duke University policies require the disclosure, review, and, where necessary, management of relationships that could be considered or perceived as conflicts of interest (COI).
The Financial COI Policy applies to the entire Duke community including all faculty and staff. The Institutional COI Policy relates to Duke's potential conflicts rather than those related only to an individual. Lastly, there are specific COI policies related to members of the Duke University Board of Trustees and Duke University Health System (DUHS) Board of Directors.
ECP is involved in the conflict of interest governance process by participating in COI-related committees including SOM and Campus COI, Administrative COI, Institutional COI, and COI Advisory. ECP performs reviews of the COI process; reviews trustee COI disclosures and develops conflict management plans; advises on administrative and institutional COI issues and processes; and communicates COI matters to the Audit, Risk and Compliance Committee of the Board of Trustees.
This link is for compliance liaisons to risk assess their laws, regulations and other polices annually. Compliance liaisons can log in using their NetIDs and Duke passwords.