Audit

Audit provides independent, objective assurance and advisory services designed to add value and improve the operations of Duke University, Duke University Health System, DUMAC, and the support corporations, agencies and affiliates of these entities (collectively “Duke”).

Institutional Compliance Programs and Services

We each have an obligation to be aware of and promote compliance with laws, regulations, rules, policies and expectations within our areas of responsibility. The institutional compliance program guides us in these responsibilities through a set of policies and procedures, combined with culture, management ownership, operational expertise, monitoring and objective assurance.

Duke relies on a federated compliance structure with institutional oversight. 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.

Sponsored Programs Assurance and Research Compliance

The annual SPARC compliance plan is developed through discussions with area leaders, attending various research-focused committee meetings, and staying abreast of new or revised external regulations and trends affecting research. SPARC engagements span campus, School of Medicine and School of Nursing.

Privacy

Duke is committed to transparent and ethical safeguarding of sensitive and/or regulated information, promoting responsible stewardship of information assets institution-wide.

Conflict of Interest/Outside Interest

Institutional policies require disclosure of outside activities that potentially overlap with Duke interests or those requiring disclosure under certain federal laws and regulations. Faculty and staff with research funding, covered officials, and certain employees (based on job responsibilities, employment units and/or positions within Duke) are all required to complete disclosure forms. In addition, other employees with outside activities should review the policies for disclosure requirements and inform their supervisors.