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”).
Duke University and Institutional Compliance Programs
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.
OARC guides and enables continuous improvement of the compliance culture and related compliance activities, including compliance maturity and the speak-up program. We collaborate with compliance programs across the university, to enable continuous improvement, increase compliance culture awareness, produce risk-based assurance, perform central coordination and oversight for fulfilling the federal standards for an effective compliance program.
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.
Our Compliance Services team focuses on the areas of: compliance liaison program, conflict of interest administration, incident/case management, and policy administration.
Duke is committed to transparent and ethical safeguarding of sensitive and/or regulated information, promoting responsible stewardship of information assets institution-wide.