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.
Institutional Compliance Programs
- Facilitate and manage compliance governance committees
- Perform functional compliance assessments for program maturity
- Maintain the working inventory of key laws and regulations and related key compliance requirements applicable to the institution
- Provide consultation to senior management regarding risks, continuous improvement initiatives and response to potential noncompliance events
INSTITUTIONAL compliance services
- Collaborate with departmental compliance liaisons on monitoring activities, applicable external regulations, and internal policies, procedures and training in place to manage identified risks
- Assess and monitor conflicts of interest for employees with key administrative responsibilities and offices with significant access or influence
- Manage and coordinate the reporting line for the institute through incident investigation, helpline administration; triaging as appropriate to other areas at Duke based upon incident type
- Coordinate with Duke policy content owners to maintain and update Duke University policies and provide policy stewardship for the Duke community
Team Members
Compliance Services Team
Summer Webbink, Associate Director of Institutional Compliance Services
Angela Ramsey, Compliance Services Operations Associate
compliance programs and Privacy Team
Alexandra Marban, Associate Director of Institutional Compliance and University Privacy
Diane Padgett, Senior Privacy Analyst
Karen Smedley, University and Compliance Auditor
For information about our Privacy team and university privacy information, please visit Privacy.
Duke University Privacy Statement
For information related to patient privacy, breach of PHI or health related privacy, please contact DUHS Compliance Office: 919-668-2573 or email: MCAdmin Compliance.
Duke University Health System Compliance (NetID required) call: 919-668-2573. This office handles healthy system, patient and HIPAA related compliance issues.
Athletics Compliance - For athletics compliance questions regarding NIL, transfer portal, or other NCAA rules, please contact duke-compliance@duke.edu or 919-613-6214.
Ways to report a compliance issue are:
- anonymous reporting through Speak Up Hotline 1-800-826-8109 / online form
- departmental manager/supervisor
- a liaison/champion for appropriate compliance area see chart.
- report resources to the Office of Institutional Equity
- email OARC/Compliance Services (these link to general mailboxes)
Codes of Conduct give descriptions of different codes of conduct for University / Students / Health System may be found on the Duke Values in Action website at the link below.