The Duke University Ethics & Compliance Program (DECO) is now called Office of Audit, Risk & Compliance (OARC). Watch for a new website in the coming year!
The Duke University Compliance Program provides expertise, consultation and assessment in matters of compliance and facilitates implementation of a "compliant culture" appropriate to a top-ten university with an academic medical center. The Duke University Compliance Program provides the vision for institutional compliance and ensures that the program meets the elements of the Federal Sentencing Guidelines related to effective compliance programs. The Duke University Compliance program has oversight responsibilities for compliance activities across Duke. The Program is under the leadership of Tina R. Tyson, J.D., the Chief Ethics and Compliance Officer for Duke University. [bio]
Key attributes of the Duke University Compliance program:
- Governance of the program is through the Audit, Risk and Compliance Committee of the Duke University Board of Trustees and the Risk and Compliance Steering Committee (RCSC). The RCSC is comprised of the President (as Chair), the Chancellor of the Health System, the Provost, the Executive Vice President, the Dean of the School of Medicine, the General Counsel, a Dean appointed by the President (currently the Dean of the Engineering School), and the Executive Director of Internal Audits.
- Compliance risks are owned by a member of Senior Leadership (President, Chancellor, Executive Vice President and Provost) who are ultimately responsible for compliance risk decision making. There are over 80 operational managers at Duke who are operational owners of compliance risks. These individuals are "compliance liaisons" who have a dotted line reporting relationship to the Duke University Compliance Program.
- The Duke University Compliance Program is responsible for compliance management and oversight throughout the university. It ensures that each of the compliance liaisons are monitoring compliance risks appropriately and that monitoring efforts are effectively and efficiently mitigating compliance risks in a manner commensurate with institutional risk tolerance.
- The Duke University Compliance Program manages the compliance risk assessment process at Duke University through which top institutional risks are identified. Consistent with its mission, the Duke University Compliance Program conducts centralized compliance monitoring of high risk areas identified in the institutional compliance risk assessment as part of its work plan approved by the Audit, Risk and Compliance Committee of the Duke University Board of Trustees. These monitoring efforts include human subject research compliance, clinical trials billing compliance, HIPAA/HITECH Privacy compliance, and other risk areas.
- The Duke University Compliance Program also engages in collaborations with key risk owners across Duke University on new initiatives to ensure compliance aspects are addressed effectively and provides advice and counsel to Senior Leadership on compliance and regulatory issues.
- The Duke University Compliance Program evaluates and responds to instances of noted noncompliance, which can be received through direct contact, through management, or through anonymous reporting via hotline.
- Auditing of compliance risks is conducted through the Office of Audit, Risk & Compliance, Internal Audits Division.
Tina R. Tyson, JD, Chief Ethics and Compliance Officer
Duke University Compliance & Fraud Hotline: (800) 849-9793
Duke Medicine Integrity Line: (800) 826-8109
HIPAA Privacy Line: (800) 688-1867
Animal Welfare Hotline: (919) 684-3535