University Compliance Office

Research Roles and Responsibilities

Revised 03.15.07
Created 2003

Unit Role
Principles, Standards, and Guidance
Education and Awareness
Auditing
Noncompliance
Records and Reporting

Unit Role

The Compliance Office exercises independent oversight of the adequacy of compliance activities at Washington University and reports its findings to the Audit Committee of the University’s Board of Trustees. Areas reviewed by the Compliance Office include, but are not limited to, research, physician billing, conflicts of interest, human resources, environmental health and safety, and the Health Insurance Portability and Accountability Act (HIPAA).

Principles, Standards, and Guidance

Develops and periodically reviews and revises University-wide research compliance risk assessments and audit plans for both the administrative and scientific aspects of research.

Education and Awareness

Coordinates with institutional compliance entities to address issues identified in audits or investigations that appear to warrant enhanced education and training.

Auditing

Performs research compliance audits in accordance with annual audit plan.
Helps to ensure that external scientific audits occur as planned.

Noncompliance

Maintains a dedicated, anonymous telephone hotline for individuals to report suspected compliance violations.
Performs and assures follow-up on all hotline reports of suspected compliance violations.
Supports and endorses cooperation with University compliance and monitoring efforts and reports instances of noncompliance to the appropriate compliance office.
Coordinates with the Office of General Counsel and other institutional compliance entities as appropriate to investigate and resolve reports of noncompliance.

Records and Reporting

Creates and maintains records of all reports of suspected compliance violations.
Reports on the adequacy of compliance activities to the Audit Committee of Washington University’s Board of Trustees.