University Compliance Office Roles and Responsibilities

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, effort reporting, 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 compliance audit and internal risk assessments and audit plans for both the administrative and scientific aspects of research.

Education and Awareness

  • Coordinates with area specific compliance offices to address issues identified in audits or investigations that appear to warrant enhanced education and training.

Auditing

  • Performs compliance and internal audits in accordance with the annual audit plans.
  • 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 area specific compliance office.
  • Coordinates with the Office of General Counsel and other area specific compliance offices 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.