Monitoring

The RCC Monitoring Program constantly monitors the state of financial research compliance at Duke University. Through analysis of financial data and with input from the Management Centers, RCC Monitoring provides both targeted input and assistance in remediation of risk issues.

RCC Approach to Compliance Management (MIR)

Monitor: Assessment of Current Status through data collection and analysis

Integrate: RCC strives to integrate monitoring with measures that mitigate risk to Duke University. RCC therefore coordinates basic data monitoring with:

• Education and Training
• Communication
• Policy and Procedure review
• Review/Enhancement of System/Internal Controls

Remediate: Achieved through:

• Regularly scheduled meetings with Management Centers
• Enhanced reporting in response to Management Centers and RCC identified needs
• Collaborative work with University IT groups to achieve technology solutions
• Comprehensive training and updates for grant managers
• Direct intervention in departments (answering departments’ requests for training and clarifications)