Subject-Specific Compliance Reviews

Office of Compliance

On a rotating risk-based schedule, the Office of Compliance conducts a program evaluation review of selected departments or units who have primary responsibility for subject-specific compliance areas such as privacy, safety, equity, etc.

These reviews use as criteria:

• guidance on high-quality compliance programs;
• standard criteria from the Management Responsibilities Handbook; and
• the annual Sub-Certification letters signed by the Budget Authorities.

The Office of Compliance communicates review findings to the Budget Authority and the Institutional Executive Compliance Committee, and works with the relevant compliance leaders to resolve any instances of where compliance or compliance programs need to be improved.

A memorandum summarizing the review findings is distributed to the Budget Authority, Institutional Executive Compliance Committee, Internal Audit department and to the Institutional Compliance Advisory Council.

Note: If, during the program review, significant problems are found in high-risk compliance areas, a follow-up review will be scheduled for the following year.

Significant findings, particularly findings that indicate potential fraud, are referred to the Chief Auditing Officer.