News at Princeton

Thursday, Sept. 18, 2014

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Compliance program provides information, resources to University community

The University's Institutional Compliance Program -- begun last fall with the appointment of a chief compliance officer -- has launched a new Web site that will serve as a repository of information about compliance and will direct members of the University community to resources available on this issue.

The program, headed by Laurel Harvey, also is creating some print publications, such as a brochure and a Management Standards Guidebook, to create awareness of its work and provide additional information.

As a member of the president's cabinet, Harvey is responsible for monitoring, coordinating and providing general oversight for efforts throughout the University to ensure compliance with internal policies and procedures and with external requirements imposed by law, regulation and contracts or grants. She works closely with Director of Internal Audit Joseph Bielamowicz and the Executive Compliance Committee.

When she was appointed in November, Harvey said that her goal was to make compliance easier for members of the University community by providing them with the central administrative support they need to understand and follow the policies, regulations, contractual obligations and laws that apply to them.

"Since November, I have been developing a framework for compliance efforts at Princeton that enables us to meet our obligations, fits our culture and reflects some best practices derived from the Sarbanes-Oxley Act," she said. "My intent is to make sure that managers and others throughout the University have the information and other tools they need to carry out their responsibilities effectively."

Harvey noted that the new Web site is an important step in that process. "Compliance is everyone's responsibility -- faculty, staff and students who work on behalf of the University assume responsibility for conducting their operations within the law and in keeping with Princeton's highest ethical standards," she said. "Now they will have some ready resources to which to turn for information and guidance."

The Web site includes a summary of the core principles of conduct that the University expects all faculty, staff and students to understand and follow. In addition, references to relevant policies, such as "Rights, Rules, Responsibilities," are provided.

To help navigate through the myriad policies and external regulations, the site features a comprehensive list of offices and employees who are responsible for monitoring laws, setting University policy, and communicating procedures and policies to faculty and staff.

A Compliance Helpline form also is available on the Web site for members of the University community to ask questions or express concerns regarding compliance issues or to report noncompliance. Those who fill out the form can elect to remain anonymous.

The Management Standards Guidebook, which will be available on the Web site as well as in print, is based on a similar piece developed several years ago by the Academic Managers Group. With the help of the group's members, Harvey expects to have a draft version of the guidebook prepared by the end of the academic year.

The brochure will be available in the coming weeks through the Institutional Compliance Program. For more information, call (609) 258-3045 or send an e-mail message.

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