Risk assessment
Examining research activities regularly to identify and reduce potential compliance breakdowns
Roles and responsibilities
Maintaining clear roles and compliance responsibilities for all parties; using due care and appropriate oversight when
assigning compliance responsibilities
Policies and procedures
Designing standards and policies that effectively enable researchers and others to meet compliance requirements
Program oversight
Assuring compliance through senior leadership and independent oversight |
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Awareness, education, and training
Communicating standards, procedures, and responsibilities to researchers, administrators, and others through timely and
appropriate education and training
Communication
Developing and maintaining effective systems of communication, including resources for promptly responding to compliance
questions or concerns
Monitoring and audits
Implementing monitoring and auditing systems to assure compliance, detect breakdowns, and identify potential problem
areas
Enforcement and corrective action
Enforcing standards fairly and consistently; promptly investigating and resolving compliance breakdowns; evaluating and
modifying the compliance program where appropriate to prevent similar problems |
