Assurance Strategies Matrix
|
Assurance Strategy |
Provided by |
Provided on |
Provided for |
|
Certification |
Responsible Party |
Responsible Party |
Compliance Officer |
|
Inspection |
Compliance Function |
Responsible Party |
Compliance Officer & University President |
|
Agreed-upon Procedures |
Internal Audit |
Responsible Party |
Compliance Officer |
|
Design Audit |
Internal Audit |
Compliance Officer |
President & Governance |
|
Information Validation Audit |
Internal Audit |
Responsible Party & Compliance Function |
President & Governance |
|
External Peer Review (in lieu of compliance oversight) |
External peer review team of subject matter experts |
Responsible Party |
Compliance Officer |
|
External Peer Review (in lieu of the internal auditing information audit) |
External peer review team of subject matter experts |
Responsible Party & Compliance Function |
President & Governance |
|
External Peer Review (of the compliance program) |
External peer review team |
Compliance Officer, Compliance Function, and the Compliance Committee |
President & Governance |
|
Other External Assurance Providers |
Accreditation Team External Auditors Regulators |
Responsible Party |
Compliance Officer, President, & Governance |