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How We Can Help
Training Workshops
The Office for Audit and Advisory Services has developed a training program discussing
Internal Controls. This program addresses a variety of system and
manual procedures including approvals, reconciliations, segregation
of duties, a system of checks and balances, etc. How all of us contribute
to the internal control structure at Northwestern and some of the
consequences of internal control weaknesses are highlighted through
the use of video, discussion, and handouts. The Internal Controls
Workshop can be presented at your department location for the convenience
of faculty/staff. Contact the Office for Audit and Advisory Services for more information.
Consulting Services
Although a department, center, lab, product, or system may not
be scheduled for an audit, what occurs in these areas has an impact
on the adequacy of controls and, in turn, the business environment
in which we operate. The Office for Audit and Advisory Services can assist by reviewing
and providing feedback on:
draft policies and procedures
new system proposals
products being considered for purchase (e.g., new software packages,
etc.)
system controls for products recently purchased.
Investigating Fraud, Retaliation or Other
Concerns
Members of the Northwestern community are expected to set a tone
of intolerance for fraudulent acts by supporting compliance with
applicable University policies and procedures, as well as applicable
laws, rules, and regulations. Each member of the University community
has a responsibility to report known or suspected fraudulent activity.
Northwestern policy prohibits the taking of retaliatory action against
anyone for reporting or inquiring about potential breaches of University
policy or for seeking guidance on how to handle suspected breaches.
If you believe that fraud is occurring at Northwestern, you are
being retaliated against for reporting policy breaches, or you have
questions about other matters, please contact the Associate Vice
President of Audit and Advisory Services at 1-2622. Our investigations
are performed on a highly confidential basis, often in a coordinated
effort with University Police, the Office of General Counsel, Human
Resources, and other offices, as appropriate.
Northwestern has selected EthicsPoint to provide
you with a simple way to report activities that may involve misconduct
or violations of University policy. You
may file a report here
or by dialing 866-294-3545. This service is not a substitute
for, nor does it supercede, any existing reporting methods or protocols
already in place at Northwestern for reporting suspected problems
or complaints. Instead, the EthicsPoint system provides an additional
means of reporting such issues. Any suspected problems or
complaints reported via EthicsPoint will be reviewed in accordance
with current University procedures, including those described in
the Faculty, Staff, or Student Handbooks. Northwestern policy prohibits
the taking of retaliatory action against anyone for reporting or
inquiring about potential breaches of University policy or for seeking
guidance on how to handle suspected breaches.
Standards for Business Conduct A brochure providing an overview of the major policies that guide
business conduct at Northwestern.
For a copy of this document click on the image below.
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