Tech Transfer Central

Sponsored Research Compliance: Best Practices for Working with Auditors

Format: On-Demand Video/Transcript, or DVD
Originally presented: December 06, 2012

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Price: $197
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You can leverage your institution’s internal audit department to help navigate the tricky compliance landscape and survive an OIG audit. Here’s how…

Given the close monitoring, heavy regulation, and big stakes involved in complying with rules surrounding government-sponsored research, audits can be useful tools in gauging whether appropriate processes and controls are in place in areas such as proper administration of federal funds and management of intellectual property.

Violations of deemed export rules, accusations of wrongdoing, and allegations of fraud can lead to not only potential fines and penalties as well as PR nightmares, they can bring on contentious relationships with internal and external auditors. Even the hint of a compliance problem can breed an “us against them” mentality. That’s why we’ve scheduled a practical webinar featuring two compliance experts, who will provide step-by-step guidance in handling audits of critical compliance processes and keeping your institution clear of fines, penalties, and negative PR.

Sponsored Research Compliance:
Best Practices for Working with Auditors

There are proven ways to work with auditors and make everyone’s job easier. By tapping into their experience working as internal auditors, the presenters of this session have successfully helped countless research administrators and general counsel to survive the audit process and enhance their compliance processes at the same time.

We’ve secured sponsored research compliance experts Raina Rose Tagle and Adrienne Larmett of Baker Tilly to lead this stellar distance learning program. They’ll discuss the role and objectives of internal and external audit functions, and provide specific ideas and guidance for leveraging the audit process to help your department and your institution.

Learning objectives for this session include:

  • Contrasting internal audits with the conduct and focus of external and Office of Inspector General audits
  • Understanding how you can leverage internal audit’s activities to enhance your department
  • Gaining a better understanding of internal audit’s role within a university and its key activities
  • Discussing best practices in interfacing with auditors
  • Learning how you fit into the audit process
  • Becoming better prepared to withstand all types of audits, including OIG audits

This lively discussion will cover practical strategies for working with internal audit and ensuring your compliance processes stay on track

Your Team of Experts:

Raina Rose Tagle is a Partner with Baker Tilly, an accounting and advisory firm with more than 1,400 personnel nationwide. Raina leads Baker Tilly’s national Higher Education and Research Institutions practice. She provides services in the areas of internal audit, financial and operational risk management, construction audit, fraud investigation, technology risk consulting, and organizational governance. Raina started her career with Arthur Andersen, progressing to serve as a manager in the audit and technology risk consulting practices. Prior to joining Baker Tilly, she served as an interim executive director of several not-for-profit organizations, worked as chief financial officer of a technology consulting firm, and led her own consulting practice. Raina frequently presents at conferences of the Association of College and University Auditors, the National Council of University Research Administrators, and the Society of Research Administrators. She has also co-authored articles in the NCURA Magazine and Research Global magazine on topics such as investigating fraud, working successfully with internal audit, and using risk assessment in sponsored research.

Adrienne Larmett, a Senior Consultant with Baker Tilly, works in the firm’s higher education and research institutions practice. She has over eight years of industry and professional services experience. Prior to joining Baker Tilly she worked in sponsored research at Temple University and the University of Pennsylvania. Adrienne works with clients to provide guidance in the areas of grants administration processes, sponsored research compliance, internal audit, and fraud investigation related services. She focuses on helping universities mitigate risk and exposure related to sponsored research by helping them understand the federal and sponsor regulations that guide research, and by advising on industry best practices pertaining to policy and monitoring. Adrienne’s industry and professional experience include research development and procurement, pre- and post-award grant administration, sub-recipient monitoring, effort reporting, export controls, conflict of interest, IRB and IACUC compliance, and sponsored research compliance.

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