Active vs. Passive Monitoring Guidance

Guiding Questions

The following set of questions is intended to assist policy owners in determining whether the likelihood of noncompliance and the impact of that noncompliance would indicate that a more active approach to monitoring the policy is warranted. The approach selected will then be reflected in the Administrative Policy Plan (form 1641) or the Comprehensive Review or Change Form (form 1648).  This approach will be reviewed by the Director of the University Policy Program and the Policy Advisory Committee (PAC).

  • Is there a high probability of noncompliance with policy requirements?
  • Is the subject matter covered in the policy governed by a state or federal law, rule or regulation?
  • Is the subject matter covered in the policy regulated by one or more external entities, such as a research funding agency?
  • Will a failure (noncompliance) likely:
    • have a direct impact on someone’s health or physical safety?
    • have a significant negative impact on the University’s reputation?
    • provide an opportunity for fraud or other exploitation if active monitoring doesn’t occur?
    • have a significant financial impact?
    • impact a group of individuals vs. one person?

Policy owners are encouraged to objectively respond to each of the questions so that the best approach to monitoring is selected.

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