Compliance Management System

Table of contents

1. 1. Structure
   2. Roles and stakeholders
   3. Legal foundations and TUD regulations
   4. Prevention
   5. Reporting misconduct
   6. Evaluation and further development
   7. Contact

In order to ensure trust in education, research, transfer and administration, and to provide reliable and confidential points of contact, we have established a Compliance Management System (CMS) which uses TUD-specific measures, structures and processes to

• Promote fairness and integrity
• Prevent and investigate accusations of misconduct and violations of regulations as well as penalize perpetrators in cases of corroborated accusation.

Structure

The Compliance Management System is guided by a culture of compliance, whose foundation comprises the TUD-specific values of integrity, appreciation, transparency, a richness of perspectives, excellence and innovation. It is supported by the four pillars: Compliance in science and research, Compliance in education, Compliance in administration, and Compliance in interpersonal relations.

The following areas of activity have been identified for the four pillars of compliance.

• Compliance in science and research comprises the areas of activity: Good scientific practice; research data management; transfer of research findings to industry and society; export control (links to Internal Area); experiments on and with human subjects; experiments on and with animal subjects; a committee for responsibility in science.
• Compliance in education includes the following areas of activity: Teaching and learning (links to Internal Area); examinations (links to Internal Area).
• Compliance in administration comprises accounting and purchasing, human resources, contracts, environmental protection (links to Internal Area), information security and data protection, and anti-corruption.
• Compliance in interpersonal relations contains the areas of activity anti-discrimination, diversity, leadership culture and conflict management.

All areas of activity include preventive services and opportunities for submitting reports of rule violations. Compliance in these areas of activity is based on legal foundations and TUD regulations. The Compliance Management System is regularly evaluated and developed.

Roles and stakeholders

TU Dresden’s University Executive Board is tasked with establishing measures which support and ensure that TUD members and associate members act with integrity and in compliance with regulations. This means that the University Executive Board, represented by the Rector, carries the overall responsibility for TU Dresden’s Compliance Management System.

Individual members of the University Executive Board are assigned the pillars that correspond to their area of responsibility with the organizational support of officers and other responsible contacts who act autonomously and are not bound by instructions. Furthermore, it is expected that all persons in leadership positions at TUD endorse and observe regulatory compliance stipulations.

Each (associate) member of TU Dresden has the opportunity to actively participate in compliance development.

Legal foundations and TUD regulations

All current legal foundations and TUD regulations shape the decisions and actions of all our members in their everyday work as well as their interactions with each other. These TUD regulations include:

• The Mission Statement of TU Dresden
• Circular Letters (Links to Internal Area)
• Central regulations (Links to Internal Area)

Prevention

TUD upholds a culture of appreciative interpersonal relations, where proactive planning plays a key role. Preventive measures for raising awareness amongst our members and associate members are therefore a crucial element of TUD’s Compliance Management System.

In addition to providing information, this also includes advising and training services, which are specifically tailored to each area of activity. To find out more about the individual services and measures in place, please visit the web page for the area of activity you are interested in learning about.

Reporting misconduct

Anyone who observes misconduct or violations of the rules is urged to react. Should cooperative problem-solving processes prove impossible or ineffective, we are grateful for all earnest reports and information from members and associate members of TUD as well as non-university members.

Evaluation and further development

As a corporation under public law, TU Dresden is subject to regular external auditing in addition to legal stipulations and requirements imposed by our funding bodies. To ensure adherence to regulations, we are monitored by official bodies such as State Court of Audit, the tax office, third-party funding bodies, financial auditors and our University Council.

External audits are supplemented by our internal auditing service on an ad hoc basis or if there is a specific reason for inspection. The the details of the inspections and their results are fed into a central reporting system and evaluated.

Willful misconduct and violations are not tolerated at TUD and are penalized accordingly.

To ensure the continuous development of the Compliance Management System, the established measures, structures and processes will be systematically reviewed for flaws and adjusted accordingly.

Contact

If you have any questions or feedback for Compliance Management at TU Dresden, please contact: