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Compliance and Integrity

Compliance and Integrity Program Governance Structure

The success of NC State’s Compliance and Integrity Program is predicated on leadership’s embrace of a culture of compliance and the identification of key goals toward the attainment of the university’s compliance objectives.

The program, driven by leadership, emphasizes the university’s commitment to integrity, a culture of compliance, and the promotion of the highest ethical standards for all employees. Consistent with NC State’s values and strategic goals, the program is designed to create a culture of constant improvement in order to achieve excellence.  Achieving excellence requires constant attention, self-assessment and a commitment to improvement. In order to provide leadership and oversight of the program, the University Compliance Steering Committee and Compliance Officials Working Group have been created. The University Compliance and Ethics Officer position has been established to direct and manage the program. An overview of this structure and membership of each committee is provided below.

University Compliance Steering Committee

The University Compliance Steering Committee provides executive leadership and oversight of the Program, with a mission of promoting excellence in NC State’s efforts to comply with its legal, regulatory, and ethical responsibilities. The UCSC serves primarily as an advisory committee with respect to the University’s compliance and ethics priorities. The UCSC also provides oversight for the university’s compliance and integrity program and strategic advice and direction to the Compliance Officials Group (COWG). The Chancellor has designated the Steering Committee as the primary point-of-contact on organizational compliance matters with the Audit, Risk Management and Finance Committee of the Board of Trustees.

Members of the University Compliance Steering Committee:

  • Executive Vice Chancellor and Provost (Chair)
  • Executive Vice Chancellor for Finance and Administration
  • Vice Chancellor for Information Technology
  • Vice Chancellor for Research and Innovation
  • Vice Chancellor and General Counsel

Compliance Officials Working Group

The Steering Committee has appointed a Compliance Officials Working Group comprised of officials with executive responsibility for key compliance areas across the university. The mission of the Working Group is to assist the Steering Committee in promoting a culture and understanding of and adherence to applicable federal, state, and local laws and regulations, as well as university policies, regulations and rules (PRRs).  The Working Group provides compliance leadership in the university’s academic and administrative units and ensures effective communication and collaboration among employees responsible for compliance.

Members of the Compliance Officials Working Group:

  • Assistant Vice Provost and University Registrar, Enrollment Management and Services
  • Associate Vice Chancellor, Advancement Services
  • Associate Vice Chancellor for University Human Resources and Chief Human Resources Officer, University Human Resources 
  • Associate Vice Provost and Director, Scholarships & Financial Aid
  • Associate Vice Provost Equal Opportunity & Equity, Office for Institutional Equity & Diversity
  • Clery Compliance Officer 
  • Director, Information Security Risk & Assurance, Office of Information Technology
  • Director, Contracts & Grants
  • Director, Environmental Health & Safety 
  • Director, Insurance & Risk Management
  • Director, Office of International Services
  • Director, Research Compliance
  • Director, Sponsored Research
  • Director, Youth Programs & Compliance
  • Executive Director, Office of Research Commercialization
  • Senior Associate Athletics Director for Compliance, University Athletics
  • Senior Associate Vice Chancellor, Division of Academic & Student Affairs
  • Senior Director, Emergency Preparedness & Strategic Initiatives
  • University Controller, University Controller’s Office
  • University IT Accessibility Coordinator, Office of Information Technology
  • Vice Provost for Assessment & Accreditation, Office of the Executive Vice Chancellor and Provost
  • Deputy General Counsel, Office of General Counsel (Ex-Officio)
  • Director, Internal Audit Division (Ex-Officio)
  • University Compliance & Ethics Officer, Office of General Counsel (Chair)