Compliance and Integrity Program

Compliance and Integrity Program:

What is compliance?

Compliance means abiding by applicable laws, regulations, and policies.  In a university setting, compliance is less about regulating individual behavior than it is about understanding applicable regulatory requirements that apply to university activities as an institution and ensuring that we meet them.  Because NC State engages in such a broad range of activities, the number and scope of applicable requirements is vast.  For that reason, understanding these requirements and complying with them is a challenging, but very important, university-wide endeavor.

What is integrity?

Integrity means doing the right thing at all times and in all circumstances.  It means upholding the values of the university; behaving in an ethical manner; performing all duties with professionalism, accountability, competence, and honesty; focusing on solutions rather than fault and blame; and acting with initiative.  When members of the university community operate with integrity, it generates trust, enhances communication, improves the university’s culture, and supports the university’s mission.

Who is responsible for compliance at NC State University?

Everyone in the NC State community is responsible for complying with laws, regulations, and university policies and acting in an ethical manner in all endeavors.  Living our university value of integrity also means making reports when you see or hear concerning behavior. Compliance functions at NC State are integrated into the activities that take place across our campuses every day.  Compliance officers work within many units, such as SPARCS, athletics, finance and administration.  The University Compliance, Ethics, & Enterprise Risk Management Officer is located in the Office of General Counsel and facilitates compliance activities and initiatives for the entire university.

Why have a University Compliance and Integrity Program?

The University Compliance & Integrity Program coordinates compliance activities, working with leaders throughout the university to identify and fulfill legal and policy responsibilities. Integrity results when leaders identify and resolve issues, and when all members of the university act ethically. Therefore, a successful compliance and integrity program ultimately depend on the individual commitment of every university community member and benefits everyone in the campus community.

What role does a university compliance and integrity program serve?

From the compliance side of the program, NC State operates in an increasingly complex regulatory environment, which requires us to sharpen our focus on accountability and ensure compliance with our legal and ethical responsibilities. Outside regulators and funding sources increasingly require that the university have a comprehensive system in place to ensure that NC State understands its requirements and works to meet them.

From the integrity side, the program is designed to promote the university’s values and strives to integrate these values into its daily and long-term decisions and actions related to its teaching, research, and business practices.

The creation of the Compliance and Integrity Program and the University Compliance, Ethics & Enterprise Risk Management Officer position demonstrate the university’s commitment to meeting our legal and regulatory responsibilities, and fostering a culture that promotes ethical conduct and the university’s values. For more information about the Program’s attributes and activities can be found in NC State’s Compliance and Integrity Program Plan.

What are the benefits of a university compliance and integrity program?

A university compliance and integrity program:

  • Fosters a university culture that does not tolerate illegal or unethical behavior and prompts faculty and staff to consider the potentially adverse consequences of unethical conduct;
  • Solves problems by improving collaboration, and communication;
  • Reduces the risks of non-compliance, while increasing the likelihood of early detection and correction;
  • Provides a source of best practices and assistance for the entire university community.