Compliance Partners

For more information on any of the offices listed below, please visit their websites.

Office of University Counsel

The Office of University Counsel provides comprehensive legal advice and counsel to East Carolina University.  As part of this work, OUC works closely with and advises administrators responsible for compliance functions throughout the University.

In addition to its role of providing advice and counsel, OUC is also responsible for the University’s employment-based immigration matters and the University’s response to public records requests.

Office of Internal Audit and Management Advisory Services

The Office of Internal Audit isn’t directly responsible for any specific compliance areas.  The office performs compliance audits, through which senior management and the Board of Trustees are provided assurance about how well ECU is complying with various laws, regulations, and policies.  The office also works closely with the various campus compliance offices and is the liaison between these other offices and the Board of Trustees Audit, Risk Management, Compliance, and Ethics Committee.

Internal Audit manages the University’s hotline for reporting instances of known or suspected fraud, waste, abuse, or significant non-compliance.  Concerns may be submitted anonymously via the website or by calling 252-328-9027.

Office of State Authorization and SARA Compliance

Office of State authorization allows East Carolina University to offer educational opportunities to students nationwide. ECU has a team dedicated to researching regulations and seeking and maintaining approvals so learners can participate in ECU’s programs wherever they are. Our state authorization team leads the university’s institutional state authorization compliance activities, including obtaining and managing all necessary approvals to operate in every state, territory, and country; as well as managing the State Authorization Reciprocity Agreements (SARA).

The State Authorization Reciprocity Agreements (SARA) is a national initiative to provide more access to programs and courses while maintaining compliance standards with state regulatory agencies.  These reciprocity agreements help streamline distance education regulations, improve coordination between states and higher education institutions, and help ensure member states and participating institutions adhere to a set of common consumer protections for students.  Participating institutions of SARA are authorized to provide education to learners from all SARA member states. As of November 15, 2016, East Carolina University is approved to participate in the National Council for State Authorization Reciprocity Agreements (NC-SARA).

Athletics Compliance

East Carolina University (ECU) is committed and obligated to the principle of institutional control in operating its athletics programs. This task is accomplished by operating in accordance with NCAA, The American Athletic Conference (AAC) and University rules and regulations.

The charge of the ECU’s Athletics Office of Compliance is to not only educate, monitor and verify NCAA rules compliance for the athletic department, but also work collectively with coaches, student-athletes, athletics staff, alumni, prospects, parents, donors, and the institution’s various constituency groups to ensure that policies and procedures are implemented to ensure that we are maintaining institutional control.

Compliance is ultimately, a shared responsibility and it is the obligation and responsibility of all athletic department staff members to act within all applicable rules and regulations at all times.

For any question/concern/inquiry related to athletics compliance or our athletic department policies, feel free to contact our email at AthleticsCompliance@ecu.edu or call at 252-737-4533.

Office of Institutional Integrity

The Office of Institutional Integrity (OII) has adopted a University-wide compliance program. This program provides a framework for the University’s healthcare and specific data security compliance efforts with applicable state and federal laws and regulations including but not limited to the Federal False Claims Act, the Federal Anti-kickback Statute, the Prohibition on Physician Self-Referrals (the Stark law), Center for Medicare & Medicaid Services, Office for Civil Rights (HIPAA), Office of Inspector General, and the NC Identity Theft Protection Act.

The OII compliance program is not intended to set forth every program and practice that is designed to affect compliance, but rather to provide a framework that will guide the overall healthcare and specific data security compliance efforts of the University. The program affects a broad range of areas within the University’s operations, and all faculty, staff, students, and contractors of the University are expected to participate in the program and abide by its requirements. We encourage all workforce members and contractors of the University to contact the Office of Institutional Integrity at any time with questions and/or concerns.

OII operates a Compliance Hotline (this line does not have caller ID) at 1-866-515-4587, or callers may contact the main line at 1-252-744-5200 or email  integritycompliance@ecu.edu.

Office of Research Integrity and Compliance

The Office of Research Integrity and Compliance (ORIC) promotes the ethical and responsible conduct of research. ORIC monitors compliance with applicable federal, state, and institutional regulations by developing tools and educational resources designed to help guide the ECU community through the process of transparency, compliance, and oversight.

Ensuring the ethical and responsible conduct of research preserves the public trust, which is an essential underpinning of the University’s ability to fulfill its public service mission.

ORIC is responsible for providing oversight and guidance for University-wide conflict of interest training, reporting, and management; coordination and conduct of the university’s responsible conduct of research training program; and the confidential receipt and assessment of research misconduct allegations by the Research Integrity Officer (RIO).

The Office of Export Controls and Customs within ORIC facilitates ECU’s compliance with U.S. sanctions, export control, and import regulations. The office aims to promote awareness of U.S. sanctions, export and import compliance requirements across the ECU community and facilitates, establishes and maintains core processes and procedures that effectively demonstrate compliance.

University and Medical Center Institutional Review Board (UMCIRB)

The University and Medical Center Institutional Review Board (UMCIRB) protects the rights, welfare, and privacy of human participants in research conducted at ECU, ECU Health and affiliates, and by university representatives elsewhere. In support of this mission, the UMCIRB provides comprehensive oversight of human research, including ethical and regulatory review, post-IRB approval monitoring, and HIPAA research compliance. This oversight is achieved through initial and continuing review of research, evaluation of reportable events, monitoring of ongoing studies, and collaboration with investigators and research staff.

Post-IRB approval monitoring promotes participant protection, protocol adherence, and research integrity. Monitoring may be routine, targeted, or for-cause, with findings used to support education, quality improvement, and compliance.

Oversight of HIPAA research compliance ensures the appropriate use and disclosure of protected health information through review of authorizations, waivers, and data protection measures.Drawing on expertise in research administration, Compliance Monitoring assesses audit risk and regulatory requirements, implements solutions to strengthen proposal development and post-award fiscal management, performs subrecipient monitoring with risk assessments, reviews subrecipient audits, and develops data-driven metrics to inform decision-making. The team delivers structured analyses and actionable recommendations to departments, colleges, and senior leadership.

Department for People Operations, Success, and Opportunity

The Department for People Operations, Success, and Opportunity (POSO) provides leadership to the university’s innovative and dynamic efforts to recruit, retain, develop and support a thriving workforce and to foster an equal opportunity learning and working environment. Topics addressed in POSO’s programming include: Title IX and Title VII civil rights compliance; enhancing employee well-being and success; strategic operational processes to support employment and workforce needs; and protected class complaint response and investigations.

Americans with Disabilities Act (ADA) Coordinator

East Carolina University is committed to the full inclusion of qualified individuals with disabilities and prohibits unlawful discrimination on the basis of disability, consistent with the University’s Notice of Non-Discrimination Policy.

The Office of the ADA Coordinator coordinates university compliance with the Americans with Disabilities Act (ADA), Section 504 of the Rehabilitation Act, and other applicable federal and state laws. The office facilitates the interactive process with employees, applicants, and visitors to determine appropriate reasonable accommodations and supports equal access to employment, programs, services, and activities.

The Office of the ADA Coordinator works collaboratively with campus partners including Disability Support Services, Facilities, Environmental Health and Safety, Athletics, and ADA accessibility committees to promote accessibility, remove barriers, and ensure consistent application of disability related laws, regulations, and university policies.

For assistance or to request an accommodation, the Office of the ADA Coordinator may be contacted at ADA-Coordinator@ecu.edu or 252-737-1018.

Office of Environmental Health and Safety

The Office of Environmental Health and Safety (EH&S) supports the University in achieving compliance with applicable safety, health, environmental, emergency, and regulatory requirements. EH&S is committed to advancing a culture of excellence in Safety, Health, Emergency Management, Environmental Stewardship, Biological Safety, Radiation Safety, Infection Control, and Employee Health by integrating these principles into the core values and daily operations of the University community.

EH&S provides leadership, guidance, and oversight for programs including chemical hygiene, laboratory safety, biological safety, radiation safety, industrial hygiene, workplace safety, infection control, employee health, emergency management, and environmental management. Through these programs, EH&S works to protect the health and safety of students, faculty, staff, patients, visitors, and the environment.

EH&S is also responsible for responding to safety and health-related concerns, complaints, incidents, and regulatory compliance matters.

Clery Act Compliance

The Clery Compliance Coordinator oversees the University’s compliance with the Jeanne Clery Campus Safety Act, commonly referred to as the Clery Act. Clery Act compliance is an institutional responsibility that is assisted by the Clery Compliance Coordinator. The Clery Compliance Coordinator works closely with law enforcement, University leadership, and other University personnel to help ensure they understand and are equipped to fulfill their responsibilities related to crime and incident reporting. Additionally, the Clery Compliance Coordinator facilitates the University’s reporting obligations to outside entities and the general public.

Information Security and Data Governance

All University employees are responsible for protecting the information and data in their care. Employees shall protect University Information from unauthorized and/or unlawful access, use, disclosure, destruction, and/or loss.  The University has implemented robust Information Security and Data Governance programs to help ensure that safeguards are in place to protect the security and privacy of the information entrusted to us.

The Chief Information Security Officer (CISO) manages the University Information Security Program, a collection of enterprise rules, standards and guidance.  The CISO advises university and departmental leadership on the identification and management of risks associated with the handling of University Information and the use of IT systems and services. The CISO also coordinates the activities of the University Security Incident Response Team (SIRT), which oversees the University’s response to Information Security incidents. The SIRT assesses risks to individual privacy, facilitates and/or manages data breach notifications, and coordinates its activities with university compliance offices where appropriate.

Data governance is a collection of practices and processes which help ensure the formal management of data assets within an organization.  The University’s data governance structure enables shared decision-making across organizational boundaries and addresses key issues such as data ownership, standardization, validity, reliability, access, and security.   This demonstrates the extent to which the university’s leadership value data and their desire to manage this important institutional asset intentionally.

Financial Services (tax and other compliance requirements)

Financial Services, a unit in the Division of Administration and Finance, provides centralized accounting services for the University and its financial affiliates, including its foundations and related entities.  As part of its day-to-day responsibilities, Financial Services helps ensure compliance with many laws and regulations related to the financial activities of the University.  These include the Fair Labor Standards Act, payroll laws, tax collection and reporting, state laws pertaining to debt collection, and many others.

FERPA Compliance

The Family Educational Rights and Privacy Act of 1974 (FERPA) established students’ rights related to their education records.  These include rights related to privacy, inspection, and correction of inaccurate records.  The University Registrar has been designated as ECU’s FERPA Compliance Officer.  Questions and concerns related to student records and FERPA compliance may be reported using the link above.

Payment Card Industry (PCI) Compliance

Since we collect payments via credit and debit cards, East Carolina University must be in Payment Card Industry Compliance rules, regulations and contractual provisions regarding the handling of payment cards and cardholder data as defined in the Payment Card Industry Data Security Standards (PCI DSS).  ECU Financial Services is responsible for overseeing compliance with the PCI DSS.