Responsibility and Resources Matrix
| Compliance Topic / Domain | Compliance Committee Rep | Other Contacts | Example Issues/Questions |
|---|---|---|---|
| Accounting, financial reporting, pay, tax, vendor issues | Associate VC for Financial Services | Payroll Office Other offices in Financial Services Materials Management (issues with an existing vendor) | international tax; tax withholding for out of state employees; questions about employee time and leave records (Kronos); ProCard use and compliance |
| Athletics | Senior Associate AD for Athletics Compliance | Faculty Athletics Representative Student Athlete Academic Services | NCAA rules, Name Image and Likeness (NIL) guidance, academic eligibility of student athletes, sports wagering guidance |
| Campus Safety | Associate VC for Campus Safety and Auxiliary Services* | ECU Police Department Office of Environmental Health and Safety | ECU Police assistance (for emergencies, dial 911), workplace security assessments, 1Card building access controls, building alarms, emergency communications systems, security cameras |
| Clery Act Compliance | Associate VC for Campus Safety and Auxiliary Services* | Clery Coordinator | Safety and security policies, procedures and practices, reporting obligations for crimes, fire, and related incidents |
| Conflicts of Interest and Commitment (including external employment and business interests) | Office of Research Integrity and Compliance (ORIC) | Materials Management People Operations, Success, and Opportunity (POSO) | Disclosure and management of potential conflicts of interest; disclosure of intent to engage in external professional activities (ORIC) Monitoring compliance with conflict management plans (OCM) Disclosure and approval of secondary employment for SHRA, CSS, DMSS employees (POSO) Doing business with entities owned by employees or related parties (Materials Management) |
| Copyright and Trademark | Office of University Counsel | University Communications (advises on use of logos in publications, promotional products, etc.) | Use of University licensed logos, marks, and materials |
| Disability, Accessibility, and Accommodations | ADA Coordinator | Office of Disability Support Services (for student needs) | Accommodations for employees and students. Accessibility of buildings, events, websites, curriculum materials, etc. |
| Environmental Health and Safety | Associate VC for Campus Safety and Auxiliary Services* | Office of Environmental Health and Safety | OSHA requirements, compliance with various other safety and environmental laws and regulations - chemical hygiene, laboratory safety, industrial hygiene, workplace safety, emergency management, and environmental management. |
| Equal Opportunity, nondiscrimination (Title VII, Title IX, etc.) | Director of Equal Opportunity and Title IX; Senior Associate Vice Chancellor and Chief People Officer Department for People Operations, Success, and Opportunity (POSO) | Equal Opportunity and Title IX Unit (POSO) | Equal opportunity, Title IX, discrimination, harassment, and related retaliation |
| Ethics | Office of University Counsel | Office of Internal Audit (to report potential violations) | State ethics laws as they relate to University employees and Board members |
| Export / Import Controls | Office of Research Integrity and Compliance | International travel related to University business and/or involving University assets; international collaborations; international shipments | |
| Faculty Employment Matters | Senior Associate Vice Chancellor and Chief People Officer Department for People Operations, Success, and Opportunity (POSO) | Director of Personnel Administration (POSO) Benefits Office (POSO) Employee Relations (POSO) University Ombuds Chair of the Faculty Office for Faculty Excellence | Employment matters (Director of Personnel Administration POSO) Faculty leave, FSIL/FMLA (Benefits POSO) Conduct issues (Employee Relations POSO, University Ombuds) Tenure/promotion questions (Chair of the Faculty, Director of Personnel Administration POSO, Office for Faculty Excellence) |
| Family Educational Rights and Privacy Act (FERPA) | Associate VC for Student Academic Success | Office of the University Registrar | Compliance with students’ rights related to their education records. These include rights related to privacy, access/inspection of records, and correction of inaccurate records. |
| Financial Aid and Scholarships | Associate VC for Student Academic Success | Office of Student Financial Aid Office of University Scholarships | Eligibility, applications, and availability of financial aid; Establishing and administering student scholarships |
| Foreign Gifts and Contracts | Assistant VC for Research Admininstration and Compliance | Office of Research Integrity and Compliance (ORIC) | Reporting requirements for gifts and contracts involving foreign entities Restricted party screening conducted on parties/entites (ORIC) |
| Grants/Sponsored Programs Management | Assistant VC for Research Admininstration and Compliance | Grant application, approval and setup Effort reporting, allowable spending, financial administration, etc. |
|
| Healthcare-related compliance | Office of Institutional Integrity | Healthcare coding and billing, HIPAA privacy and security, Stark Law | |
| HIPAA Privacy and HIPAA Security | Office of Institutional Integrity | ITCS (security issues) | Complaints, concerns, access, disclosures, audits, incidents, breaches |
| Human Resources | Senior Associate Vice Chancellor and Chief People Officer Department for People Operations, Success, and Opportunity (POSO) | Various units within POSO University Ombuds | Employment, Benefits, Employee Relations, Classification & Compensation, Learning & Organizational Development, Wellbeing & Success, Equal Opportunity and Title IX |
| Immigration | Office of University Counsel | Office of Global Affairs (for student-related immigration matters) | Immigration requirements and documentation for employees (OUC); Requirements and documentation for international students (OGA); Study Abroad (OGA); insurance for international students or travelers (OGA) |
| Information Privacy | Office of Institutional Integrity Academic Affairs (FERPA compliance) | Data stewards (depending on the type of data being used or stored) | Questions about applicable privacy laws and rights for students, patients, employees, etc. Rights include things such as disclosure, inspection, and correction of records. Assessment of whether a situation could be a privacy breach, and coordination of any required reporting/other actions |
| Information Security | Information Security Office | ITCS Help Desk (to report a potential security breach or request prompt assistance) | Questions on how to properly secure data and computing devices; information security training and awareness; security assessments of new technology solutions; reporting potential or suspected security breaches or incidents |
| Intellectual Property, Licensing, Commercialization | Office of University Counsel | Office of Licensing and Commercialization | Process for seeking a license for IP developed using ECU resources or time |
| Lobbying and Political Activity | Office of University Counsel | External Affairs and Constituent Relations (Chancellor's Office) | Political figure request to visit campus/class; requirements for employees who seek or hold an elected office |
| Minors on Campus | NA | Campus Security/Threat Assessment and Case Management Employment (POSO) | Process for establishing a camp or clinic involving minors; reporting requirements for incidents involving minors; Criminal background checks, unpaid interns under 18, employees hired to work at camps (Employment POSO) |
| Record Management | NA | University History and Records, Academic Library Services | Retention periods, Storing records, Destroying records |
| Research on Human Subjects | University and Medical Center IRB Office of Compliance Monitoring (OCM) | Seeking approval for human subjects research (IRB); federal requirements for the studies; monitoring of studies to ensure ongoing compliance (OCM); reporting potential violations of protocol or safety concerns (IRB) | |
| Responsible Conduct of Research | Office of Research Integrity and Compliance (ORIC) Research Integrity Officer (RIO) | Training requirements and resources for the responsible and ethical conduct of research Research misconduct definition and process. Confidential contact for concerns of potential research misconduct. |
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| Sexual Misconduct | Director of Equal Opportunity and Title IX; Senior Associate Vice Chancellor and Chief People Officer Department for People Operations, Success, and Opportunity (POSO) | Equal Opportunity and Title IX Unit (POSO) | Report a complaint/concern about sexual misconduct or other prohibited conduct including interpersonal violence or related misconduct Questions about the investigation process for these issues |
| State Reauthorization | Associate VC for Student Academic Success | Office of State Authorization and SARA Compliance | Authorization to offer educational opportunities outside North Carolina |
| ECU Policies/Regulations | Office of University Counsel | Policy content: Subject matter dependent, listed in each PRR Policy process: Office of the Chief of Staff | |
| UNC System Policies/Regulations | Office of University Counsel | Subject matter dependent |