Compliance is a shared responsibility. Partnership within units is therefore key to ensuring compliance at Carolina. Through the Carolina Compliance Council and the Carolinas Compliance Professionals Working Group individuals across the University work together to model a culture of compliance and collaboratively develop processes to identify and fulfill legal and policy responsibilities.
- Facilitate coordination of compliance approaches across the University
- Oversee appropriate compliance with university rules and policies, and laws and regulations
- Ensure appropriate elevation, accountability, and decision-making of urgent risk and compliance issues
- Proactively mitigate university-level risks
- Facilitate reporting to the Chancellor and Provost and appropriate Committees of the Board of Trustees
- Model a Culture of Compliance
The CCC members are persons holding the following positions within the University, and may be adjusted by the Chancellor and Provost as needed or desired:
- Vice Chancellor for Institutional Integrity and Risk Management
- Vice Chancellor and General Counsel
- Vice Chancellor for Medical Affairs
- Vice Chancellor for Finance and Operations
- Vice Chancellor for Research
- Vice Chancellor for Human Resources & Equal Opportunity Compliance
- Vice Chancellor for Student Affairs
- Vice Chancellor for Information Technology
- Vice Chancellor for Innovation, Entrepreneurship and Economic Development
- Vice Provost for Global Affairs
- Director of Athletics
- Chief Diversity Officer
- Chief Audit Officer
- Chief Compliance Officer
- School Dean (*on a rotating basis)
The CCC may appoint subcommittees as deemed appropriate to address compliance issues identified by the CCC. A member of the CCC will act as a liaison to each subcommittee. Subcommittee activities will be reported to the CCC and may be included in CCC reporting to the Chancellor and Provost and appropriate Committees of the Board of Trustees.
The Vice Chancellor for Institutional Integrity and Risk Management acts as chairperson of the CCC and is responsible for scheduling. The Chief Compliance Officer acts as facilitator.
- Maintaining understanding and oversight of governmental regulations and other compliance requirements in respective areas, including tracking emerging issues in the regulatory environment
- Participating in the development, implementation, and education of University-wide compliance policies and compliance initiatives
- Being prepared for, and participating in, internal and external audits and investigations
- Informing the University’s risk management processes
- Communicating and promoting a culture of compliance
- Providing feedback to and consulting with the Chief Compliance Officer in order to contribute to a continuous, comprehensive assessment of the effectiveness of the University’s compliance program
Members of the Carolina Compliance Professionals group are selected by the Chief Compliance Officer and include representatives from both central offices and schools who positions involve compliance oversight responsibilities for their units.