Compliance Partners Working Group
The Compliance Partners Working Group (Working Group) provides compliance leadership in the University’s academic and administrative units and serves as a venue for exchanging information, developing and deepening relationships, and aligning on principles that are foundational to App State’s compliance program. Meetings will focus on sharing information about processes, trends, and best practices, as well as communicating updates and seeking feedback. Membership of the Working Group shall be based on recommendations from the Risk Review Board as a combination of responsible parties for current high compliance risks and representatives from other stakeholder groups across the University.
The information provided on this website is intended to serve as a general resource for members of the Appalachian State University community. It is not a substitute for reviewing applicable laws, regulations, policies, or procedures related to a specific matter. For questions regarding compliance obligations or responsibilities, please contact the appropriate University office or subject matter expert.
Responsibility Matrix
| Topic | Compliance Areas | Responsible Office | Working Group Representatives |
|---|---|---|---|
| Accounting and Financial Reporting | Financial Regulations and Reporting, PCI Compliance, Federal and State Tax, etc. | Office of the Controller | University Controller and Sr. Associate Controllers |
| Accreditation | SACSCOC Accreditation, IPEDS | IRAP | Exec. Dir. of Inst. Research, Assessment and Planning; Dir. of Inst. Effectiveness and Accreditation |
| Athletics | NCAA and Conference Rules | Office of Athletic Compliance | Senior Director of Athletic Compliance |
| Budget Management | State Budget laws and regulations (OSBM, UNC System Office) | Budget Office | Budget Director |
| Campus Events and Camps | Protection of Minors on Campus | Conference and Events Services | Director of Conferences & Event Services |
| Campus Health Services | Student Health Records (HIPAA), Infection Control, AAAHC Accreditation | Student Health Services | Administrative Director of Student Health Services; Nursing Supervisor |
| Campus Safety | Police Operations | Appalachian Police Department | Chief of Police |
| Civil Rights or Nondiscrimination, Equal Opportunity Regulations | Federal and state civil rights compliance (Title VII, Title IX, ADA, VAWA, etc.) | Access and Opportunity: Equal Opportunity & Disability Resources | Executive Director of Access & Opportunity |
| Campus Safety - Clery | Clery Act | Access and Opportunity: Equal Opportunity | |
| Environment, Health and Safety, Emergencies | OSHA; Land and Environmental Safety; Emergency Planning | Environmental Health, Safety and Emergency Management | Director of Environmental Health, Safety and Emergency Management; Assistant Director for EHS |
| Faculty Relations | Policies related to faculty employment | Academic Affairs | Acting Senior Vice Provost of Faculty Policies, Development and Training |
| Financial Aid | Title IV, State Financial Aid Regulations | Office of Student Financial Aid & Scholarships | Associate Director, Financial Aid Compliance |
| Human Resources | Federal, State and UNC System requirements regarding employment, Employee immigration support | Office of Human Resources | Director of Talent Acquisition; Talent Acquisition Consultant - International Employment |
| International Students and Scholars | Immigration support, SEVIS immigration compliance | Office of International Programs | Director, International Student and Scholar Services & Outreach |
| Information Security | Protection of regulated university data | ITS Office of Information Security | Enterprise Solutions Architect - IT Business Continuity |
| Procurement and Materials Management | Federal, State, and UNC Procurement and Contracting policies, surplus property management | Procurement Services | Chief Procurement Officer |
| Post award contract and grant activity | Compliance with contract and grant terms and conditions. Financial reporting for contracts and grants | Controller’s Office: Contracts and Grants Accounting | Executive Director for Contracts and Grants Accounting |
| Research Integrity | Human Subjects Research, Animal Research, Biosafety, Intellectual Property, Export Controls, Conflict of Interest | Office of Research Protections | Director of Research Protections |
| Sponsored Programs | Programmatic project reporting and award management | Office of Research and Innovation | Director of Sponsored Programs |
| State Authorization | NC-SARA, Licensure | Academic Affairs | Director of Academic Affairs Programs & Operations |
| Student Conduct | Student Conduct, Student Academic Integrity | Dean of Students | Assistant Dean of Students, Director of Student Conduct |
| Student Records | FERPA, Third-party Records Requests | Office of the Registrar | Senior Associate Registrar, Systems, Reporting and Compliance; Senior Associate Registrar, Records and Graduation |