Governance Structure
The Compliance and Ethics Program is supported by senior leadership and organizational structures that promote accountability, collaboration, and effective oversight. The Risk Review Board and Compliance Partners Working Group serve as key components of the program’s governance structure, providing guidance and institutional insight related to compliance, ethics, and risk matters. The program operates within the Division of Institutional Integrity, which supports university-wide compliance efforts.
Appalachian State Compliance and Ethics Program Plan (full text)
Board of Trustees Audit, Risk, and Compliance Committee
The Board of Trustees’ Audit, Risk, and Compliance Committee provides governing oversight for the program. It advises on reporting quality, risk management, ethical behavior, risk tolerance, and the establishment of a compliant and ethical university culture.
Executive Leadership and Institutional Oversight
The Chancellor, as the university’s executive head, oversees implementation and effectiveness of the program. Senior leadership, including the Chancellor’s cabinet and vice chancellors, ensures adequate resourcing of compliance functions and promotes a culture of ethical conduct within their areas.
The General Counsel and Vice Chancellor of Institutional Integrity provides administrative oversight to the CCEO and ensures the Office of Compliance and Ethics has sufficient independence, resources, and authority to manage the program effectively.
Chief Compliance and Ethics Officer and Office of Compliance and Ethics
The Chief Compliance and Ethics Officer (CCEO) is responsible for managing and coordinating the university’s compliance and ethics program and reports administratively to the General Counsel and Vice Chancellor of Institutional Integrity. The CCEO provides regular updates to executive leadership and the Board of Trustees Audit, Risk, and Compliance Committee and must be provided with the authority, resources, and independence necessary to effectively oversee the program.
Led by the CCEO, the Office of Compliance and Ethics develops and advances a university-wide compliance program through education, guidance, risk assessment, reporting mechanisms, and collaboration with campus stakeholders. The office works to promote awareness, adherence, and continuous improvement across the university.
Risk Review Board
Appointed by the Chancellor, the Risk Review Board (RRB) provides guidance and oversight for the university’s compliance and ethics program. The RRB advises leadership on risk tolerance, risk treatment strategies, and emerging risk areas while promoting accountability, collaboration, and effective program implementation.
The CCEO maintains operational responsibility for the program and works with the RRB to provide updates, seek guidance, and support continuous improvement.
Compliance Partners Working Group
The Compliance Partners Working Group is a staff-level committee composed of employees with direct compliance responsibilities. The group supports daily operations, enhances program visibility, and coordinates compliance communication and training.
Membership is determined by RRB recommendations and includes individuals responsible for current high-risk areas as well as key university stakeholders. The group ensures communication and collaboration across academic and administrative units with compliance obligations.