Introduction, Scope and Purpose
Appalachian State University (University) is committed to upholding the highest standards of integrity, ethics, and professionalism in conduct involving members of the University community, while maintaining an environment in which academic freedom flourishes. This shared commitment is fundamental to fulfilling the University’s mission of excellence in teaching, research, and service, and is essential for maintaining public trust and fostering an environment of respect.
The University’s Principles of Ethical Conduct (Principles) reflect the University’s expectations that the members of the University community will execute their duties in an ethical, legal, and professional manner. The principles are applicable to the actions of University community members whenever they are acting in an official University capacity. The principles are not intended to address University community members’ personal beliefs, values, and behaviors. When acting solely in their individual capacities as private citizens, University community members shall not represent that they are acting or speaking on behalf of the University.
These Principles apply throughout the entire Appalachian State University community. This includes, but is not limited to, members of the Board of Trustees, administrators, faculty, staff (encompassing full-time, part-time, and temporary employees), students, volunteers, and any vendors, contractors, or other third parties conducting business with or on behalf of the University. Every situation in the daily conduct of the University’s varied activities cannot be covered within these Principles, nor can these Principles substitute for professional judgment, personal integrity, or common sense.
Interpretation and Application
These Principles serve as a foundational statement of overarching ethical principles and expectations for Appalachian State University that complement existing University policies, regulations, and procedures addressing specific areas of conduct. When interpreting these Principles alongside role-specific policies or governing documents, both shall be interpreted in harmony to uphold the highest ethical standards while respecting the specific professional responsibilities, academic freedom, and due process protections inherent to those roles. These Principles neither diminish existing rights and protections nor create additional duties; rather, they serve to foster an organizational culture committed to ethical conduct and compliance with all applicable laws and University codes, policies, and procedures.
A non-exhaustive list of corresponding policies, regulations, and procedures are highlighted below each principle of ethical conduct.
Principles of Ethical Conduct (PDF)
Responsibility and Accountability
All members of the University community should exercise responsibility appropriate to their positions and delegated authorities, and are accountable for both their actions, inactions, decisions, and indecisions. Beyond the fundamental expectations of conduct inherent to membership in the university community, accountability shall be exercised in accordance with professional standards, governance processes, and University policies. This accountability includes upholding the standards of academic integrity, respecting others’ rights and property, and engaging responsibly in all University activities. Members should exercise sound judgment in the performance of their responsibilities to serve the best interests of the University and its community.
Related Policies, Codes, and Resources
Honest and Ethical Business Dealings
All University business, including purchasing, contracting, and other financial transactions, must be conducted with the utmost honesty and integrity. Interactions with outside entities must uphold strict adherence to legal and ethical business practices. No conduct or decision inconsistent with these principles can be justified on the basis of customary or historical practice, expediency, or achieving a desired result or purpose.
Related Policies, Codes, and Resources
Absence of Conflict of Interest and Commitment
All University community members acting on behalf of the University hold positions of trust and should conduct their activities accordingly. Outside professional activities, personal financial interests, or acceptance of benefits from third parties may create actual or perceived conflicts between the University’s mission and the private interests of an individual University community member or a member’s immediate family member.
University community members must disclose outside professional activities, potential conflicts of interest, and potential conflicts of commitment, to be reviewed and appropriately managed or eliminated in accordance with applicable University policies.
Related Policies, Codes, and Resources
Stewardship of University Resources
All members of the University community bear responsibility for the careful, appropriate, and efficient use of University resources. This includes financial assets, tangible property (such as facilities, equipment, and supplies), and intellectual property. Resources must be utilized exclusively for legitimate University business purposes, managed prudently, and treated in accord with existing policies, regulations, and laws. This responsibility also includes diligently safeguarding University data and information systems.
University resources may not be used for private gain or personal purposes except in limited circumstances permitted by existing policy, where incidental personal use does not conflict with and is reasonable in relation to University duties. University community members should avoid waste and may not engage in improper use of tangible or intangible university assets, funds, property, or facilities for personal benefit or for the benefit of a non-University organization without proper approval. All acts should reflect the recognition of the obligation to use University property responsibly and consistently in light of the University’s educational, research, and service missions.
Related Policies, Codes, and Resources
Compliance with Laws, Regulations, and University Policies
All members of the University community are expected to familiarize themselves and comply with existing federal, state, and local laws, as well as all University policies, regulations, and administrative directives. Departure from these standards can result in profound consequences, potentially impacting not only individual standing but also the University’s operational integrity, public trust, and the health and safety of the community.
Each member of the University community is expected to seek clarification on any legal requirement, University policy, or other University directive they find to be unclear, outdated, or at odds with University objectives. It is not acceptable to ignore or disobey laws or policies if one is not in agreement with them. Established institutional channels and governance structures serve as the proper avenues for addressing concerns or seeking modifications to the application and interpretation of regulatory mandates.
Related Policies, Codes, and Resources
Reporting and Protection from Retaliation
All members of the University community are strongly encouraged to promptly report known incidents or good-faith suspicions of improper conduct or breaches of other regulatory mandates, and in some situations, are required by federal and state law or existing policy. This responsibility underscores a shared responsibility for maintaining the University's ethical standards. There are various methods and resources available to make reports. Normally, such reports should be made to the appropriate supervisor or management.
The University strictly prohibits retaliation for good-faith reporting of suspected improper conduct. Individuals who report in good faith, file grievances, or participate in University investigations are protected from adverse actions. Any adverse action, including intimidation, threats, or coercion, directed at an individual for making a report constitutes retaliation and is strictly prohibited. Furthermore, North Carolina law explicitly prohibits retaliation against employees who report violations of law, fraud, misappropriation of state resources, threats to public health and safety, gross mismanagement, waste, or abuse of authority.
Related Policies, Codes, and Resources
