Compliance

Higher education institutions are among the most regulated entities in the United States. With many and diverse activities, universities must be diligent and proactive in their compliance program. The Compliance Office does not assume the duties of the various departments with respect to compliance, and all ongoing compliance activities continue in their existing areas of responsibility. Rather, the Office helps to coordinate these efforts, assess overall achievement, raise awareness and promote the sharing of best practices and increased internal communication. Information will be updated as we discover new obligations and changes.

Federal and state obligations are those laws, regulations and policies that require compliance from different areas of the organization.  If you are aware of an obligation and do not see it listed here, please send an email to complianceandinsurance@shsu.edu with your name, department, the compliance requirement and if possible, a link to the legal citation (state law, federal regulation, etc.).

88th Legislative Session

Changes to Texas law as a result of the 88th Legislative Session (June 1, 2023) are listed on the Compliance Matrix, tab 3. There is typically an effective date when these law updates go into effect. Please review the updates to laws, regulations and policies that require compliance from your area. Questions are best directed to the Office of Compliance and Insurance or the TSUS Office of General Counsel  - General Counsel : Texas State University System (tsus.edu).

Other Compliance Obligations

Accreditation bodies, state programs, fedederal granting bodies and other organizations may have compliance or reporting requirements.  Tab four of the Compliance Matrix lists such obligations. This tab undergoes regular updates; if you note an obligation that is missing, please send an email to complianceandinsurance@shsu.edu with your name, department, the requirement and if possible, a link to the website, so that we can keep the matrix as up-to-date as possible.

Compliance Matrix

Potential Obligations - Examples

Other Compliance Obligations can be identified using the following as potential guides:

  1. The obligation relates to requirements at an organizational level rather than an individual (example; university accreditation).
  2. The obligation potentially affects the mission or revenue streams of the university (i.e., grants or awards issued by a not-for-profit).
  3. The potential compliance obligation may not currently be driven by any federal, state or local law, regulation or policy.
  4. The potential compliance obligation may be measured by some risk-based criterion, or may be an obligation for which non-compliance could potentially impact university operations (example: non-compliance impact to a warranty obligation).
  5. The 'Other Compliance Obligations' tab includes various state agency reporting obligations for public Institutions of Higher Education in Texas.

Some examples of other compliance obligations are listed below.

Ethics

Summary Citation Responsible Office Report Requirement
Code of Ethics for American Counseling Association Citation: American Counseling Association Code of Ethics Responsible Office: Student Affairs - Counseling and Health Services Reporting Requirements:
Code of Ethics for National Board Certified Counselors Citation: National Board for Certified Counselors Code of Ethics Responsible Office: Student Affairs - Counseling and Health Services Reporting Requirements:

Grants Management

Summary Citation Responsible Office Report Requirement
Rules and regulations regarding management of state funded grant programs (including passthrough) Citation: Texas Uniform Grant Management Standards Responsible Office: Finance & Operations - Office of Research Administration Reporting Requirements: Yes

Health Care and Insurance

Summary Citation Responsible Office Report Requirement
SORM guidelines for incident reporting Citation: State Office of Risk Management Responsible Office: Finance & Operations - Human Resources Reporting Requirements:

Report Fraud and/or Abuse

Anyone with knowledge about fraud, flagrant waste, or other abuses is encouraged to report their concerns to the Office of Internal Audit.

Report Fraud or Abuse
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