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 & State Obligations

Download our spreadsheet to review federal and state compliance obligations. Spreadsheet includes statues, responsible parties, reporting requirements, deadlines and more. If using the Edge browser, you may see an error screen stating “Couldn't Load this Workbook”. When this happens, look for a blue “Download File” button at the top of the screen underneath the website address. — An interactive table is coming soon!

Download Federal & State Obligations

87th Legislative Session

Download our spreadsheet to review new legislation resulting from 87th Legislative Session. Spreadsheet includes bill number, statute, topic, caption, responsible parties, and more. If using the Edge browser, you may see an error screen stating “Couldn't Load this Workbook”. When this happens, look for a blue “Download File” button at the top of the screen underneath the website address.— An interactive table is coming soon!

Download New Legislation

Potential Obligations

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).

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
Rules and regulations regarding management of state funded grant programs (including passthrough) Citation: Texas Uniform Grant Management Standards Responsible Office: Academic Affairs - Office of Research and Sponsored Programs Reporting Requirements:
Rules and regulations regarding management of state funded grant programs (including passthrough) Citation: Texas Uniform Grant Management Standards Responsible Office: Finance & Operations - Controllers Office Reporting Requirements:

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 & Diversity 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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