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Compliance

​​Higher education is highly regulated, and universities must proactively manage compliance. The Compliance Office supports, but does not replace, departmental responsibilities. Instead, it coordinates efforts, assesses progress, raises awareness, and promotes best practices and communication.​

Compliance Matrix

Download our spreadsheet to review federal and state compliance obligations, new legislative requirements, and other compliance-related 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. Compliance Matrix

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.). 

Accreditation bodies, state programs, federal 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. 

  1. Other Compliance Obligations can be identified using the following as potential guides: 
  2. The obligation relates to requirements at an organizational level rather than an individual (example; university accreditation). 
  3. The obligation potentially affects the mission or revenue streams of the university (i.e., grants or awards issued by a not-for-profit). 
  4. The potential compliance obligation may not currently be driven by any federal, state or local law, regulation or policy. 
  5. 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). 
  6. The 'Other Compliance Obligations' tab includes various state agency reporting obligations for public Institutions of Higher Education in Texas. 
  7. Some examples of other compliance obligations are listed below. 

Ethics 

Summary 

Citation 

Responsible Office 

Report Requirement 

Code of Ethics for American Counseling Association 

American Counseling Association Code of Ethics 

Student Affairs - Counseling and Health Services 

 

Code of Ethics for National Board Certified Counselors 

National Board for Certified Counselors Code of Ethics 

Student Affairs - Counseling and Health Services 

 

 

Grants Management 

Summary 

Citation 

Responsible Office 

Report Requirement 

Rules and regulations regarding management of state funded grant programs (including passthrough) 

Texas Uniform Grant Management Standards 

Finance & Operations - Office of Research Administration 

Yes 

 

 

 

 

 

 

 

 

 

Health Care and Insurance 

Summary 

Citation 

Responsible Office 

Report Requirement 

SORM guidelines for incident reporting 

State Office of Risk Management 

Finance & Operations - Human Resources 

 

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.​