Stephen F. Austin State University

Compliance Area Responsibility

Committees

Executive Oversight Compliance Committee

This committee is comprised of senior administration. Its primary function is to direct policy and instill the importance of compliance in the university community. This committee monitors progress on key compliance initiatives, reviews updates on compliance developments and best practices, and allocates resources as necessary to achieve the compliance program goals.

Current Members:

Dr. Baker Pattillo, President

Dr. Steve Bullard, Provost & Vice President for Academic Affairs

Dr. Steve Westbrook, Vice President for University Affairs

Danny Gallant, Vice President for Finance and Administration

Jill Still, Vice President for University Advancement

Dr. Marc Guidry, Associate Provost for Academic Affairs

Gina Oglesbee, Chief Audit Executive

Damon Derrick, General Counsel

Compliance Coordinating Committee

This committee is comprised of key representatives from various departments within the university. Its primary function is to oversee the implementation of the compliance program throughout the university. This committee disseminates information about compliance updates and activities to the responsible parties and keeps those individuals updated on any changes in laws or regulations.

Current Members:

Gina Oglesbee, Chief Audit Executive

Damon Derrick, General Counsel

Kirsty Dymond, Assistant General Counsel

Ryan Ivey, Athletic Director

Dannette Sales, Controller

Kay Johnson, Director of Procurement and Property Services

Loretta Doty, Director of Human Resources

Anthony Espinoza, Chief Information Officer

Amanda Romig, Compliance Coordinator

Jeremy Higgins, Director of Environmental Health, Safety, and Risk Management

Amanda Kennedy, Interim Chief of Police

Trey Turner, Executive Director of Development

Rachele' Garrett, Director of Financial Aid

Erma Brecht, Executive Director of Enrollment Management

Kim Childs, Dean of the College of Sciences and Mathematics

Michael Walker, Assistant Dean of Student Affairs

Lesa Beverly, Chair of Mathematics and Statistics

Cleo House, Director of the School of Theatre

Lynda Langham, Registrar

Compliance Matrix

The following compliance matrix was created to assist the responsible parties in carrying out their duties as related to the compliance obligations of the university. The matrix is designed to further the coordination and documentation efforts of existing and ongoing compliance initiatives at the state level. The matrix is broken down into different compliance areas followed by the departments responsible for ensuring compliance, representative issues associated with the compliance area and applicable state laws.

For information regarding compliance with federal laws, please refer to the Higher Education Compliance Alliance Compliance Matrix (http://www.higheredcompliance.org/matrix/) (HECA). Additionally, as the recipient of federal grant funds, the university is also required to certify compliance with various federal laws and regulations. Responsibility for each of those areas may be found in the Federal Assurance Responsible Party matrix.

SFA Compliance Matrix

Compliance Area

Cognizant Policy Officer

Compliance Partner(s)

Representative Issues

Applicable State Laws

Academic Programs Provost & VP for Academic Affairs Associate Provost,
Deans, Academic Unit Heads
Externships/internships and Placement; Constitution Day; Releases/Waivers; Non-Discrimination; Immigration Issues/Visas; Domestic and Foreign Programs Off-Campus; Faculty Re-Appointments, Promotion and Tenure, Development Education and Texas Success Initiative, Language Proficiency 19 Tex. Admin. Code §§ 4.10, .51-.60; Tex. Educ. Code § 51.3062; Tex. Educ. Code § 51.942(d); Tex. Gov't Code § 51.917
Accounting VP for Finance & Administration Director of Budget,
Director of Financial Services, Controller
Institutional Conflict of Interest; State Accounting; Fiduciary Obligations; Investments Tex. Educ. Code Ch. 51; Tex. Educ. Code Ch. 52; Tex. Educ. Code Ch. 54; Tex. Educ. Code Ch. 55; Tex. Educ. Code Ch. 56; Tex. Educ. Code Ch. 62; Tex. Educ. Code Ch. 101; Texas Constitution, Article 7; Tex. Admin. Code, Title 19, Part 1, Chapters 4, 13, 14, 21, 22, & 23
Accreditation Provost & VP for Academic Affairs Associate Provost, Deans, Academic Unit Heads Institutional Assessment SACSCOC requirements
Admissions Provost & VP for Academic Affairs Executive Director of Enrollment Management, Assistant Directors Automatic Admissions; Bacterial Meningitis Vaccinations Requirements Tex. Educ. Code § 51.803-.804; Tex. Educ. Code § 51.9192
Athletics Athletic Director Athletic Director, Senior Associate Athletics Director for External Affairs, Senior Associate Athletics Director for Compliance, Assistant Athletic Director/SWA Title IX; Liability (incl. consent/release forms); Trainers; Recruiting; NCAA; Student Records; Transportation; Summer Camps Tex. Educ. Code § 51.976; Tex. Fam. Code §§ 261.001-.111; Texas Department of State Health Services Approved Training Programs
Auxiliary Services VP for University Affairs Director of Student Services, Athletic Director, Dean of Student Affairs Food Vendor Relations; Public Health Inspections; Service of Alcohol; ADA/504 in Dining; Summer Camp and Special Events; Releases/ Waivers and Facilities Use Forms; Indemnification; Parental Consent Forms; Appropriate Supervision; Insurance; Textbook Alternatives Texas Alcoholic Beverage Code; Tex. Educ. Code §§ 37.151-.157, 51.9361; Tex. Educ. Code § 51.950; Campus Programs for Minors
Campus Safety/Emergency Management VP for University Affairs Chief of Police Clery Act Reporting; Emergency Planning; Incident/Accident Investigations; Law Enforcement Records/Student Records; Missing Student Notification; Applicability of Criminal Laws; Local Agency Relations; Public Health Issues; Transportation; Goods & Supplies; Communications; Documented Plan Tex. Health & Safety Code §§ 502.001-.019; Tex. Health & Safety Code Ch. 361;Tex. Educ. Code §§ 51.201-.211; The Texas Emergency Management Plan, Governor's Division of Emergency Management; Texas Hazardous Substances Spill Prevention and Control Act, Tex. Water Code §§ 26.261-.267; Texas Disaster Act of 1975, Tex. Gov't Code §§ 418.001-.191; Tex. Gov't Code §§ 433.001-.007; Executive Order by the Governor, Exec. Order RP32 or current version; Tex. Att'y Gen. Op. No. MW-140 (1980)
Contracts & Procurement VP for Finance & Administration General Counsel, Director of Procurement and Property Services, Assistant Director of Research and Graduate Studies Conflict of Interest; Contract Administration Policy; Compliance Provisions in Contracts (e.g. FERPA, HIPAA, GLB, Intellectual Property); Best Value Procurement; HUB; Payment to Vendors; Property Management; Interagency Cooperation; Membership Dues; Nepotism Prohibitions; Export Control Tex. Gov't Code § 2107.008; Tex. Gov't Code § 2252.903; Tex. Gov't Code § 2252.901; Tex. Gov't Code Ch. 2254; Tex. Gov't Code Ch. 2252.901; State Comptroller Fiscal Policies and Procedures; Tex. Educ. Code §§ 51.9335, .9337; Tex. Gov't Code § 572.069; Tex. Gov't Code § 669.003; Tex. Gov't Code §§ 2252.001-.004, .901; Tex. Gov't Code Ch. 2161; 34 Tex. Admin. Code §§ 20.281-.298; Tex. Gov't Code Ch. 2251; Tex. Gov't Code §§ 2261.253; 2 CFR §§ 200.317-.326; Tex. Gov't Code §§ 403.2715, 403.272, 403.273(h), 403.275; Tex. Gov't Code § 2054.003(3)(A); Tex. Gov't Code §§ 2175.304, .905, .908; Tex. Gov't Code § 2203.004; Tex. Gov't Code Ch. 771, 791; Tex. Const. art. XVI, § 21; Tex. Gov't Code § 2113.104; Tex. Gov't Code Ch. 573; 15 CFR 730-774
Disabilities VP for University Affairs Director of Disability Services Employee, Student and Visitor Access/Accommodations under ADA/504; Service and Emotional Support Animals; Web Accessibility 1 Tex. Admin. Code Chapter 213; Health and Safety Code Title 7; Texas Commission on Human Rights Act, Tex. Lab. Code §§ 21.051-129
Diversity/Affirmative Action VP for Finance & Administration Director of Human Resources, General Counsel ADA; ADEA; Title VI and Title VII; Section 504; Title IX; Academic and Work Environment; Policies and Complaint Reporting/Investigation Systems; Training of University Officials; Hiring/Promoting Criteria and Process; Affirmative Action Tex. Hum. Res. Code §§ 121.001, .003(f); Tex. Gov't Code §§ 657.002-.007; Tex. Lab. Code Ch. 21; Tex. Const. Art I, § 3a; Texas General Appropriations Act
Environmental Health & Occupational Safety VP for Finance & Administration Director of Environmental Health, Safety, & Risk Management Vehicle, Fire, Building and Facilities Safety/Codes; OSHA/Workplace Safety; Workers' Compensation; Chemicals; Waste Management; HazMat; Lab Safety; EPA Regulations ; Indoor Air Quality; Safety Trainings; Emergency Plans; Insurance SORM Rules; Tex. Gov't Code §§ 2165.301-.305; 28 Tex. Admin. Code Ch. 251-252; Tex. Ins. Code Ch. 1305; 25 Tex. Admin. Code Ch. 289
Ethics President General Counsel Conflicts of Interest, Bribery, and Gifts; Official Misconduct & Misuse of State Property; Lobbying; Disclosures; Nepotism Tex. Gov't Code §§ 403.271(a)-.278, 552.352, 556.004-.009, 2203.004, 2254.032, 2262.004, Ch. 553, 572-573, 2256; Tex. Penal Code Ch. 36, § 39.02; Tex. Educ. Code §§ 51.912, .923; Tex. Gov't Code § 572.051
Financial Aid Provost & VP for Academic Affairs Director of Financial Aid Awards/Disbursements; Institutional Eligibility for Title IV Funds; Obligations Under Title IV; Federal Work Study; Code of Conduct Tex. Gov't Code § 572.051; 19 Tex. Admin. Code §§ 21.45-.49
Fiscal Management VP for Finance & Administration Controller, Director of Financial Services, Director of Procurement and Property Services, Director of Administrative Services Cash; Credit & Debit Cards; Allowable Expenses; Property Inventory; System Controls; Accounts Payable/Receivable; Purchasing; PCI DSS Tex. Educ. Code Ch. 51; Tex. Educ. Code Ch. 52; Tex. Educ. Code Ch. 54; Tex. Educ. Code Ch. 55; Tex. Educ. Code Ch. 56; Tex. Educ. Code Ch. 62; Tex. Educ. Code Ch. 101; Texas Constitution, Article 7; Tex. Admin. Code, Title 19, Part 1, Chapters 4, 13, 14, 21, 22, & 23
Fundraising & Development VP for University Advancement Associate Director of Development Donor Gifts; Gift Restrictions; Confidentiality; Volunteers; Charitable Substantiation Rules Substantiation and Disclosure Provisions; Charitable Registration Laws (States); Tex. Educ. Code §§ 51.001-.009, 95.34, Ch. 101; Uniform Prudent Management of Institutional Funds Act, Tex. Prop. Code Ch. 163; Uniform Prudent Investor Act, Tex. Prop. Code Ch. 117; Texas Public Funds Investment Act, Tex. Gov't Code Ch. 2256; Tex. Penal Code Ch. 36; Tex. Gov't Code § 2255.001
Governance Board of Regents General Counsel Transparency; Conflicts of Interest; BOR Rules and Regulations; Regent Duties and Responsibilities; Ethics; Evaluation Open Meetings Act; Tex. Educ. Code § 51.352, Chapters 95 and 101; SACSCOC requirements; Good Governance practices
Grants Management Provost & VP for Academic Affairs Assistant Director of Research & Sponsored Programs Pre-Award Requirements; Effort Certifications; Post-Award Requirements; Financial Reporting; Regulatory Review/Approval Texas Uniform Grant Management Standards II (B) (11) (h) (1-5, 7); Tex. Educ. Code § 145.001; Tex. Educ. Code §§ 62.091-.098; 19 Tex. Admin. Code §§ 13.120-.127; Tex. Educ. Code § 141
Health Care & Insurance VP for Finance & Administration Director of Environmental Health, Safety, & Risk Management, General Counsel Required/Recommended Types, Scope & Coverage Limits; Incident Reporting; Required & Best Practices for Covered Compliance Areas; Indemnity; Insurance Certificate Tracking SORM guidelines; Texas Tort Claims Act
Housing VP for University Affairs Director of Residence Life Residential Life; Emotional Support Animals; Bacterial Meningitis; Vaccination Requirements; Student Discipline ADA/504/FHA; Tex. Educ. Code § 51.9192
Human Resources VP for Finance & Administration Director of Human Resources Employment Benefits & Leaves; FMLA; USERRA; Wage/Hour; Personnel Policies; Recruiting/Hiring; Supervisor Training; Termination/Departure/Early Retirement; Immigration; Affirmative Action; Dual Employment; Employment Records Tex. Gov't Code § 411.1405; Tex. Gov't Code § 672.001; Tex. Civ. Prac. & Rem. Code § 106.001; Tex. Hum. Res. Code §§ 121.001, .003(f); Tex. Gov't Code §§ 657.002-.007; Tex. Lab. Code Ch. 21; Tex. Const. art I, § 3a; Texas General Appropriations Act; Tex. Const. art. XVI,; Tex. Gov't Code §§ 667.001-.007; Tex. Gov't Code, §§ 656.001, .024-.026; Tex. Gov't Code § 552.024; Tex. Gov't Code § 572.051(c-d); Tex. Educ. Code § 51.215; Tex. Gov't Code § 411.094; Tex. Gov't Code § 651.005 Tex. Gov't Code § 815.402
Immigration Provost & VP for Academic Affairs, VP for Finance & Administration Director of International Programs, Director of Human Resources, Controller Study Abroad; Foreign Scholars & Students; Visiting Artists/Lecturers; Immigration (Taxes & SEVP) Tex. Educ. Code Ch. 51; Tex. Educ. Code Ch. 52; Tex. Educ. Code Ch. 54; Tex. Educ. Code Ch. 55; Tex. Educ. Code Ch. 56; Tex. Educ. Code Ch. 62; Tex. Educ. Code Ch. 101; Texas Constitution, Article 7; Tex. Admin. Code, Title 19, Part 1, Chapters 4, 13, 14, 21, 22, & 23; Tex. Gov't Code §§ 673.001-.002
Information Technology VP for University Affairs Chief Information Officer Internet File-Sharing; DMCA Agent; Appropriate Use/Access; Email Privacy; Network Security; PCI DSS; Web Accessibility; Export Controls; Records Retention; Response to Law Enforcement/Agency Inquiries; Access to and Production of Public Information; Response to Subpoenas Tex. Gov't Code §§ 441.180-.205; 13 Tex. Admin. Code Ch. 6; Tex. Educ. Code § 51.912; Tex. Gov't Code Ch. 552; 1 Tex. Admin. Code §§ 202.1-.2, .70-.78; Texas Information Resources Management Act; Tex. Gov't Code Ch. 2054; 1 Tex. Admin. Code §§ 202.70-.78; Tex. Penal Code §§ 39.01-02
Intellectual Property & Technology Transfer VP for University Affairs, VP for University Advancement, Athletic Director General Counsel, Executive Director of University Marketing Communications, Chief Information Officer, Senior Associate Athletics Director for External Affairs Copyrights; University Marks; License Agreements; DMCA; PTP; ASCAP/BMI Licenses Tex. Educ. Code § 51.912; Tex. Bus. & Com. Code §§ 16.01-16.31
International Activities and Programs Provost & VP for Academic Affairs Director of International Programs Immigration; Language Proficiency; Study Abroad Tex. Gov't Code § 51.917
Privacy and Information Security President Registrar, Director of Health Clinic, Director of Counseling Services, Director of Human Resources, Controller, Chief Information Officer, General Counsel Student Records; Employee Medical Records; Personal Financial Information; Employee Protected Health Information; Credit Card Information; Information Security Program; ITAR/EAR; Identity Theft Program; Background Checks Records; Public Information Act State privacy laws; Tex. Gov't Code §§ 441.180-.205 Ch. 552; 13 Tex. Admin. Code Ch. 6; Tex. Educ. Code Ch. 51; Tex. Educ. Code Ch. 52; Tex. Educ. Code Ch. 54; Tex. Educ. Code Ch. 55; Tex. Educ. Code Ch. 56; Tex. Educ. Code Ch. 62; Tex. Educ. Code Ch. 101; Texas Constitution, Article 7; Tex. Admin. Code, Title 19, Part 1, Chapters 4, 13, 14, 21, 22, & 23; Tex. Health & Safety Code Ch. 611
Research Provost & VP for Academic Affairs Chair of IRB, Dean of Research and Graduate Studies, IACUC Chair, Biosafety Chair, Compliance Coordinator Human Subjects (IRB); Animal Use & Care; Scientific Misconduct; Informed Consent; ITAR/EAR (Export Controls) Ethical Principles and Guidelines for the Protection of Human Subjects in Research: The Belmont Report
Sexual Misconduct VP for University Affairs Director of Human Resources, Chief of Police, Senior Woman Administrator, Dean of Student Affairs, CEO/Principal SFA Charter School Training & Prevention Programs Concerning Gender Based Discrimination, Sexual Harassment, Sexual Violence, Interpersonal Violence, and Stalking; Investigation and Response to Complaints of Gender Based Discrimination, Sexual Harassment, Sexual Violence, Interpersonal Violence, and Stalking Tex. Lab. Code Ch. 21; Tex. Penal Code § 39.03; Tex. Educ. Code §§ 51.9363-.9366
Student Health and Counseling VP for University Affairs Director of Health Clinic, Director of Counseling Services Health Center and Counseling Center; Troubled Students; State & Local Reporting; Medical Insurance Billing Texas Counseling Association Ethical Code; Tex. Fam. Code Ch. 32; Texas State Board of Examiners of Professional Counselors-Rules and Regulations; Texas State Board of Examiners of Marriage and Family Therapists-Rules and Regulations; National Board of Certified Counselors Code of Ethics; American Counseling Association Code of Ethics
Student Life VP for University Affairs Dean of Student Affairs Student Travel; Student Code of Conduct; Student Discipline; Risk Management; Assumption of Risk; Greek Organizations; Hazing; Constitution Day; Citizenship Day; Drug & Alcohol Abuse Prevention Program Report Tex. Educ. Code § 51.9361; Tex. Educ. Code § 51.936; 36 U.S.C. § 106; § 111 of Division J of Pub. L. 108-447, the Consolidated Appropriations Act, 2005, Dec. 8 2004; 118 Stat. 2809, 3344-45 (§ 111); 20 U.S.C. § 1011i; 34 C.F.R. § 86.100
Tax VP for Finance & Administration Controller, General Counsel, Director of Financial Services, Director of Administrative Services 501(c)(3) Issues; 990 Issues; State Taxes; Tax Reporting Obligations; UBIT; Benefit Plans; Fringe Benefits; Income Tax Withholding; Bond/Debt. Mgmt.; Restrictions on Political Campaigns, Events, Legislative Liaison Matters, etc. Tex. Educ. Code Ch. 51; Tex. Educ. Code Ch. 52; Tex. Educ. Code Ch. 54; Tex. Educ. Code Ch. 55; Tex. Educ. Code Ch. 56; Tex. Educ. Code Ch. 62; Tex. Educ. Code Ch. 101; Texas Constitution, Article 7; Tex. Admin. Code, Title 19, Part 1, Chapters 4, 13, 14, 21, 22, & 23