Axe ’Em, Jacks!
SFA Compliance Matrix
The SFA Compliance Matrix was created to assist the responsible parties in carrying out their duties as related to the compliance obligations of the university. It is designed to further the coordination and documentation efforts of existing and ongoing compliance initiatives at the state level.
The following matrix is broken down into different compliance areas with information detailing the departments responsible for ensuring compliance, representative issues associated with the compliance area and applicable state laws.
Academic Programs
Cognizant Policy Officer: Provost/VP for Academic Affairs
Compliance Partners: Associate Provost, Deans and Academic Unit Heads
| Representative Issues | Applicable State Laws |
|---|---|
| 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
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: Controller, Director of Budget and Director of Financial Services
| Representative Issues | Applicable State Laws |
|---|---|
| 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, Chs. 4, 13, 14, 21, 22 and 23 |
Accreditation
Cognizant Policy Officer: Provost/VP for Academic Affairs
Compliance Partners: Associate Provost, Deans and Academic Unit Heads
| Representative Issues | Applicable State Laws |
|---|---|
| Institutional Assessment | SACSCOC requirements |
Admissions
Cognizant Policy Officer: Executive Director of Enrollment Management
Compliance Partners: Enrollment Management Assistant Directors
| Representative Issues | Applicable State Laws |
|---|---|
| Automatic Admissions; Bacterial Meningitis Vaccinations Requirements | Tex. Educ. Code § 51.803-.804; Tex. Educ. Code § 51.9192 |
Athletics
Cognizant Policy Officer: Athletics Director
Compliance Partners: Athletics Director, Senior Associate Athletics Director for External Affairs, Senior Associate Athletics Director for Compliance and Assistant Athletics Director/SWA
| Representative Issues | Applicable State Laws |
|---|---|
| Title IX; Liability (including 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
Cognizant Policy Officer: VP for Student Affairs
Compliance Partners: Director of Student Services, Athletic Director and Dean of Student Affairs
| Representative Issues | Applicable State Laws |
|---|---|
| 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; Youth Protection Program | 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
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partner: Chief of Police
| Representative Issues | Applicable State Laws |
|---|---|
| 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 and Supplies; Communications; Documented Plan | Tex. Health and Safety Code §§ 502.001-.019; Tex. Health and 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 and Procurement
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: General Counsel, Director of Procurement and Property Services, and Assistant Director of Research and Graduate Studies
| Representative Issues | Applicable State Laws |
|---|---|
| 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 | 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 |
Disabilities
Cognizant Policy Officer: Executive Director of Student Development and Access Services
Compliance Partner: Director of Disability Services
| Representative Issues | Applicable State Laws |
|---|---|
| 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
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: Director of Human Resources
| Representative Issues | Applicable State Laws |
|---|---|
| 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 and Occupational Safety
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partner: Director of Environmental Health, Safety and Risk Management
| Representative Issues | Applicable State Laws |
|---|---|
| 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 Chs. 251-252; Tex. Ins. Code Ch. 1305; 25 Tex. Admin. Code Ch. 289 |
Ethics
Cognizant Policy Officer: President
Compliance Partner: General Counsel
| Representative Issues | Applicable State Laws |
|---|---|
| Conflicts of Interest, Bribery and Gifts; Official Misconduct and 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
Cognizant Policy Officer: Executive Director of Enrollment
Compliance Partner: Director of Financial Aid
| Representative Issues | Applicable State Laws |
|---|---|
| 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
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: Controller, Director of Financial Services, Director of Procurement and Property Services, and Director of Administrative Services
| Representative Issues | Applicable State Laws |
|---|---|
| Cash; Credit and 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, Chs. 4, 13, 14, 21, 22 and 23 |
Fundraising and Development
Cognizant Policy Officer: VP for University Advancement
Compliance Partner: Associate Director of Development
| Representative Issues | Applicable State Laws |
|---|---|
| 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
Cognizant Policy Officer: Board of Regents
Compliance Partner: General Counsel
| Representative Issues | Applicable State Laws |
|---|---|
| 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
Cognizant Policy Officer: Provost/VP for Academic Affairs
Compliance Partner: Assistant Director of Research and Sponsored Programs
| Representative Issues | Applicable State Laws |
|---|---|
| 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 and Insurance
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: General Counsel and Director of Environmental Health, Safety and Risk Management
| Representative Issues | Applicable State Laws |
|---|---|
| Required/Recommended Types, Scope and Coverage Limits; Incident Reporting; Required and Best Practices for Covered Compliance Areas; Indemnity; Insurance Certificate Tracking | SORM guidelines; Texas Tort Claims Act |
Housing
Cognizant Policy Officer: VP for Student Affairs
Compliance Partner: Director of Residence Life
| Representative Issues | Applicable State Laws |
|---|---|
| Residential Life; Emotional Support Animals; Bacterial Meningitis; Vaccination Requirements; Student Discipline | ADA/504/FHA; Tex. Educ. Code § 51.9192 |
Human Resources
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partner: Director of Human Resources
| Representative Issues | Applicable State Laws |
|---|---|
| Employment Benefits and 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. and 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
Cognizant Policy Officers: Provost/VP for Academic Affairs and VP for Finance and Administration
Compliance Partners: Controller, Director of International Programs and Director of Human Resources
| Representative Issues | Applicable State Laws |
|---|---|
| Study Abroad; Foreign Scholars and Students; Visiting Artists/Lecturers; Immigration (Taxes and 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; Tex. Const. art. VII; Tex. Admin. Code, Title 19, Part 1, Chs. 4, 13, 14, 21, 22 and 23; Tex. Gov't Code §§ 673.001-.002 |
Information Technology
Cognizant Policy Officer: Chief Information Officer
Compliance Partner: Chief Information Officer
| Representative Issues | Applicable State Laws |
|---|---|
| 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 and Technology Transfer
Cognizant Policy Officers: VP for University Affairs and VP for University Advancement and Athletic Director
Compliance Partners: General Counsel, Executive Director of University Marketing Communications, Chief Information Officer and Senior Associate Athletics Director for External Affairs
| Representative Issues | Applicable State Laws |
|---|---|
| Copyrights; University Marks; License Agreements; DMCA; PTP; ASCAP/BMI Licenses | Tex. Educ. Code § 51.912; Tex. Bus. and Com. Code §§ 16.01-16.31 |
International Activities and Programs
Cognizant Policy Officer: Provost/VP for Academic Affairs
Compliance Partner: Director of International Programs
| Representative Issues | Applicable State Laws |
|---|---|
| Immigration; Language Proficiency; Study Abroad | Tex. Gov't Code § 51.917 |
Privacy and Information Security
Cognizant Policy Officer: President
Compliance Partners: Registrar, Director of Health Clinic, Director of Counseling Services, Director of Human Resources, Controller, Chief Information Officer and General Counsel
| Representative Issues | Applicable State Laws |
|---|---|
| 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, 52, 54, 55, 56, 62, 101; Tex. Const. art VII; Tex. Admin. Code, Title 19, Part 1, Chs. 4, 13, 14, 21, 22 and 23; Tex. Health and Safety Code Ch. 611 |
Research
Cognizant Policy Officer: Provost/VP for Academic Affairs
Compliance Partners: Chair of IRB, Dean of Research and Graduate Studies, IACUC Chair, Biosafety Chair and Compliance Coordinator
| Representative Issues | Applicable State Laws |
|---|---|
| Human Subjects (IRB); Animal Use and 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
Cognizant Policy Officers: VP for Student Affairs and VP for Finance and Administration
Compliance Partners: Director of Human Resources, Chief of Police, Senior Woman Administrator, Dean of Student Affairs, and CEO/Principal of SFA Charter School
| Representative Issues | Applicable State Laws |
|---|---|
| Training and 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
Cognizant Policy Officer: VP for Student Affairs
Compliance Partners: Director of Health Clinic and Director of Counseling Services
| Representative Issues | Applicable State Laws |
|---|---|
| Health Center and Counseling Center; Troubled Students; State and 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
Cognizant Policy Officer: VP for Student Affairs
Compliance Partner: Dean of Student Affairs
| Representative Issues | Applicable State Laws |
|---|---|
| Student Travel; Student Code of Conduct; Student Discipline; Risk Management; Assumption of Risk; Greek Organizations; Hazing; Constitution Day; Citizenship Day; Drug and 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
Cognizant Policy Officer: VP for Finance and Administration
Compliance Partners: Controller, General Counsel, Director of Financial Services, and Director of Administrative Services
| Representative Issues | Applicable State Laws |
|---|---|
| 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, 52, 54, 55, 56, 62, 101; Tex. Const., art VII; Tex. Admin. Code, Title 19, Part 1, Chs. 4, 13, 14, 21, 22 and 23 |