INSTITUTIONAL EFFECTIVENESS

Compliance Program

Definition

"Compliance program" means a process to assess and ensure compliance by the officers, employees, agents, contractors, sub-

contractors, or other persons acting on behalf of an institution of higher education with applicable laws, rules, regulations, and policies, including matters of:

1. Ethics and standards of conduct;

2. Financial reporting;

3. Internal accounting controls; or

4. Auditing.

Education Code 51.971(a)(1)

Confidentiality Procedures

An institution of higher education, including a college district, that maintains a compliance program may establish procedures, such as a telephone hotline, to permit private access to the compliance program office and to preserve the confidentiality of communications and the anonymity of a person making a compliance report or participating in a compliance investigation.

Unless the information relates to an individual who consents to disclosure of the information, the following are confidential:

1. Information that directly or indirectly reveals the identity of an individual who made a report to the compliance program office of an institution of higher education, sought guidance from the office, or participated in an investigation conducted

under the compliance program; and 2. Information that directly or indirectly reveals the identity of an individual as a person who is alleged to have or may have planned, initiated, or participated in activities that are the subject of a report made to the compliance program office of an institution of higher education if, after completing an investigation, the office determines the report to be unsubstantiated or without merit. Information is excepted from disclosure under Government Code

Chapter 552 (Public Information Act) if it is collected or produced in a compliance program investigation and releasing the information would interfere with an ongoing compliance investigation. Information made confidential or excepted from public disclosure by this section may be made available to the following on request in compliance with applicable law and procedure:

1. A law enforcement agency or prosecutor;

2. A governmental agency responsible for investigating the matter that is the subject of a compliance report, including the

Texas Workforce Commission civil rights division or the federal Equal Employment Opportunity Commission; or

3. An officer or employee of an institution of higher education who is responsible under institutional policy for a compliance

program investigation or for reviewing a compliance program investigation.

Education Code 51.971(b)–(f) [See GCA]

Conservator for Gross Fiscal Mismanagement

On the governor’s request, the Coordinating Board with the advice and assistance of the state auditor shall determine if a condition of gross fiscal mismanagement exists at a public junior college. If the Coordinating Board finds a condition of gross fiscal mismanagement of a public junior college, the governor by proclamation may appoint a conservator for the college.

Except as otherwise provided by Government Code Chapter 2104, Subchapter D, herein, a conservator shall act as conservator of a public junior college in the manner provided by Government Code Chapter 2104 for conservatorship of state agencies by a conservator.

Gov’t Code 2104.031

Gross Fiscal Mismanagement

“Gross fiscal mismanagement” includes:

1. Failure to keep adequate fiscal records;

2. Failure to maintain proper control over assets;

3. Failure to discharge fiscal obligations in a timely manner; and

4. Misuse of state funds.

Gov’t Code 2104.001(2)

Duration

A conservatorship of a public junior college continues until the earlier of:

1. The governor’s issuing of a proclamation declaring that the condition of gross fiscal mismanagement no longer exists and

that the conservatorship is dissolved; or

2. The Coordinating Board’s finding and certifying to the governor that the condition of gross fiscal mismanagement no

longer exists, in which case the conservatorship is dissolved.

Gov’t Code 2104.033

Review of Budget and Operations

The Coordinating Board may periodically review the effectiveness and efficiency of the budgets and operations of public junior colleges. A review may be initiated by the Coordinating Board or at the request ofthe governor or the public junior college.

A review may be initiated by a public junior college only at the request of the president of the college or by a resolution adopted by a majority of the governing body of the college. If a review is initiated by a public junior college, the college shall pay 25 percent of the cost incurred in conducting the review. The Coordinating Board shall:

1. Prepare a report showing the results of each review conducted under this section;

2. File the report with:

a. The chief executive officer of the public junior college

that is the subject of the report;

b. The governor;

c. The lieutenant governor;

d. The speaker of the house of representatives;

e. The chairs of the standing committees of the senate and of the house of representatives with primary jurisdiction

over higher education; and

f. The commissioner; and

3. Make the entire report and a summary of the report available to the public on the internet.

Until the Coordinating Board has completed the review, all information, documentary or otherwise, prepared or maintained in conducting the review or preparing the review report, including intra-agency and interagency communications and drafts of the review report or portions of those drafts, is excepted from required public disclosure as audit working papers under Government Code 552.116. [See GCA] This provision does not affect whether information described by this provision is confidential or excepted from required public disclosure under a law other than Section 552.116.

Gov’t Code 322.0165

Coordinating Board

Office of the

Ombudsman

The Coordinating Board shall establish the Office of the Ombudsman to serve as an intermediary between the legislature and the public and college districts and other institutions of higher education, including by answering questions from the legislature and the public regarding the obligations of an institution of higher education to students, faculty, employees, and the public. The ombudsman shall serve as the director of compliance and monitoring. Education Code 61.031(a)-(b)

Complaints

A student or faculty or staff member at an institution of higher education who has reason to believe an institution of higher education has failed to comply with a provision listed below may submit a written complaint to the office in accordance with Education Code 61.031. Education Code 61.031(d)

The office shall receive and, if necessary, investigate the complaints regarding an institution of higher education’s failure to comply with:

1. Education Code 51.315, addressing general education curriculum review; [See EFAA]

2. Education Code 51.3522, addressing a faculty counsel or senate; [See BGC]

3. Education Code 51.3525, addressing diversity, equity, and inclusion initiatives; [See BG, DAA, and FA]

4. Education Code 51.3541, addressing the president’s responsibility to conduct annual evaluations; [See DLA]

5. Education Code 51.9431, addressing grievance, hiring, and decision-making authority [See DC, DGBA, and DH]; and

6. Education Code 61.0522, addressing the general education curriculum advisory committee established by the Coordinating

Board.

Education Code 61.031(c)

Response to Complaint

The governing board of the institution shall respond to a complaint of noncompliance not later than the 175th day after the date the governing board receives notice from the office unless the office has granted an extension for good cause. Education Code 61.031(g)

Authorized Actions

The office may:

1. Issue a civil investigative demand in the same manner as the procedures prescribed by Civil Practices and Remedies Code

Chapter 140B, Subchapter B, for civil investigative demands issued by the attorney general or a local prosecuting attorney

under Subchapter B; and

2. Require cooperation from an institution of higher education in an investigation under Education Code 61.031 if the office determines a complaint of noncompliance with a provision listed in Education Code 61.031(c) is credible.

Education Code 61.031(n)

Response to Requests for Information

If the office requests information from the institution as part of its investigation, the governing board of the institution shall respond in writing to the office’s written request for information not later than the 30th day after the date the institution receives the request. This provision may not be construed to require an institution to provide privileged information to the office. Education Code 61.031(h)

Investigation Report

Based on findings related to an investigation under this section, the office shall submit to the governing board of the institution of higher education that is the subject of the investigation a report on the investigation that includes the office’s final determination regarding the investigation and recommendations based on the conclusions of the investigation. Education Code 61.031(i)

Withholding Funds

If the office determines the governing board has not resolved any noncompliance issues identified in the report within 180 days after the office submitted the investigation report, the office shall submit to the ombudsman and state auditor a report on the noncompliance that includes the office’s recommendations.

On receipt of the report described above, the ombudsman may recommend to the legislature that the institution of higher education not be allowed to spend money appropriated to the institution for a state fiscal year until the institution’s governing board certifies compliance and the state auditor confirms the institution’s compliance.

Education Code 61.031(k)-(l)