AF(LEGAL) - INSTITUTIONAL EFFECTIVENESS

Compliance Program

Definition

  1. Ethics and standards of conduct;
  2. Financial reporting;
  3. Internal accounting controls; or
  4. Auditing.

Education Code 51.971(a)(1)

Confidentiality Procedures

  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.
  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.

Conservator for Gross Fiscal Mismanagement

Gov't Code 2104.031

"Gross Fiscal Mismanagement"

  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

  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

  1. Prepare a report showing the results of each review conducted under this section;
  2. File the report with:
    1. The chief executive officer of the public junior college that is the subject of the report;
    2. The governor;
    3. The lieutenant governor;
    4. The speaker of the house of representatives;
    5. The chairs of the standing committees of the senate and of the house of representatives with primary jurisdiction over higher education; and
    6. The commissioner; and
  3. Make the entire report and a summary of the report available to the public on the Internet.

Gov't Code 322.0165

North Central Texas College

AF(LEGAL)-LJC

UPDATE 30

DATE ISSUED: 3/27/2015