WSU Compliance Matrix
The Higher Education Compliance Alliance (HECA) Compliance Matrix lists almost 300 key federal laws and regulations governing colleges and universities.
Using the HECA Compliance Matrix as a guide, the WSU Compliance Matrix identifies the federal laws and regulations applicable to WSU, as well as the WSU Compliance Partners and officials with day-to-day responsibility for the laws and regulations listed.
The WSU Compliance Matrix will be fleshed out as Compliance Partners complete surveys about their compliance responsibilities.
The statutory summaries provide an overview of the law and do not reflect the full breadth of requirements.
The WSU Compliance Calendar is a compendium of required reports available online.
| Compliance Partner | Responsible Officials | Statute Name | Statutory Summary | Reporting Requirements |
|---|---|---|---|---|
| Academic Affairs | Linnea GlenMaye | Higher Education Opportunity Act: Sections 152 and 153 | Requires certain annual disclosures to enrolled and prospective students including transfer of credit policies, diversity statistics, retention rates, employment placement data, and fire safety report. | No deadline mandated, but annually by September 1 is suggested. WSU Office of Financial Aid maintains a Consumer Information web page with the required information. |
| Academic Affairs | Shirley Lefever | Teacher Preparation Programs | Requires institution report on the quality of teacher preparation using the institutional report card prescribed by DoED. | Teacher preparation report must be posted on institution's website. CAEP Annual Reporting Measures |
| Admissions, Strategic Enrollment Management | Bobby Gandu, Aaron Coffey, Carolyn Shaw | Age Discrimination Act of 1975 | Prohibits discrimination based on age in the admission of educational or academic programs or activities that receive federal financial assistance. | None |
| Admissions, Strategic Enrollment Management, and others | Bobby Gandu, Aaron Coffey, Carolyn Shaw, and others | Section 504 of the Rehabilitation Act of 1973 | Prohibits discrimination on the basis of disability at any federally funded institution. This includes admissions, recruitment, educational and academic programs and services, housing and other non-academic programs and services. | None |
| Admissions, Strategic Enrollment Management | Bobby Gandu, Aaron Coffey, Carolyn Shaw | Title IX of the Education Amendment Act of 1972 | Prohibits discrimination on the basis of sex in the admission of education programs or activities receiving federal financial assistance including employment. | None |
| Admissions, Strategic Enrollment Management | Bobby Gandu, Aaron Coffey, Carolyn Shaw | Title VI of the Civil Rights Act of 1964 | Prohibits discrimination based on race, color, or national origin in the admission of educational or academic programs or activities that receive federal financial assistance. | None |
| Assessment, Accreditation and Strategic Planning | Kaye Monk-Morgan | Higher Education Act: Recognition of Accrediting Agency or Association | The association enforces standards that respect the stated mission of the institution and ensures its programs are of sufficient quality for the duration of the accreditation period. WSU is accredited by the Higher Learning Commision of the North Central Association of Colleges and Schools (HLC-NCA). | WSU is on a 10-year review cycle. It's most recent review was during the 2016-2017 academic year. HLC Accreditation Report |
| Athletics | Rege Klitzke | Equity in Athletics Disclosure Act (EADA) | Requires co-educational institutions of postsecondary education that participate in a Title IV federal student financial assistance program and have an intercollegiate athletics program, to prepare an annual report to the Department of Education on athletics participation, staffing, and revenues and expenses, by men's and women's teams. | By October 15 of each year, an institution must make available on request to enrolled students, prospective students and the public, the required EADA Report to be produced under this act. By October 30 of each year, the institution must submit the report to the Secretary of Education. |
| Financial Aid, Financial Operations, Registrar's Office | Sheelu Surender, Robyn Bongartz, Gina Crabtree | Contracts with Third Party Services | Requires institution provide a copy of its contract with third-party Title IV servicers to DoED upon request. | An institution must notify DoED within 10 days of entering into, substantially modifying, or terminating a contract with a third-party Title IV servicer. |
| Financial Aid, Registrar's Office | Sheelu Surender, Gina Crabtree | Higher Education Act: Institutional Assistance and Financial Information for Students | Requires certain annual disclosures to enrolled and prospective students including transfer of credit policies, diversity statistics, retention rates, employment placement data, and fire safety report. | No deadline mandated, but annually by October 1 is suggested. WSU Office of Financial Aid maintains a Consumer Information web page with the required information. |
| Financial Aid | Sheelu Surender, Jeff Bever, Will Fulls | Higher Education Act: Aid Application Verification | Requires institution maintain and use written policies and procedures for verifying information contained in student aid applications. | None |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Audits | Requires institution have an annual independent compliance audit that covers all Title IV HEA program transactions. Audit report must be submitted to Secretary of ED no later than six months after the end of the fiscal year. | WSU's compliance audit is conducted as part of the state's annual Statewide Single Audit. Report available via KLPA Audit Report Library. |
| Financial Aid | Sheelu Surender, Donna Carter, Will Fulls | Higher Education Act: Borrower Defense to Repayment | Establishes DoED may initiate a proceeding to recover the amount of relief granted to the borrower from the institution if loan relief is granted. | None |
| Financial Aid, Financial Operations | Sheelu Surender, Donna Carter, Jeff Bever, Robyn Bongartz | Higher Education Act: Cash Management | Establishes rules and procedures institutions must follow in requesting, maintaining, disbursing, and otherwise managing most Title IV funds. | None |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Code of Conduct | Requires institution participating in Title IV programs have a code of conduct for financial aid practices that prohibits conflicts of interest and published prominently on the university's website. | WSU Financial Aid has a web page dedicated to its mission, vision, and Code of Conduct. |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Cohort Default Rate | Cohort default rates are used to determine institutional eligibility to participate in various Title IV programs. | Cohort default rates for WSU and other institutions are available via DoED database Official Cohort Default Rates for Schools. |
| Financial Aid | Sheelu Surender | Higher Education Act: Eligibility and Certification | Requires institution obtain certification from the Secretary of ED that it's eligible to participate in Title IV assistance programs. | None |
| Financial Aid | Sheelu Surender, Donna Carter, Jeff Bever | Higher Education Act: Entrance and Exit Counseling | Requires exit counseling to borrowers by institutions to include information on repayment plans, debt management, and forbearance programs, among other information. | None |
| Financial Aid | Sheelu Surender, Donna Carter, Will Fulls | Higher Education Act: Federal Supplemental Educational Opportunity Grant Program | Requires annual Fiscal Operations Report and Application to Participate (FISAP) to request funding for Title IV Federal campus-based funds: SEOG, Perkins Loans, Work-Study, and Federal Pell Grants. | FISAP due by September 30. |
| Financial Aid | Donna Carter, Will Fulls | Higher Education Act: Federal Work Study | Requires institution pay 25% of the student's salary. Institution must pay federal or state minimum wage, whichever is higher, for all hours worked. | Institution must reconcile reported student earnings to complete the DoED Fiscal Operations Report (Form 646-1) at the end of the academic year. |
| Financial Aid, Financial Operations, General Counsel | Sheelu Surender, Lois Tatro, Misha Jacob-Warren | Higher Education Act: Financial Responsibility Requirements | Requires institution participating in DoED Title IV programs must be financially responsible as determined by Secretary of ED. | Institution must notify DoED within 10 days of occurrence of event that could affect the institution's financial responsibility. |
| Financial Aid | Sheelu Surender | Higher Education Act: Gainful Employment (GE) | Requires institution certify that a GE program is included in the institution's accreditation and satisfies any state licensing or certification requirements for the occupations for which the program prepares students to enter. | None |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Information Distributed to Students | Requires certain annual disclosures to enrolled and prospective students including transfer of credit policies, diversity, statistics, retention rates, employment placement data, and fire safety report. | No deadline mandated, but annually by September 1 is suggested. WSU Office of Financial Aid maintains a Consumer Information web page with the required information. |
| Financial Aid | Sheelu Surender, Jeff Bever, Julie Scott | Higher Education Act: Net Price Calculator | Requires institution receiving Title IV funds post on the institution's website a net price calculator to help current and prospective students estimate their individual net price at that institution. | WSU Net Price Calculator |
| Financial Aid | Sheelu Surender, Donna Carter | Higher Education Act: PLUS Loans | Requires institution verify certain data and extend loans under specified terms. PLUS loans are available to parents of eligible students. | None |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Institutional and Financial Assistance Information for Students | Requires institution provide each student, upon enrollment, with a separate, clear and conspicuous written notice that provides information on the penalties associated with drug-related offenses. | When a student enrolls and their myWSU account is created, the student receives an automatic message within their account with the required notice, where it remains for future reference. |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Penalties for Drug Violations | Requires institution provide to each student at time of enrollment a written notice that advises the student that a conviction for any drug offense will result in loss of eligibility for Title IV aid. | Drug-Free Schools and Communities Act of 1989 |
| Financial Aid, Financial Operations | Sheelu Surender, Donna Carter, Will Fulls, Robyn Bongartz, Teresa Moore | Higher Education Act: Perkins Loans | Requires annual Fiscal Operations Report and Application to Participate (FISAP) to request funding for Title IV Federal campus-based funds: SEOG, Perkins Loans, Work Study, and Federal Pell Grants. | FISAP due by September 30 |
| Financial Aid | Sheelu Surender | Higher Education Act: Preferred Lenders | WSU publishes a list of Alternative Loan Lenders in lieu of preferred lenders list. | Alternative Loan Lenders |
| Financial Aid | Sheelu Surender | Higher Education Act: Program Participation Agreements | Requires institution publish and make readily available to current and prospective students information about all of its financial assistance programs. | Types of Financial Aid |
| Financial Aid | Sheelu Surender, Will Fulls | Higher Education Act: Record Retention | Specifies retention periods for records related to Title IV, HEA program eligibility and administration. | None |
| Financial Aid | Sheelu Surender | Higher Education Act: Standard of Conduct | Requires institution act as a fiduciary in administering Title IV, HEA programs and establishes penalties for failure. | None |
| Financial Aid | Sheelu Surender | Student Loan Prevention Initiative Act of 1990 | Renders institutions with high default rates on student loans ineligible to participate in certain student loan programs. WSU default rates are low. | None |
| Financial Aid | Sheelu Surender, Will Fulls, Julie Scott, Jeff Bever | Student Right to Know Act | Requires institution publish specified data including graduation rates by July 1. | NCES Spring IPEDS report satisfies July 1 reporting date. |
| Financial Aid, Financial Operations, General Counsel's Office | Sheelu Surender, Will Fulls, Lois Tatro, Misha Jacob-Warren, Jessica Skladzien | Higher Education Act: Section 117 | Requires certain institutions that participate in the Title IV student assistance programs to submit to the Secretary of ED disclosure reports about gifts and contracts received from any foreign source. | By January 31 or July 31 depending on the date of gift or contract. Foreign gifts and contracts are self-reported to the Secretary of ED with all institutions' data available in the Foreign Gift and Contract Report via the DoED website. |
| Institutional Equity and Compliance | Christine Taylor | Clery Act and Violence Against Women Act (VAWA) | Requires collection of information with respect to campus crime statistics and campus security policies, and to maintain a publicly available crime log. | By October 1 of each year, an institution must distribute its Annual Security Report (ASR) to all enrolled students and current employees, and submit the ASR to the Department of Education. |
| Institutional Equity and Compliance | Christine Taylor | Title VII of the Civil Rights Act of 1964 | Prohibits discrimination in hiring, firing, training, promotion, discipline, or other workplace decisions on the basis of race, religion, color, sex, or national origin. Sexual harassment also prohibited under this law. | None |
| Institutional Equity and Compliance, Athletics | Christine Taylor, Becky Endicott | Section 504 of the Rehabilitation Act of 1973 | Prohibits discrimination on the basis of disability at any federally funded institution. This covers admissions, recruitment, educational and/or academic programs and services such as counseling, placement, physical education and athletics, student clubs and organizations. This list is not exhaustive. | None |
| Institutional Equity and Compliance, Athletics | Christine Taylor, Becky Endicott | Title IX of the Education Amendments of 1972 | Prohibits discrimination on the basis of sex in education programs and activities that receive federal financial assistance. | None |
| Institutional Equity and Compliance, Human Resources | Christine Taylor, Judy Espinoza | Age Discrimination in Employment Act of 1967 | Unlawful to fail to hire, discharge, segregate, classify or otherwise discriminate against any individual with respect to compensation, terms, conditions or privileges of employment because of age. | None |
| Institutional Equity and Compliance, Human Resources | Christine Taylor, Judy Espinoza | Equal Employment of Veterans | Requires affirmative action to employ and advance qualified individuals without discrimination based on such status. Also includes a federal subcontracts clause based on same. | None |
| Institutional Equity and Compliance, Human Resources | Christine Taylor, Judy Espinoza | Equal Employment Opportunity - Executive Order 11246 | Prohibits discrimination in employment decisions on the basis of race religion, color, sex, or national origin. Covered institutions must take affirmative action to ensure applicants are treated without regard to such factors. | None |
| Institutional Equity and Compliance, Human Resources | Christine Taylor, Judy Espinoza | Equal Pay Act of 1963 | Prohibits sex-based wage discrimination between men and women in the same establishment who perform jobs that require substantially equal skill, effort, and responsibility under similar working conditions. | None |
| Institutional Equity and Compliance, Human Resources | Christine Taylor, Judy Espinoza | Genetic Information Non-Discrimination Act of 2008 | Unlawful to discriminate against employees or applicants because of genetic information. | None |
| Institutional Equity and Compliance, Human Resources, Disability Services | Christine Taylor, Judy Espinoza, Isabel Medina Keiser | Americans with Disabilities Act of 1990 | Requires reasonable accommodations for employees and students with disabilities. | None |
| International Education | Vince Altum, Julie Christensson | Immigration and Nationality Act of 1952 | Provides regulatory information for students in the U.S. under F and M visas (WSU has no M visa students). | Multiple deadlines depending on circumstances via the SEVIS federal database. |
| International Education, Human Resources | Vince Altum, Tonya Baldwin, HR staff | Immigration and Nationality Act of 1952 | Established the H-1 nonimmigrant visa category for aliens temporarily coming to the U.S. to perform services of an exceptional nature requiring merit and ability. | Multiple deadlines depending on circumstances. |
| International Education | Vince Altum, Julie Christensson | Mutual Educational and Cultural Exchange Act (Fulbright-Hayes Act) of 1961 | Established the J-1 exchange visitor category with the objective "to increase mutual understanding between the people of the United States and the people of other countries by means of educational and cultural exchanges." | Multiple deadlines depending on circumstances. |
| Registrar's Office | Gina Crabtree (in concert with Shocker Store) | Higher Education Act: Textbook Information | Requires disclosure of the course schedule along with the International Standard Book Number (ISBN) of every required and recommended textbook and supplemental material and retail price information to all prospective and enrolled students. | WSU Registrar's Office provides links to information about course materials required in its online Schedule of Courses. |
| Registrar's Office | Gina Crabtree (in concert with Academic Affairs) | Higher Education Act: Credit Hour Definition | Requires definition of a credit hour that meets federal requirements. Registrar's Office assists departments in ensuring course offerings meet stated definition and contact hours. | Credit hour defined in Section 4.08 of WSU Policies and Procedures Manual, Definition and Assignment of Credit Hours. |
| Registrar's Office, Strategic Enrollment Management | Gina Crabtree, Carolyn Shaw | Higher Education Act: Readmission Requirements for Service Members | Requires institutions readmit students who left to join the military. The student must be readmitted in the same academic status with limited exceptions. | None |
| Registrar's Office | Gina Crabtree | Family Educational Rights and Privacy Act (FERPA) | Requires students have the right to inspect their education record, seek correction of an incorrect record, and to consent to release of their record to a third party. Registrar's Office establishes a process to secure student records and for students to authorize release of records or withhold directory information disclosures. | Notification of FERPA Rights concurrent with fall registration is suggested. WSU Registrar's Office sends an annual email to students and maintains a web page dedicated to Notification of FERPA Rights. |