PRAIRIE VIEW A&M
UNIVERSITY
University Compliance Office News
DID YOU
KNOW?
V O L U M E
 The University
Compliance Office
is now online! Visit
us at
www.pvamu.edu/
universitycompliance!
 The University
Compliance
webpage now features a list of UAPs
and Rules that have
been posted and
deleted during the
fiscal year
 Did your department/unit participate in the Compliance Champion
Challenge? Do you
want to know the
results of your onsite survey? Contact Alexia Taylor
at x2118 or altaylor@pvamu.edu.
INSIDE
THIS ISSUE:
Policy Central 2
Policy Spotlight
2
Compliance
Makes a Dif-
2
ference
Compliance
Contacts
4
Compliance
Wordseek
5
I I I ,
I S S U E
I I I
A P R I L
2 0 1 4
Health Center Wins First Annual Compliance Challenge
A
nd the winner is… individual who attended the
the Owens-Franklin most trainings. These awards
Health Center!
went to Ms. Gieseke and Dr.
Ms. Thelma Pierre, Terence Finley, respectively.
Administrator of Health Services and her staff emerged
victorious in PVAMU’s first
Compliance Champion Challenge. The winner of the challenge had to demonstrate
compliance in monthly account reviews and development of departmental procedures. In addition, all employees in the department had to
be current on the five Systemrequired trainings in
TrainTraq. To earn additional points for their
department, a Health
Center staff member
attended all nine of the
training sessions offered
during the week-long
event.
Second place went to
the Office of Disability
Services (Dr. Kay Norman) and third place
went to Auxiliary Services (Ms. Victoria
“Pappy” Gieseke). The
University Compliance
Office also recognized
the first department to
sign up to compete in
the challenge and the
The goal of Compliance
Week 2014 was to heighten
the University’s awareness of
the importance of compliance through a “meet-andgreet” on March 17th and
free, on-campus training opportunities, which were offered Tuesday, March 18th
through Thursday, March 20th.
Training topics included student travel, athletic boosters,
ethics, fraud, waste and
abuse. The capstone of the
week was the Compliance
Awards on March 21st, which
featured guest speaker Dr.
Jairy Hunter, Jr., President of
Charleston Southern University
located in North Charleston,
South Carolina.
You may leave your feedback about Compliance
Week by completing the
feedback survey located on
the University Compliance
Office’s website. The survey
closes April 30, 2014.
Pictured (l to r): Dr. George Wright; Ms. Thelma Pierre; Ms. Liz Mitchell; Ms.
Lydia Cavanaugh; Dr. Michael McFrazier
Photo courtesy of Ms. Christi Landry
PAGE
2
Policy Central: Recently Approved PVAMU Policies

11.03.99.P0.01 Shortened Courses

24.01.01.P0.01 University Golf Cart and Service Vehicle Safety

24.01.01.P0.09 Hazard Communication (HazCom) Program

24.01.01.P0.10 Laboratory Decommissioning

29.01.03.P0.03 Information Resources-Email Usage

29.01.03.P0.04 Information Resources-Intrusion Detection

31.05.01.P1 Faculty Consulting and External Professional Employment (Rule)

33.99.08.P1 Student Employment (Rule)
Policy Spotlight: PVAMU Rule 33.99.08.P1 Student Employment
PVAMU established Rule
33.99.08.P1 Student Employment to oversee the
University’s process for
student employment.
Per the Rule, students
may obtain paid employment as work-study employees, student hourly
employees or graduate
assistants. In order to be
in compliance with workstudy requirements, students may not work more
than 20 hours per week
during a regular semester.
Student hourly employees
may not work over 20
hours each week, and
non-teaching graduate
assistants may not work
more than 25 hours per
week while completing
their graduate coursework.
Similarly, graduate assistants with F-1 visas may not
work more than 20 hours
each week while completing their graduate coursework.
Questions related to this
rule may be directed to the
Office of Human Resources
at 936.261.1730.
Compliance Makes a Difference
UNIVERSITY
Every organization, its pro-
that is considered ac-
lished by authority as a
grams, and workforce
ceptable or desirable;
rule for the measure of
have standards to meet.
something that is very
quantity, weight, extent,
The definition of a stand-
good and is used to make
value or quality.”
ard according to Web-
judgments about the qual- There are also standards
ster.com is: “a level of
ity of other things; some-
for compliance and ethics
quality, achievement, etc.
thing set up and estab-
(continued on pg. 3)
COMPLIANCE
OFFICE
VOLUME
III,
ISSUE
III
PAGE
Compliance Makes a Difference (continued from page 2)
programs. If those standards are
met, it can make a tremendous difference.
of this discussion, the elements are
ness and the expectations for the
broken down further to highlight
conduct of the workforce.
each aspect addressed in the FSG.
The standards established for the
structure of an effective compliance
program are outlined in The 2011
Federal Sentencing Guidelines (FSG)
Manual, Chapter Eight for Effective
Compliance and Ethics Programs.
Each of the elements defined in the
FSG has measurements associated
with it. The guidelines and measurements help judges to determine how
well the compliance and ethics ele-

Governance and high-level
oversight refers to the board of directors receiving reports about compliance program activities. The directors must demonstrate knowledge
and oversight of the program. A high
-level person (a compliance officer
who has proper authority and reporting responsibilities) is designated to
oversee the compliance program.
ment/standard was met, or not met,

and what the consequence will be.
maintaining and publishing policies,
Although the elements are often re-
procedures, and a code of conduct
Establish standards refers to
ferred to as the “seven elements of a that address the risks of doing busicompliance program,” for the sake

Create a fair and ethical culture
refers to establishing incentives tied
to performance for the workforce,
including leadership, to help create
a tone where “doing the right thing”
is evaluated and rewarded.

Open lines of communications
refers to establishing a confidential
reporting line/hotline for misconduct
and surveying the workforce for
feedback.

Education and training refers to
conducting training programs that
cover regulatory (continued on pg. 4)
SELF‐MOTIVATION
“Start where you are. Use what you have. Do what you can.” —Arthur Ashe 3
VOLUME
III,
ISSUE
III
PAGE
4
Compliance Makes a Difference (continued from page 3)
requirements, the roles of the work-

Auditing & Monitoring refers to
compliance officer collaborate to
force, and areas of risk.
ongoing testing of the controls estab-
properly identify and evaluate risks
lished to minimize risks and ensure the
and lessen or eliminate the risks
controls are working.
through well-designed internal con-

Detection, remediation, and en-
forcement refers to screening employees to ensure they have not been
involved in criminal activity, establishing sanctions for non-compliance with
organizational standards and the law,
taking immediate action to address
misconduct, and making corrective
actions to prevent recurrence.


Assessment of effectiveness refers
to evaluating the compliance program elements and how well they
are being met.
Meeting the operational day-to-day
responsibilities and standards and
meeting the compliance and ethics
Risk assessment refers to finding
program standards are related. To
and evaluating operational and or-
implement an effective compliance
ganizational risks and taking steps to
program, it’s important that the lead-
minimize those risk areas.
ership, the general workforce, and the
trols.
An effective and mature compliance
program will be established when
everyone works together as a TEAM
(Together Everyone Accomplishes
More). That’s how compliance makes
a difference.
Deann M. Baker, CCEP, CHC, CHRC
Managing Director
Compliance Advisor Specialists, LLC
University Compliance Office Contacts:
Lydia Cavanaugh, CCEP, Director
lacavanaugh@pvamu.edu
936.261.2155
Alexia Taylor, CCEP
Jacquline Stone, CCEP
Craig Nunn
Sr. Compliance Officer
Compliance Officer
Compliance Officer
altaylor@pvamu.edu
jastone@pvamu.edu
clnunn@pvamu.edu
936.261.2118
936.261.2116
936.261.2117
Janet Smalley, System Ethics & Compliance Officer
janetsmalley@tamus.edu
979.458.6008
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