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!
 Are the members of
your department
movie stars in disguise? Consider
participating in the
Compliance Film
Festival! Send your
department’s name,
location and the
name and extension
of a departmental
contact person to:
universitycompliance@pvamu.edu.
Sign up by SEPTEMBER 30TH!
INSIDE THIS
ISSUE:
I I I ,
I S S U E
I
2
Compliance is 2
“Risky” Business
Resilience
Quiz
4
2 0 1 4
Departments Recognized for Cleared, No Audit Findings
A
udits can be challenging and nerve
-wrecking, but four
PVAMU departments are making getting
through the audit process
look easy.
Dr. Alton Johnson, Dean of
the College of Agriculture
and Human Sciences (CAHS)
and Ms. Thelma Pierre, Administrator of the OwensFranklin Health Center, were
recognized during the campus’s Quarterly Compliance
Committee meeting on June
11, 2014 for clearing their departments’ audit findings.
CAHS had two audit findings
and both were cleared during the TAMUS and USDA fol-
low-up reviews. Likewise, the
Owens-Franklin Health Center’s audit finding was cleared
during a recent TAMUS followup review.
The University Compliance
Office also recognized two
departments who recently
completed audits and received no audit findings.
The Athletics Department
(represented by Ms. Alicia
Pete) and KPVU Radio Station (Mr. Fred Washington)
were recognized for their
work in meeting this accomplishment.
ing auditors with the data
necessary to complete their
work.
The University Compliance
Office and the University as a
whole applaud you for your
Ms. Patricia Baughman and
hard work and commitment
Mr. Rod Mireles were recogto compliance!
nized for their continued assistance and support in provid-
Policy Central 2
Policy Spotlight
S E P T E M B E R
WE’VE MOVED!
The University Compliance Office is
now located in the W.R. Banks
Building Suite 224!
Main Line: X 2144
PAGE
2
Policy Central: Recently Approved PVAMU Policies

15.99.03.P1 Ethics in Research, Scholarship and Creative Work
(Rule)

21.05.01.P0.01 Gifts, Donations, Grants and Endowments

21.99.04.P1 Disposition of Abandoned and Unclaimed Personal
Property (Rule)

24.01.06.P0.01 Camps and Enrichment Programs

31.01.01.P1 Compensation Administration (Rule)

31.01.07.P0.01 Direct Deposit of Payroll Payments

33.06.01.P0.01 Flexible Work Arrangements
Policy Spotlight: UAP 33.06.01.P0.01 Flexible Work Arrangements
University Administrative
zation.” Per the policy,
work a flexible work sched-
Procedure (UAP)
the minimum timeframe
ule as long as staff cover-
33.06.01.P0.01 Flexible
for a flexible work sched-
age and supervision re-
Work Arrangements gov-
ule is two months. In ad-
mains sufficient.
erns flexible work sched-
dition, the employee must
For more information about
ules as “[needed] by the
maintain a 40 hour work-
this UAP, please contact
employee, to increase
week with a one hour
the Office of Human Re-
and/or enhance service
lunch break. All regular
sources at x1730.
capabilities of the organi-
employees are eligible to
Compliance is “Risky” Business
UNIVERSITY
“Risk assessment” refers to
achieve growth, continu-
how it needs to allocate its
finding and evaluating
ally improve quality, and
financial and human re-
operational and organiza-
be financially viable. An
sources to minimize its risk
tional risks and taking steps organization can best ac-
to accomplishing those
to minimize those risks. It is
complish this through the
goals (continued on pg.
every organization’s goal
risk assessment process,
3).
to fulfill their mission,
which can help determine
COMPLIANCE
OFFICE
VOLUME
III,
ISSUE
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PAGE
“Risky” Business (continued from page 2)
Risk can be identified in a number of
improper disposal. Perhaps a janitor
ever, sometimes they also need to
ways. It might be identified because
identifies confidential documents
be considered within a risk assess-
a pattern of problems emerged dur-
thrown away, rather than being
ment to determine if additional re-
ing the past year with a particular
shredded as the organization’s poli-
sources (e.g., equipment, people,
program or process. Changes made
cy requires. An individual might iden- processes) need to be dedicated to
to laws or regulations may impact
tify a pattern of approved reimburse- address an area of risk, especially
processes, or new technology may
ment requests that don’t meet re-
have increased risk to an operational quirements, or perhaps he/she bearea. The most important part of the
comes aware of a conflict of interest
process is the discussions that should
with a manager and a vendor rela-
occur at various levels of the organi-
tionship. It’s important to share con-
zation to ensure that all concerns are cerns, either with the supervisor of
brought to light and evaluated.
that area, through chain of com-
Once the risks are identified, they
mand, to the compliance profession-
can be weighed and prioritized, and
al directly, or through the confiden-
a plan can be developed.
tial message line (hotline). The scenarios above are the sort of matters
Everyone has the potential to identify
that can sometimes be addressed
some level of risk within the work they
when there is a pattern of failures
and consequences that occur due
to these failures.
All organizations have risk and all of
us have the potential to identify risk.
What individuals and the organization choose to do about that risk is
important to the success of the organization.
Deann M. Baker, CCEP, CHC, CHRC
early and quickly, without going
do. Housekeeping might identify a
through the compliance professional
potential infection risk because of
or the risk assessment process. How-
STRENGTH
“With the new day comes new strength and new thoughts.” —Eleanor Roosevelt Compliance Professional
3
VOLUME
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ISSUE
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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
re·sil·ience
/riˈzilyəns/
Noun
1. the ability of a substance or object to spring back into
shape; elasticity
2. the capacity to recover quickly from difficulties; toughness
Take a short quiz to find out!
4