The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY REPORT
FIRST QUARTER FISCAL YEAR 2006
September 1, 2005 through November 15, 2005
Organizational Matters
The Institutional Compliance Committee (ICC) met once during the first quarter. One
faculty representative, Dr. Corbett Gaulden, rotated off the Committee and was replaced
by Dr. Lloyd Taylor. All other members remained the same. The Committee continues
at its full membership of ten. A meeting of the ICC was held November 7, 2005 with all
members present except Dr. Susan Lara, V.P. for Student Affairs and Dr. Lloyd Taylor.
Agenda items for the meeting included an update on Compliance activities, update on
hotline options and activity, Compliance reports in several areas, approval of the 20052006 Compliance Action Plan, review of questions for the 2006 Compliance Awareness
Survey and discussion of UTPB’s policy regarding background checks. More detail on
the agenda items is included in the Summary of Quarterly Activity below.
Summary of Quarterly Activity
The ICC was updated on the Enterprise Risk Management Process that was started in
the previous fiscal year. Risks must be identified in three remaining activity areas before
the committee ranks the risks’ impacts and probabilities. The risk footprint for UTPB will
be completed this fiscal year. The Committee was provided results of two surveys—an
assessment of the Compliance Officers and an assessment of the Compliance
Committee. Certification letters for budget heads were requested in August 2005.
Follow-up is taking place this quarter to assure that all letters are submitted.
In early October, a Compliance Peer Review of the UTPB Compliance program was
completed. The final report with management responses was distributed to the
Committee. One recommendation in the report was that the ICC should be updated on
the options for reporting suspected noncompliance issues. This update was conducted
along with reports on compliance issues reported during the quarter. The Committee
recommended that the new option for email reporting of compliance issues should be
implemented and announced in a newsletter-type communication that would also include
the results of the peer review, and FY 2006 training requirements and deadlines.
The ICC was given a verbal report on Training Post completion to date. The Vice
Presidents were encouraged to notify staff members that the completion deadline is
December 31st. Written reports on Purchasing and ProCard non-compliance were
received in addition to the Annual Compliance Report. The Committee approved the
Compliance Action Plan for 2005-2006. They also reviewed the questions for the 2006
Compliance Awareness Survey.
A discussion was held on the University’s policy regarding background checks. The
Provost will discuss with deans the possibility of having background checks on faculty in
areas where students will be required to have a background check prior to being
licensed in their field. The Chief of Police is exploring the acquisition of software to
enable the completion of background checks in-house at a lower cost than having all
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The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY REPORT
FIRST QUARTER FISCAL YEAR 2006
September 1, 2005 through November 15, 2005
checks outsourced. In addition, the committee discussed required on-campus
disclosure of sexual offenders and other criminal offenders.
Summary of Action Plan Activity

The Institutional Compliance Committee will approve a training plan for the
2006 fiscal year including assignment of Training Post modules to new
and continuing staff members.
Deadline: First Quarter
Status: Complete
Responsible Party: Director of Human Resources

Surveys will be completed by the Committee to assess the compliance
program and the compliance officers.
Deadline: First Quarter
Status: Complete
Responsible Party: Assistant Compliance Officer

A self-assessment survey of the program will be completed by the
Compliance Officer. The Compliance program, Compliance Committee,
and Compliance function will be assessed to ensure continual
improvement.
Deadline: First Quarter
Status: Complete
Responsible Party: Compliance Officer

A UT System peer review will be completed.
Deadline: First Quarter
Status: Complete
Responsible Party: Compliance Officer and Assistant Compliance
Officer

The Committee will request individual certification letters from all budget
heads and responsible parties that provide assurance and/or note
exceptions to compliance activities and programs within each area.
Deadline: First Quarter
Status: Complete; residual follow-ups remain
Responsible Party: Assistant Compliance Officer
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