The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY UPDATE
SECOND QUARTER FISCAL YEAR, 2006
November 16, 2005 through February 15, 2006
Organizational Matters
The Institutional Compliance Committee (ICC) met once during the second quarter. All
members remained the same. The Committee remains at its full membership of ten.
Summary of Quarterly Activity
The ICC received an update on Compliance activities during the quarter. A fraud
questionnaire was completed at the request of the Governor’s office. The Enterprise
Risk Management process is currently at the stage of ranking risks in order to develop
the risk footprint. Members of the Compliance Committee will provide the ranking
information. A summary of exceptions listed in the Compliance Certification Letters for
department heads was provided to the committee. A column was added in the summary
to indicate whether the exception was a repeat from the previous year. The Committee
was also notified that the annual Compliance Awareness Survey is available for faculty
and staff input. The survey and reminders are timed to make the information
comparable to the base data collected in the last fiscal year.
The ICC also received reports on calls received on the hotline and through other
reporting avenues. They were updated on investigations that have been completed
during the quarter and those that are still in process. Compliance reports were provided
in the areas of Training Post completion, Purchasing Non-compliance, ProCard Noncompliance, HUB Non-utilization, payments for vacation and overtime, IRD Security
Acknowledgement return status and Cell Phone Policy compliance.
The ICC was updated on the progress toward completion of the 2005-2006 Compliance
Action Plan. Activities planned through the second quarter of FY 2006 will be
completed or substantially progressing toward completion by the end of the quarter.
Progress toward implementation of BPM 66 was provided to the committee. They were
also given a report on the Time and Effort reporting initiative, including establishment of
a software package to be used for training of parties involved in grants. Software has
been received from UT System, but it needs to be updated to include local data.
Summary of Action Plan Activity
 The Committee will review compliance assurance reports certified by staff and
issue reminders where appropriate to ensure total compliance with the Systemwide compliance initiative.
Deadline: Second Quarter
Status: Complete
Responsible Party: Assistant Compliance Officer

The Compliance Committee will complete the institutional risk assessment
process that was started in the previous fiscal year.
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The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY UPDATE
SECOND QUARTER FISCAL YEAR, 2006
November 16, 2005 through February 15, 2006
Deadline: Second Quarter
Status: In Process
Responsible Party: Compliance Officer and Assistant Compliance Officer

A campus-wide compliance awareness survey will be conducted. Results will be
compared to the previous year survey results.
Deadline: Second Quarter
Status: In Process
Responsible Party: Assistant Compliance Officer

Investigate implementation of a newsletter or occasional email to employees in
order to highlight various compliance topics.
Deadline: Fourth Quarter
Status: Implemented
Responsible Party: Assistant Compliance Officer and Director of Human
Resources

The Committee, compliance staff and other administrative staff will develop and
present training for appropriate UTPB staff on DEFINE, account reconciliation,
human resources, travel related issues and other areas of concern. Job-specific inperson training will be utilized when deemed necessary. The training will reflect
audit findings, best practices and required policies and procedures.
Deadline: Ongoing
Status: In Process
Responsible Party: Compliance Officer and Assistant Compliance Officer

The Committee will receive and review monitoring plan implementation reports,
compliance inquiry line reports and related information regarding the ongoing
operations of the Compliance Program.
Deadline: Ongoing
Status: Ongoing
Responsible Party: Assistant Compliance Officer

Continue to update the Compliance web page as appropriate.
Deadline: Ongoing
Status: Ongoing
Responsible Party: Assistant Compliance Officer
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