The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY UPDATE
THIRD QUARTER FISCAL YEAR, 2006
February 16, 2006 through May 31, 2006
Organizational Matters
The Institutional Compliance Committee (ICC) met once during the third quarter. All
members remained the same. The Committee remains at its full membership of ten.
Summary of Quarterly Activity
An update on Compliance activities during the quarter was presented to the ICC. A draft
risk footprint was provided to the members. A request was made for members of the
committee to review the draft for omissions and for corrections that need to be made in
the rankings. Upon finalization of the footprint, the responsible parties for activities with
risks will be trained on the process of identifying controls and monitoring procedures.
The Compliance Quarterly Newsletter was discussed as well as the results of the
Compliance Awareness Survey that was completed by faculty and staff. Survey results
were compared to the previous year’s responses to the survey that was conducted prior
to promotion of the hotline and other compliance awareness activities. Shifts in the
responses that may have resulted from the awareness activities were pointed out to
committee members. The committee was also informed about a compliance conference
sponsored by UT System. Excellent information was received in the conference.
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, 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 third quarter of FY 2006 are somewhat
behind schedule due to the fact that the Asst. Compliance Officer, who is also Internal
Auditor, had audit priorities that precluded work on some of the scheduled compliance
activities.
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
received from UT System needs to be updated to include local data. The McCombs
School of Business security breach at UT Austin was discussed. The committee was
also provided recent articles that discuss compliance issues.
Summary of Action Plan Activity

The Compliance Committee will complete the institutional risk assessment
process that was started in the previous fiscal year.
Deadline: Second Quarter
1
The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY UPDATE
THIRD QUARTER FISCAL YEAR, 2006
February 16, 2006 through May 31, 2006
Status: First draft of footprint is ready for Compliance Committee review
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: Complete
Responsible Party: Assistant Compliance Officer

The Committee will review and update all high-risk area monitoring plans for
updates and changes as a result of the revised risk assessment
Deadline: Third Quarter
Status: To be done after risk footprint is complete
Responsible Party: Compliance Officer and Assistant Compliance Officer

The Committee will review, update and distribute the Standards of Conduct for all
university staff.
Deadline: Third Quarter
Status: Review and update is in process
Responsible Party: Compliance Officer and Assistant Compliance Officer

The Committee will adopt a revised Compliance Manual for committee members
to be used in orienting new committee members and to be a resource for
continuing members.
Deadline: Third Quarter
Status: In process
Responsible Party: Compliance Officer and 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
in-person 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
2
The University of Texas of the Permian Basin
INSTITUTIONAL COMPLIANCE QUARTERLY UPDATE
THIRD QUARTER FISCAL YEAR, 2006
February 16, 2006 through May 31, 2006

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
3