The University of Texas of the Permian Basin
Institutional Compliance Program
Quarterly Report
For the Quarter Ended May 31, 2007
Section I – Organizational Matters
 A quarterly meeting of the Institutional Compliance Committee was held on May 17, 2007. The
next meeting is scheduled for August 23, 2007
 There were no changes in membership on the Institutional Compliance Committee during the
quarter and there were no changes in the compliance staff.
Section II - Risk Assessment, Monitoring Activities and Specialized Training (Performed by
Responsible Party)
High-Risk Area #1: Research
Responsible Party: J. Tillapaugh, Assistant Vice President for Graduate Studies and Sponsored
Research
Key “A” risk(s) identified:
 Inadequate training about Federal reporting requirements
 Noncompliance with new Federal reporting requirements such as Time and Effort
 Inappropriate use of animal and human subjects, research subjects and materials
Key Monitoring Activities:
A Time and Effort Policy to be included in the UTPB Handbook of Operating Procedures was
presented to the Institutional Compliance Committee on November 30, 2006. The Compliance
Committee approved the policy at its meeting on February 15, 2007 and it has been forwarded to
the Office of General Counsel for review. Nine time and effort reports submitted by Principal
Investigators for the month of March were reviewed for accuracy and concerns were discussed
with the investigators and cleared.
Specialized Training:
The Time and Effort Reporting training program provided by UT System is being customized to
the policy that is currently under consideration. No training was conducted during the third
quarter of FY 2007.
High Risk Area #2: Learning Environment, retention and graduation rates.
Responsible Party: Dr. Susan Lara, Vice President for Student Services
Key “A” risks identified:
 Failure to provide a learning environment for success
 Failure to meet student expectations
 Failure to meet established measures of retention and
 Failure to meet established standards for graduation rates.
Key Monitoring Activities:
 Hired a part time retention officer to meet with students and to organize student files so
appropriate interventions can occur.
 Conducted Noel Levitz Student Satisfaction Survey and shared results with the university
community.
Specialized Training:
 Sponsored a group of eight faculty and staff members to attend a retention conference to learn
more about possible retention efforts.
High Risk Area #3: Recruitment of students
Responsible Party: Dr. Susan Lara, Vice President for Student Services
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The University of Texas of the Permian Basin
Institutional Compliance Program
Quarterly Report
For the Quarter Ended May 31, 2007
Key “A” risks identified:
 Failure to recruit and attract students
Key Monitoring Activities:
 Reviewed weekly reports on applicants and accepted numbers of students
Specialized Training:
 Admissions and financial staff attended training in their fields.
High Risk Area #4: Unsafe student behavior [including drug and alcohol use]
Responsible Party: Dr. Susan Lara, Vice President for Student Services
Key “A” risks identified:
 Students may use drugs and alcohol
 Students may practice unsafe sex and other behaviors
 Students may be at risk for violent attacks and or domestic violence
Specialized Training:
 Provided online modules for at risk students.
 Staff attended a prevention conference for alcohol and drugs put on by TABC.
High Risk Area #5: Inadequate financial information to establish current position and
close out prior year; poor financial rating status; failure to achieve budget assumptions
Responsible Party: Dr. Chris Forrest, Vice President for Business Affairs
Key “A” Risks Identified:
 Inadequate financial information to establish current position and close out prior year
 Bad financial rating status
 Failure to achieve budget assumptions
Key Monitoring Activities:
Weekly meeting with the President, Provost, VPBA, Director of the Office of Accounting and the
Internal Auditor to review current financial position and potential actions that could impact year
end results.
Section III – Monitoring and Assurance Activities (Performed by Compliance Office)
High-Risk Area #1: Research
Assessment of Control Structure: Significant Opportunity for Enhancement
Assurance activity in process:
Audit of Time and Effort Reporting—progress on implementation of BPM 76: preliminary
findings show significant progress needed to comply with required activities.
High Risk Area #2: Learning Environment, retention and graduation rates
Assessment of Control Structure: Opportunity for Enhancement
Monitoring Plan was not in place by the end of the quarter.
High Risk Area #3: Recruitment
Assessment of Control Structure: Opportunity for Enhancement
Monitoring Plan was not in place by the end of the quarter.
High Risk Area #4: Unsafe student behavior [including drug and alcohol use]
Assessment of Control Structure: Opportunity for Enhancement
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The University of Texas of the Permian Basin
Institutional Compliance Program
Quarterly Report
For the Quarter Ended May 31, 2007
Monitoring Plan not in place by the end of the quarter.
High Risk Area #5: Inadequate financial information to establish current position and close out
prior year; Bad financial rating status; Failure to achieve budget assumptions
Assessment of Control Structure: Opportunity for Enhancement
Monitoring Plan was not in place by the end of the quarter.
General Assurance Activity Conducted: Training was held for responsible parties on
preparation of monitoring plans and quarterly reports. One hundred percent of the responsible
parties were trained. Initial monitoring plans were due to be completed by May 31, 2007. Fifty
percent were received by the due date.
Section IV – General Compliance Training Activities
Seven modules of training are delivered through the Training Post for all continuing faculty and staff.
Five additional topics are required for new faculty and staff. Required training was expected to be
completed by December 31, 2006. For FY 2007, a total of 2,534 modules are currently assigned. 95.5%
were completed by May 15, 2007. Follow up is continuing.
Section V – Action Plan Activities
The following Action Plan items were implemented during the quarter just ended:
 The Committee obtained final approval and distributed the revised Standards of Conduct for all
university staff.
 Training was held for Responsible Parties on preparation of monitoring plans for high risks. In
addition, specialized training was completed for the Admissions Office and for all cell phone
users and their supervisors.
 Monitoring plans for the top twenty risks identified in the Tier One Risk Management process
were due May 31, 2007. Fifty percent were received by the due date.
 Thirteen new compliance issues were received by the Assistant Compliance Officer during the
quarter. Three were investigated and closed. The remaining issues are still under investigation.
In addition review was completed on one issue from the previous quarter, and the issue was
closed.
Completion of the following Action Plan items scheduled for previous quarters in FY 2007 were delayed
until subsequent quarters due to required audits, an IRS audit and special projects that demanded the
attention of the Assistant Compliance Officer:
 Implementation of Compliance Committee receipt and review of monitoring plans and quarterly
reports for the top risks identified in the Tier One Risk Management process.
 The Committee will take the revised Compliance Manual to Administrative Council for review in
the fourth quarter 2007. After comments are received, the revision will go to Executive staff for
final approval.
 Revision of a manual for Compliance Committee members to be used for orientation of new
members and a resource for continuing members is in process.
 Distribution of an electronic newsletter to employees has been delayed due to time constraints.
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