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 Institutional Compliance

University of Houston-Victoria
Institutional Compliance Quarterly Report
2007 Calendar Year – 2nd Quarter Ending June 30th

1. Committee Meetings/Other Organization Matters
1. 1st Quarter Institutional Compliance (IC) Committee Meeting on 4/18/07. Minutes are posted on  the UHV IC website(http://www.uhv.edu/compliance/meetings.asp)
2. Member Sarah May, representing Institutional Advancement and Endowments, resigned. Robin Cadle will be replacing her.

 

2. Compliance Audits/Reviews Conducted
1. Internal Audit of UHV Financial Aid – General Compliance. Audit in Progress. Final report to be released July 07.
2. Texas State Financial Aid Limited Scope on-site audit scheduled 7/31-8/3/07. Submitting work papers.
3. Small Business Administration conducted its annual site audit of the UHV Small Business Development Center (SBDC). The Center’s financials, compliance with client information and training files were reviewed. There was one recommendation which has since been implemented by the Center.

 

3. Hot Line and Other Fraud Reports
1. Number of Reports Received this Quarter:     1 (non-employee p-card fraud, internet charge of $27.06)
2. Number of Bonafide reports:     1
3. Number of Reports Resolved:   1 (P-Card cancelled w/no loss to university)

 

4. New Risk Assessments (RA) Completed this Quarter
1. Indoor Air Quality Plan (Compliance w/ SORM guidelines)
2. Elevator Passenger Emergency Evacuation Procedures (Compliance w/ASME Code A17 and Texas Health and Safety Code 754.016)
3. Contract Administration (Compliance w/UHS Policy 03.A.05 and applicable State statutes)
4. Placing Students on Hold with the State (Compliance w/ Texas Government Code 403.055(f)

 

5. Risk Assessments Updated this Quarter
1. None.

 

6. Risk Mitigation Implemented This Quarter
1. Policies, Procedures and Other Actions:
1. Initiated, Reviewed, and/or Updated the following institutional policies ( http://www.uhv.edu/fin/policy/Policies_Procedures.htm ) during this quarter:
• A-26, Risk Management Policy (Safety and Risk Management)
• C-29, Time and Effort Reporting (Human Resources)
2. Safety and Risk - Conducted quarterly campus Safety Committee meeting 5/23/07, as part of campus Safety and Risk Mgmt Program and SORM review. 18 attended including UHSSL/UHSCR via ITV.
3. Information Technology – Submitted DIR Incident Reports for April, May, June in accordance with TAC 202, Information Security Standards, as required.
4. Institutional Research – All units submitted 2007-08 annual plan; UHV developed institutional plan 2007-08 (draft) in accordance with Sacs’ recommendations.
5. Institutional Research-Reports required by THECB, LBB, and IPEDS submitted as required.
6. President’s Office- President called Emergency Response Team into session April 19 to review UHV/Sugar Land/Cinco Ranch general security in wake of Virginia Tech incident. Improvements to security are being implemented including Violence Prevention Training through EAP program, improved communication with local law enforcement, implementation of PIER System, upgrading of classroom door hardware at UHV, UHSCR, UHSSL (hardware upgrade pending approval).
7. Facilities Services-Conducted the following inspections and tests during the quarter at UHV: Semi-Annual Fire Alarm inspection, all facilities; Annual Fire Pump Acceptance Test; Annual Fire Water Backflow Test; Semi-annual Fire Sprinkler Inspection.

 

2. Training Activities
1. Business Services – Conducted ProCard Training for five new cardholders.
2. Human Resources – New employee orientations were conducted on 4/19/07 for 8 employees and 6/22/07 for 11 employees. Orientation addresses EEO and Sexual Harassment training, Campus Safety, UHS Internal Controls Video, Governor’s Program on Fraud Prevention including briefing on MySafeCampus confidential reporting, campus Institutional Compliance Program and FERPA.
3. ProCard Administrator- Attended three Smart Data Online (SDOL) P-Card training to coordinate migration from manual to electronic P-card logs.
4. Safety and Risk-Conducted annual Hurricane Safety Awareness training for 31 staff.
5. Admissions and Records-provided June training in 7 sessions to 66 employees on “Viewing and Working with Student Information”. Training included FERPA and how to recognize cross-campus student stops.
6. Finance – Conducted 17 PeopleSoft Training Sessions. Four sessions, attended by 50 employees were on the Electronic Approval process (electronic voucher approvals in lieu of manual signatures).
7. Safety and Risk Management – Fire Extinguisher Safety Training presented to UHSSL employees 5/22/07 by Rod Rodriguez, UHDPS Deputy Fire Marshall.
8. Facilities Services-Conducted Fire panel alarm training for all UHV Maintenance personnel.
9. BioLab-Conducted lab safety training for 15 attending Human Physiology lab.

 

7. Status of Pending Compliance Activities:
1. Athletics Program-Complete risk assessment(s) and finalize policies/procedures related to NAIA campus program. In Progress: Targeted completion date: 8/31/07, prior to start of Fall 07 semester.
2. Nursing and Sponsored Research – Complete risk assessment(s) and identify external compliance issues associated with Nursing Program and Sponsored Research; develop written policies and procedures as required. Status: No progress reported this quarter.
3. International Programs – Complete risk assessment(s) and identify all external compliance requirements associated with International Programs and Special Projects Office; develop written policies and procedures regarding the operation of international programs to insure programs comply with THECB regulations, Board and System policies. Status: In Progress. Program polices and agreements are in draft stages. Target completion date: 8/31/07, prior to start of Fall 07 Semester.
4. Expanded Employee Background Checks – Pending. Human Resources to develop policy and procedures, expanding background checks to include more security sensitive positions. Targeted completion: 8/31/07, prior to start of Fall 07 semester.
5. Disposal of State Property – Formal Risk assessment remains to be completed by Facilities Services. No progress this quarter.
6. Placing Students on Hold with the State – In Progress. Finance department has completed a Risk Assessment and has written draft procedures. Reporting Student Holds has now been transferred to the Bursar’s Office. Targeted completion date: 8/31/07, prior to start of Fall 07 Semester.

Reporting Note:
This report provides a summary of compliance related activities reported by departments serving on the campus IC Committee. These departments generally represent areas of highest risk exposure to UHV. Reporting departments include: Financial Aid, Human Resources, Finance, Facilities Services, Safety and Risk Management, Information Technology, BioLab, Business Services, Student Relations, Admissions, Institutional Research, Community/Alumni Relations, International and Special Projects, Nursing and Sponsored Research, UHSSL and UHSCR Learning Centers and Athletics.

Report Compiled by: Gregory Fanelli, UHV Institutional Compliance Officer.
Source of Information: Campus IC Committee Members and Compliance Officer
Date Report Completed: July 3^nd, 2007