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 Institutional Compliance

University of Houston-Victoria
Institutional Compliance Quarterly Report
2007 Calendar Year – 4th Quarter Ending 12/31/07

1. Committee Meetings/Other Organization Matters
   1. Quarterly campus Compliance Committee Meeting held 10/24/07. Minutes posted on the UHV IC website (http://www.uhv.edu/compliance/meetings.asp)
   2. Membership Changes - None
   
   
2. Compliance Audits/Reviews Conducted/Status Reports
   1. Financial Aid - Texas State F/Aid Limited Scope on-site auditor’s report due January 08.
   2. Financial Aid – Scholarship Audit conducted by Internal Auditing. Auditor’s report is pending.
   3. Finance – Provided the State Auditor’s Office (SA0) with information requested for testing the Schedule of Expenditures of Federal Awards
   4. Human Resources – Provided the SAO with detailed information requested for “Agencies Criminal Background Check Process Reporting Form”, (10/07)
   
   
3. Hot Line and Other Fraud Reports
   1. Number of Reports Received this Quarter: 0
   2. Number of Bonafide reports: 0
   3. Number of Reports Resolved: 0
   4. Misc – Employees P-Card was stolen from personal vehicle. Card was recovered. No fraudulent use.
   
   
4. New Risk Assessments (RA) Completed this Quarter
   1. None
   
   
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:
         • Revised UHV Policy D-1, Confidentiality of Student Records. Address directory information for athletes.
      2. BioLab – Students trained for preparing genetically modified plants at the UHV campus, Plant Biotechnology Lab during the quarter. This protocol was used after getting proper permission from USDA. The GMO plants were destroyed by autoclave to avoid environmental contamination.
      3. Business Services – Updated Public Information Act posters in key offices to reflect current OGC procedures. Updated online access for public, including two listings within campus Site Map.
      4. Business Services – Modified the Contract Monitoring Acknowledgment Form to include a listing of a contract’s key deliverables/receivables, including signature of the employee who executes as well as signature of the employee who will be actually monitoring the contract.
      5. Facilities Services – Mandatory Fire Systems Inspections completed. Also conducted mandatory Fire Systems Water Sprinkler test in UHV Center Building.
      6. Finance – To improve campus travel compliance 1) added “frequently Asked Questions” for Travel to the campus wide General Office Procedure Guide, 2) eliminated blanket and regular travel requests under certain conditions when travel is paid from local funds, 3) revised the guidelines for departmental use of the Centrally Billed Transportation Services cost center 4) updated the campus Travel Request Form and Instructions Worksheet.
      7. Finance – Implemented “Travel Cardholder Agreement” to be signed by those cardholders who pay for hotel lodging and certain hotel related expenses when using a travel card.
      8. Finance – Implemented revised “Central Receiving” procedures to assure the safekeeping of UHV property. All IT purchase requests will have specific delivery instructions to University Center.
      9. Financial Aid – Provided required consumer information notifications to students as required by Federal Higher Education Act of 1965 and FERPA . Notification via email dated 10/16/07.
      10. Financial Aid – Director and Accountant reviewed risks and compliance issues associated with acceptance of federal funds and created audit worksheets. Accountant now samples students monthly through PeopleSoft for federal compliance.
      11. Human Resources – Modified staff employment application with new section asking applicants 1)whether they were convicted of a criminal offense and 2) requiring detailed information of offenses (other than traffic violations)
      12. Safety and Risk - Conducted quarterly campus Safety and Risk Advisory Committee meeting on 10/18/07, as part of campus Safety and Risk Mgmt Program and SORM recommended practices. UHSSL/UHSCR members participate via ITV.
      13. Safety and Risk – Monthly Fire Extinguisher inspections, including correction of deficiencies, conducted at UHV and Sugar Land for months of Oct/Nov/Dec.
      14. Safety and Risk - Requested driver’s background checks from Texas Dept of Public Safety to assure that all employees either driving university owned vehicles or renting vehicles under the University name had acceptable driving records, as defined by policy.
      15. Information Technology – Submitted DIR Incident Reports for October and November in accordance with TAC 202, Information Security Standards. December’s report to be filed in January.
      16. Training/CE and Campus Compliance Office – Actively monitored progress reports for employees for completion of mandatory training sessions, notifying supervisors and employees of completion status. Offered incentives to employees to encourage early completion. Employees completing all mandatory training were eligible for entry into $25 Visa Gift Card drawings.
   2. Training Activities
       
      1. Business Services - Coordinated Contract Administration Training conducted by UH Office of Contract Administration via ITV on 11/15/07. 31 employees from 3 sites attended.
      2. Business Services – Campus ProCard Administrator, Travel Coordinators and Senior A/P Supervisor attended J.P. Morgan Chase User Conference 10/16. Topics included fraud resistant cards, other payment uses for P-Cards, use of P-Cards during natural disasters for business continuity and a round table discussion on conducting better P-Card audits.
      3. Finance – Conducted two Travel Processes Workshop at UHSSL and UHV in October. 14 attended.
      4. Finance – Conducted PeopleSoft Travel Voucher Training at UHV. 25 employees attended.
      5. Finance – Conducted three small group training sessions including PeopleSoft New Hire Training at UHV, (3 attended), PeopleSoft Electronic Approval training, (2 attended) and GL Journal Training for 1 employee.
      6. Finance – Accounts Payable Update sessions in October, addressing electronic workflow, the General Office Procedures Guide (GOP) and specific voucher comments requirements for certain expenditures, e.g. business meals, membership payments to keep staff informed for compliance with university policy and procedures. 38 attended.
      7. Human Resources – New employee orientation conducted 11/8/07, 16 employees attended. Orientation addresses EEO and Sexual Harassment training, Campus Safety, Governor’s Program on Fraud Prevention including briefing on MySafeCampus confidential reporting, campus Institutional Compliance Program FERPA and Mandatory Training Program.
      8. International Programs and Special Projects – Four employees attended a variety of international related training and risk oriented sessions at the NAFSA Regional Conference in Austin, 11/2-7/07. The Director also participated in a training session on “Risks in International Education” at A&M University, 10/30-11/
      9. Provost – Presented audio conference training session to faculty in Sugar Land in November. “Plagiarism 101: Keys to Preventing Academic Misconduct.” 6 faculty attended.
      10. Safety and Risk – General Traffic Safety Training session conducted by Victoria Police Department on 10/25. 24 attended.
      11. Safety and Risk – Coordinated two Defensive Driving training sessions at UHV and Sugar Land on 11/14 and 12/14/07. A total of 30 employees completed the state approved training courses including any employees who may drive University owned vehicles.
      12. Safety and Risk – UHDPS conducted two Security Officer meetings during quarter. UHDPS met with UHV Risk Manager and Security Officers on 10/19. On 12/13-14/07 Security Officers from all sites (UHV, UHSCR, UHSSL) completed annual mandatory UHDPS training in Houston.
      13. Student Services – Addressed proper cash handling procedures in staff departmental meeting.
      14. Student Services – Addressed proper handling of monies collect during fundraising events with Student Senate members.
   
    
7. Status of Pending Compliance Activities:
    
   1. Athletics Department- (1) Finalize Athletic Program Handbook, addressing NAIA bylaw requirements. Submit to UHS Risk Management for review. Complete Risk Assessments for external compliance issues. (2) Develop written protocol for athletic injuries during training or games. Status: (1) Athletic Handbook completed (2) Status of internal written protocol for handling athletic injuries unknown.
   2. Business Services – Placing Students on Hold With the State – Current Status: Draft policy and procedures have been completed. Pending formal policy approval by Pres/Cabinet.
   3. Facilities Services – Disposal of State Property – Updating of campus policy in progress. Formal Risk assessment is pending from Facilities Services. Current Status: Unknown
   4. Human Resources - Employee Background Checks – Develop formal campus policy and procedures. Identify “security sensitive” positions. Current Status: Policy and Procedures Under Development.
   5. International Programs and Special Projects– (1) Finalize written policies and procedures for traveling abroad upon OGC review Develop a monitoring plan to insure compliance (2) Develop protocols to be followed in the event of specific events which might occur in any International Program. Protocols will prescribe specific actions in the event of death, serious injury, kidnapping, terrorism or other specific “trigger” events involving UHV students abroad. Current Status: (1) Department has created written policies/procedures but still awaiting OGC review and comment. Intl Education Committee has been reorganized as the Provost’s Advisory Committee on International Programs and Activities. (2) In progress. Protocols to be developed and implemented within the next quarter.
   6. Office of University Advancement – Develop a monitoring plan to insure endowment compliance and proper stewardship of donor funds, avoiding non-compliance with donor restrictions and/or inappropriate use of endowment funds. Complete Risk Assessment of all external compliance issues. Current Status: In Progress. Department working on this with input from the Donor and Alumni relations and Stewardship Office at UH Main. Should be complete within several weeks.
   7. Research Administrator – Implement consistent use of Annual Certificate of Compliance/Conflict of Interest for Academic Staff. Develop a monitoring plan to insure contract/grant compliance, including compliance with OBM Rules, Principle Investigator’s acknowledgement of responsibilities and time and effort reporting. Update existing Risk Assessments. Current Status: Unknown
   8. Safety and Risk Management – Develop campus and off-site plans meeting state requirements, including monthly and annual inspections, and periodic refresher training for all AED devices. Complete Risk Assessment. Current Status: In Progress – to be completed within next quarter.
   9. Safety and Risk Management – In coordination with UHDPS, develop procedures to insure monthly inspections of Fire Extinguisher units at Cinco Ranch location. Current Status: Pending trip to UHSCR to implement. To be completed within next quarter.
   10. Safety and Risk Management – Complete update of campus wide Fire Preparedness Plan and Emergency Evacuation Plans. Current Status: In Progress. Draft plans have been created and will be implemented prior to close of next quarter.
   11. School of Arts and Sciences – UHV and UHSSL Biolabs – (1) Complete a Risk Assessment form for handling and reporting of lab related accidents. Submit to Safety and Risk Officer for review/comment. Include protocol in Lab Safety Manual. (2) Incorporate procedures for unsupervised use of labs into Lab Safety Manual. Current Status: Unknown
   12. School of Nursing – Complete risk assessment(s) and identify external compliance issues associated with new Nursing Program. Develop written policies and procedures as required. Status: Unknown
   13. Student Services – Implement “Risk Management Program for Members and Advisors of Student Organizations”, in compliance with SB 1138, 80th Regular Session, effective 9/1/07. Current Status: In Progress. Compliance procedures expected to be finalized Jan 08.

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, and Athletics. Report

Compiled by: Gregory Fanelli, UHV Compliance Officer.
Source of Information: Campus IC Committee Members and Compliance Officer
Date Report Completed: Jan 7, 2008