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UTMB Management Responsibilities Handbook

Management (Department Head) Responsibilities

Administration

Statement of Philosophy

Employees of the University of Texas Medical Branch owe a responsibility to the people of Texas in the performance of their duties. High personal and professional standards are critical in fulfilling this responsibility. Employees will be held accountable for their action (or failure to act) and such accountability cannot be delegated to others. All employees of the University of Texas Medical Branch agree to abide by a code of ethics which provides reasonable assurance that the employee will not personally benefit or accept or give favors as a result of his/her position as an employee of the University of Texas Medical Branch.

Accountability

The university administration, including the President, Executive Vice President; all vice presidents, their associates, and assistants; executive directors, and department heads; as well as the deans, their associates and assistants are charged with implementing established policies and procedures so that the University of Texas Medical Branch (UTMB):

•      is well managed,
•      complies with applicable laws and regulations,
•      meets or exceeds the legislature’s and the public’s expectations for how an excellent         institution should perform,
•      complies with accrediting agency requirements and guidelines,
•      maintains sound financial condition,
•      administers policies consistently,
•      is administered fairly and rationally, and
•      appropriately reflects the diversity of the population and the work force of the        community.

The President has delegated, through the vice presidents and deans, to the department heads, administrative and financial responsibility for the operation of their departments.

Department Head Responsibilities

Department heads are accountable for the following department activities:

•      Compliance with all applicable state and federal laws and regulations and with         UTMB  policies and procedures.
•      Maintenance of a sound financial condition of the department and good business         practice within the department.
•      Establishing an effective system of financial and operational controls.
•      Administration of the department consistent with established practices and         principles of fairness, rationality and due process.
•      Administration of human resources to appropriately reflect the diversity of the work                 force.
•      Establishing an effective system to protect information resources and functions from         internal data or programming errors and misuse by individuals within or                 outside the university.

Both department heads and administrators should have a working knowledge of the laws, codes and policies of UTMB and the State of Texas. The institutional support departments, the deans and associate/assistant deans for administration in each school; vice presidents and assistant vice presidents; the executive directors and department heads are responsible for providing expertise and guidance in establishing systems and procedures to carry out the above responsibilities. They are also responsible for providing assistance in problem resolution.

Department Head Delegation

The department head may delegate duties to the department administrator to assist in carrying out his/her administrative and financial responsibilities. However, they cannot delegate accountability. These administrators can serve as chief business and financial officers for their departments, and as such are expected to provide financial advice and assistance to the department head.

Conflict of Interest and Commitment

It is the policy of UTMB that financially interested individuals may not engage in activities that have the potential to directly or indirectly:

1. affect UTMB’s interests;
2. compromise objectivity in carrying out UTMB’s responsibilities;
3. compromise the integrity of scientific research; or
4. otherwise compromise the performance of UTMB responsibilities,

unless the Institutional Conflict of Interest (COI) Committee provides prior approval of such activities and has established a plan to manage and/or monitor the activity. In addition, a covered individual may not, without prior approval, conduct research in the field of his or her UTMB responsibilities externally and in competition with UTMB and its legitimate interests when that research is within the course and scope of his or her UTMB employment.

All faculty and A&P staff must complete an annual evaluation form for possible conflict of interest and disclose, initially and as changes occur, whether or not he/she has direct or indirect financial interest as defined in the Conflict of Interest Policy. This form also requires that persons disclose in advance the number of days they expect to be away from UTMB if this amount exceeds 26 days excluding vacation and sick leave.

The law requires that public employees not exercise their authority in any way that could benefit them in a private financial manner, except as permitted by state law. The Regents’ Rules further state that employees shall not accept or solicit any gift, favor, or service that might reasonably tend to influence them in the discharge of their official duties. Committing the University to a course of action by contract or otherwise, when such action would serve to benefit the individual financially is the essence of conflict of interest.

All faculty and A&P staff must complete an annual.

Avoiding Conflict of Interest Situations

Department heads should take the following precautions to avoid situations which might create conflict of interest:

•      A principal or clinical investigator must disclose, initially and as changes occur,        whether or not he/she has direct or indirect financial interest in the sponsor of        research funded in whole or in part through either a gift, contract or grant from a        nongovernmental entity prior to making any commitment to accept such funding.
•     Conflict of interest should be avoided in all instances of outside employment.        However, conflict of interest in an academic institution is outside activity which        intrudes upon the academic functions of teaching, scholarly activities, and service to the        institution, including delivery of patient care.
•     Faculty and staff should be encouraged to discuss any potential conflict of interest       situations with the department head or administrator and/or other campus office, such as       Office of Institutional Compliance, Equal Opportunity and Diversity, Legal Affairs, Audit       Services, or the Office of the Vice President for Research.

Problem Resolution

Employee performance appraisals should be provided for all employees. Performance appraisals should include written goals and objectives which define accountability and responsibility. Performance appraisals should include clear expectations and standards against which performance can be evaluated. These goals and objectives should ensure that all employees, faculty, administrative/professional staff, and classified staff can receive timely and honest feedback regarding their performance.

It is a fundamental policy that no UTMB employee, including a department head, administrator, supervisor, or manager, shall not ask or expect another employee to do anything that is in conflict with the law, with UTMB policy, or with any University of Texas System policy.

All UTMB department heads, administrators and managers must be responsive to complaints. If ethical problems or conflicts arise that cannot be resolved between the employee and the immediate supervisor, it is expected that the appropriate department head, dean, or vice president will fulfill his/her administrative responsibility to see that the problem is resolved.

If this recourse fails, UTMB recognizes the right of the employee to use the campus formal complaint resolution, including mediation and the grievance and appeal policies. It is imperative that management be responsive to early warnings of alleged ethical or legal improprieties raised by employees. Employees who raise issues for investigation are protected from retaliation.

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