Compliance Certification Report

3.2.6
There is a clear and appropriate distinction, in writing and practice, between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy. (Board/Administration Distiction)
√ Compliant
Partially Compliant
Non-Compliant
Narrative:
The Texas Legislature, which is given the duty and authority to provide for the maintenance, support, and direction of The University of Texas System (1), has delegated the power and authority to administer the System to the UT System Board of Regents (2). The Regents' Rules and Regulations define and make distinctions between the Regents policy-making functions (3), the Chancellorís role (4), and the responsibility of the UTMB President and his/her administration in administering and implementing policy of UTMB (5). The Rules also set out the role of the UTMB faculty in the formulation of educational policy (6).

The Chancellor is the chief executive officer of the UT System and is elected to that office by the affirmative voice of a majority of the UT System Board of Regents in office. The Chancellor reports to and is responsible to the Regents and heads the Systemís Administration, which is used by the board to exercise its governance powers and authorities. The Chancellorís duties include: counseling the board with respect to policies, purposes, and goals of the System; representing the System as deemed appropriate to carry out such policies, purposes, and goals; and interpreting and articulating the Systemís academic, administrative, and developmental policies, programs, needs, and concerns to the general public and other constituencies (4).

The UT System Board of Regents is responsible for selecting the president of each institution with the input of an Advisory Committee (see Comprehensive Standard 3.2.1). The Regentsí Rules and Regulations specifically assign the general authority and responsibility for the administration of each institution to that president and it is the duty of the president to develop and administer plans and policies for the program, organization, and operation of the institution. These include: interpreting System policy to the staff and interpreting the institutionís programs and needs to the System Administration; developing and administering policies related to students; and appointing, or establishing procedures for the appointment of, all faculty, staff, and student committees. It is also the responsibility of the president to develop and implement plans and policies to ensure that the institution remains in compliance with any accreditation requirements appropriate to the institution or its programs.

Subject to the authority of the UT System Board of Regents and the authority that the Board has vested in various administrative officers of the System, the faculty of each institution have a major role in the governance of their institution in the area of general academic policies and welfare, student life and activities, requirements of admission and graduation, honors and scholastic performance, approval of candidates for degrees, and faculty rules of procedure.

The following examples demonstrate the distinctions between the policy-making functions of the Board of Regents and administration and implementation of policy by the UTMB administration and faculty.

Mission Statement: The mission statement for UTMB is prepared at the institutional level and consistent with statutory provisions and approved Table of Programs. It reflects the fundamental purpose of the institution with respect to teaching, research, and public service responsibilities and articulates special concerns regarding quality and access. It is then submitted to the Board of Regents and the Texas Higher Education Coordinating Board (THECB) for approval (7). The UTMB Mission Statement was last reviewed and approved on January 29, 2004 (8).

Fraud and Abuse Hotline: The Regents' Rules and Regulations states that employees can be disciplined or dismissed for unacceptable conduct and outlines the steps of investigation and review (9). UTMB has established a Fraud and Abuse Hotline as a reporting mechanism for identifying improper or illegal conduct of UTMB employees, students, or independent contractors, including breach of patient confidentiality or other violations of patient privacy (10). Individuals who call the Hotline may choose to remain anonymous and UTMB is bound by its legal obligation to protect both the right of those accused of wrongdoing and the rights of their accusers. An administrative process is established by which reports are reviewed, the appropriate site of investigation, and the role of the Office of Institutional Compliance, Audit Services, and Legal Affairs plays in any investigation. This policy reflects the institutional procedures by which to identify unacceptable conduct that meets UT specifications of what comprises ďunacceptable conductĒ but develops these procedures in accordance with the legal and administrative structure of the institution and in such a way that it expands to patient confidentiality and other conducts associated with a health care environment.

Named Professorships and Endowed Chairs: UTMB policies regarding named professors and endowed chairs is sponsored by the Council of Deans and is both a faculty driven and faculty focused policy (11). Although this policy includes reference to the Regentsí Rules and Regulations regarding procedures for endowed chairs (12), the UTMB policies outline how the nominations are to be made in accordance with the structure of the institution, how each of the four schools are to be independently responsible for nominations for their own faculty, and how the nomination progresses towards a formal recommendation to the president and from there to the Board of Regents.
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Source
1
Texas Constitution, Article 7, Section 10
http://tlo2.tlc.state.tx.us/txconst/sections/cn000700-001000.html
2
Texas Education Code, Title 3, Higher Education, Section 65.11 et seq.
http://tlo2.tlc.state.tx.us/statutes/ed.toc.htm
3
Regents' Rules and Regulations, Series 10101, Authority
www.utsystem.edu/bor/rules/10000Series/10101%202004%2012%2010%2001.doc
4
Regents' Rules and Regulations, Series 20101, Chancellor
www.utsystem.edu/bor/rules/20000Series/20101%202004%2012%2010%2001.doc
5
Regents' Rules and Regulations, Series 20201, Presidents
www.utsystem.edu/bor/rules/20000Series/20201%202004%2012%2010%2001.doc
6
Regents' Rules and Regulations, Series 40101, Faculty Role in Educational Policy Formulation
www.utsystem.edu/bor/rules/40000Series/40101%202004%2012%2010%2001.doc
7
Texas Higher Education Coordinating Board, Chapter 5, Rules, Section 5.23 (4), Mission Statement
http://www.thecb.state.tx.us/Rules/tac3.cfm?Chapter_ID=5&Subchapter=B
8
Texas Higher Education Coordinating Board Approval, UTMB Mission Statement
http://www.thecb.state.tx.us/aar/missions/utmbgmission.pdf
9
Regents' Rules and Regulations, Series 30601, Discipline and Dismissal of Employees, Section 5, Unacceptable Conduct
http://www.utsystem.edu/bor/rules/30000Series/30601%202004%2012%2010%2001.pdf
10
UTMB Institutional Handbook of Operating Procedures, Section 2, General Administrative Policies and Services, Policy 2.1.5, Fraud and Abuse Hotline
http://intranet.utmb.edu/Policies_And_Procedures/Search_Results/PNP_051871
11
UTMB Institutional Handbook of Operating Procedures, Section 5, Faculty Policies, Policy 5.3.3, Named Professorships and Endowed Chairs
http://intranet.utmb.edu/Policies_And_Procedures/Faculty_Related/PNP_004930
12
Regents' Rules and Regulations, Series 60202, Endowed Academic Positions
http://www.utsystem.edu/bor/rules/60000Series/60202%202004%2012%2010%2001.pdf