Management Responsibilities Guide

1. Management ResponsibilitiesGuide Updated: 2012 October

2. Overview Purpose • This training will provide administrative expectations for upper level executive officers including Vice Presidents, Deans, Associate Deans, Directors, and Associate Directors. • In addition, Executive Officers will find useful resources for financial and select administrative processes.

3. Overview Delegation & Accountability • The President delegates oversight responsibilities to Executive Officers. • Vice Presidents further delegate specific administrative and financial responsibilities to Department Chairs & Directors. • Department Chairs and Directors may delegate some responsibilities, but not accountability.

4. Overview Management Roles • VPs, Deans, and Directors ensure academic programs and administrative operations are in compliance with University standards, sound financial condition of the University, and fair administration of policies. • Deans and Assistant Deans ensure effective administration of academic programs, and support services for colleges. • Associate VPs ensureeffective administration of programs, support services, and operations across campus.

5. Internal Controls Internal Controls are actions taken by management to enhance the organization’s financial reporting accuracy and accountability for resources. Management must establish an effective internal control system to: • Establish a control-conscious environment. • Understand and assess risk. • Establish control activities to address risk. • Ensure information and communication flows. • Conduct monitoring activities.

6. Code of Ethics and Standards of Conduct Code of Ethics • Executive Officers are charged with coordinating and monitoring departmental policies regarding potential conflicts of interest. • Faculty and administrative employees must be aware of disclosure and disqualification requirements. Standards of Conduct • All departments on campus must exist in a culture of honesty and integrity. • Employees should be encouraged to share concerns of non-compliance without fear of retribution.

7. Fiscal Management Executive Officers must establish an effective fiscal management system to: • Establish appropriate budget priorities. • Manage department accounts and expenditures. • Reconcile departmental income and expenditures to the University’s records. • Manage faculty and staff salary budgets. • Ensure procurement complies with regulations and provides the “best value” to the University. • Encourage and effectively promote the utilization of Historically Underutilized Businesses (HUB) procurement.

8. Contracted Services and Leases When addressing concerns related to contracted services and leases, management must: • Ensure service contracts or vendor agreements are forwarded for final review. • Ensure contractors comply with the terms and conditions of their agreements. • Ensure services meet specifications prior to authorizing payment. • Ensure revenue generated pursuant to the terms of the business contract is paid.

9. Grants and Contracts Administration and Capital Asset Management Grants and Contracts Administration Principal Investigators and Project Directors should: • Adhere to University guidelines regarding proposal submission and research conduct. • Manage projects in accordance with requirements of the sponsoring agency. • Ensure expenditures conform to the budget. • Ensure compliance with financial reporting. Asset Management Principal Investigators and Project Directors should ensure: • Equipment is properly used and safeguarded against waste and misuse. • Annual inventory is performed in a timely manner. • Adherence to University procedures at acquisition.

10. Gifts from Private Donors When soliciting gifts, management must ensure: • Programs support institutional priorities and are approved by the academic officer. • The list of targeted donors for solicitation is approved by the Resource Development Office. When overseeing the management of gifts, management must ensure: • Gifts are forwarded to the Resource Development Office. • Private donor receives a thank you letter. • Funds are spent according to donor’s intentions. • Annual reports are submitted to the Resource Development Office.

11. Human Resource Services and Institutional Diversity University management is responsible for the following aspects of human resources and institutional diversity. • Foster an environment supporting professional growth through training and mentoring. • Establish goals and objectives, and hold employees accountable through evaluations. • Follow legal and ethical guidelines, including non-discrimination and sexual harassment. • Support affirmative action initiatives to ensure gender and cultural diversity. • Provide equal employment and educational opportunities.

12. Health and Safety Environmental Health Management should: • Implement programs that provide a healthy, safe, and compliant work environment. • Report occupational injuries to the Occupational and Safety Programs Office. • Ensure employees are adequately trained in: • Environmental protection and regulation • Hazardous materials management • Radiation and laser safety • Emergency response • Lab safety • Fire safety • Food safety

13. Health and Safety University Police Department Management should: • Report crimes and emergencies to University Police immediately. • Ensure staff is knowledgeable in crime prevention practices. • Report vulnerable campus areas to University Police Crime Prevention Office.

14. Information Technology and Security Security It is important that University management: • Stay current on security issues and policies. • Ensure staff have adequate IT equipment, software, and training. • Provide backup for critical departmental programs and data files. • Maintain records of IT equipment and software. • Ensure staff follows UT Austin IT security policies regarding individual IDs and passwords. • Encourage physical security by locking doors and controlling access to computers.

15. Information Technology and Security Privacy In addition, management should: • Protect private information and confidential data from unauthorized access. • Ensure privacy wishes and requirements of staff are honored. • Retain and manage electronic records according to legal requirements.

16. Web Resources • Compliance and Ethics Guide http://www.utexas.edu/compliance/wp-content/uploads/guide.pdf • Ethics Statement http://www.utexas.edu/hr/forms/ethics_english_em155.pdf • Compliance Training Systemhttps://utdirect.utexas.edu/cts/index.WBX • Compliance and Ethics Training Library http://www.utexas.edu/compliance/training/traininglibrary/ • Information Technology Services http://www.utexas.edu/its

17. Training Managing Financial Risks https://utdirect.utexas.edu/cts/class.WBX?s_course_comp=0&s_course_prefix=CW&s_course_number=0510 Cashier Training https://utdirect.utexas.edu/cts/class.WBX?s_course_comp=0&s_course_prefix=CW&s_course_number=0505

18. ContactsFurther information is available at http://directory.utexas.edu/ Code of Ethics and Standards of Conduct Kevin Hegartyext. 1-1422 VP and Chief Financial Officer Patricia Ohlendorfext. 1-1241 VP for Legal Affairs Jeffery Gravesext. 1-1241 Associate VP for Legal Affairs Rudolph Green ext. 2-7055 Director, University Compliance Services Fiscal Management Mary Knight ext. 1-3727 Associate VP and Budget Director Lee Miara ext. 1-2812 Director, Accounting and Financial Management Michael Vandervortext. 1-7117 Director, Internal Audits Leslie Saucedoext. 1-7785 Director, Payroll Services Jerry Fuller ext. 1-2866 Assistant VP and Director of Procurement and Payment Services Linda Shaunessyext. 1-8200 Business Contracts Administrator Kim Wichetaext. 2-2103 Associate Director, Office of Accounting

19. ContactsFurther information available at http://directory.utexas.edu/ Sponsored Research, Contracted Services and Leases Juan Sanchezext. 1-2877 VP for Research R. Ellyn Perroneext. 1-5925 Associate VP forResearch Susan Sedwick ext. 1-6424 Associate VP for Research and Director for Office of Sponsored Projects Michael A. Millerext. 1-4110 Director, Facilities Services Linda Shaunessy ext. 1-8200 Business Contracts Administrator Jason Richterext. 1-6231 Associate Director, Award Administration, Office of Sponsored Projects Capital Assets Management Patricia Clubb ext. 2-7742 VP for University Operations Steve Kraal ext. 5-6976 SeniorAssociate VP for Campus Planning and Facilities Management Mary Knight ext. 1-3727 Associate VP and Budget Director Kim Wichetaext. 2-2103 Associate Director, Office of Accounting

20. ContactsFurther information available at http://directory.utexas.edu/ Gifts from Private Donors John McCall ext. 5-9627 Associate VP for Development David Onion ext. 2-6531 Senior Associate VP for Development Martha King ext. 5-9615 Director for Endowment Services and Compliance, Development Office Human Resource Services and Institutional Diversity Debra Kress ext. 5-8029 Associate VP for Human Resources Steven Leslie ext. 2-3301Executive VPand Provost Gregory Vincent ext. 1-3212 VP for Diversity and Community Engagement Linda Millstoneext. 1-2437 Associate VP and ADA Coordinator for Diversity and Community Engagement Jeffery Gravesext. 1-1241 Associate VP for Legal Affairs

21. ContactsFurther information available at http://directory.utexas.edu/ Purchasing Assistance Jennifer DeLeon ext. 5-6188 Assistant Director, Purchasing Rita Mosleyext. 2-3464 Procurement Card Administrator Arthur McDonaldext. 1-2852 HUB Coordinator/Director Information Technology and Security Bradley Englert ext. 2-1744 University Chief Information Officer and ITS Chief Operating Officer CW Belcher ext. 2-6519 Senior Information Technology Manager, ITS Cameron Beasley ext. 5-9476 Chief Information Security Officer John Lovelace ext. 1-7845 Interim Information Technology Manager, User Services, ITS Matthew Dionne ext. 2-3358 Information Technology Manager, ITS

22. ContactsFurther information available at http://directory.utexas.edu/ Health & Safety Programs Chip Rogers ext. 1-3511Associate Director, Environmental Health and Safety Robert Dahlstromext. 2-6400Chief of Police