Management Responsibilities Guide Updated: 2012 October

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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 ensure effective administration of programs, support services, and operations across campus.

The University of Texas at Austin Management Responsibilities Guide Internal Controls Internal Controls are actions taken by management to enhance the organizations 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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 Universitys 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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 donors intentions. Annual reports are submitted to the Resource Development Office.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide 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.

The University of Texas at Austin Management Responsibilities Guide Web Resources Compliance and Ethics Guide Ethics Statement Compliance Training System Compliance and Ethics Training Library Information Technology Services

The University of Texas at Austin Management Responsibilities Guide Training Managing Financial Risks mp=0&s_course_prefix=CW&s_course_number=0510 Cashier Training mp=0&s_course_prefix=CW&s_course_number=0505

The University of Texas at Austin Management Responsibilities Guide Contacts Contacts Further information is available at Code of Ethics and Standards of Conduct Kevin Hegarty ext VP and Chief Financial Officer Patricia Ohlendorf ext VP for Legal Affairs Jeffery Graves ext Associate VP for Legal Affairs Rudolph Green ext Director, University Compliance Services Fiscal Management Mary Knight ext Associate VP and Budget Director Lee Miara ext Director, Accounting and Financial Management Michael Vandervort ext Director, Internal Audits Leslie Saucedo ext Director, Payroll Services Jerry Fuller ext Assistant VP and Director of Procurement and Payment Services Linda Shaunessy ext Business Contracts Administrator Kim Wicheta ext Associate Director, Office of Accounting

The University of Texas at Austin Management Responsibilities Guide Contacts Contacts Further information available at Sponsored Research, Contracted Services and Leases Juan Sanchez ext VP for Research R. Ellyn Perrone ext Associate VP for Research Susan Sedwick ext Associate VP for Research and Director for Office of Sponsored Projects Michael A. Miller ext Director, Facilities Services Linda Shaunessy ext Business Contracts Administrator Jason Richter ext Associate Director, Award Administration, Office of Sponsored Projects Capital Assets Management Patricia Clubb ext VP for University Operations Steve Kraal ext Senior Associate VP for Campus Planning and Facilities Management Mary Knight ext Associate VP and Budget Director Kim Wicheta ext Associate Director, Office of Accounting

The University of Texas at Austin Management Responsibilities Guide Contacts Contacts Further information available at Gifts from Private Donors John McCall ext Associate VP for Development David Onion ext Senior Associate VP for Development Martha King ext Director for Endowment Services and Compliance, Development Office Human Resource Services and Institutional Diversity Debra Kress ext Associate VP for Human Resources Steven Leslie ext Executive VP and Provost Gregory Vincent ext VP for Diversity and Community Engagement Linda Millstone ext Associate VP and ADA Coordinator for Diversity and Community Engagement Jeffery Graves ext Associate VP for Legal Affairs

The University of Texas at Austin Management Responsibilities Guide Contacts Contacts Further information available at Purchasing Assistance Jennifer DeLeon ext Assistant Director, Purchasing Rita Mosley ext Procurement Card Administrator Arthur McDonald ext HUB Coordinator/Director Information Technology and Security Bradley Englert ext University Chief Information Officer and ITS Chief Operating Officer CW Belcher ext Senior Information Technology Manager, ITS Cameron Beasley ext Chief Information Security Officer John Lovelace ext Interim Information Technology Manager, User Services, ITS Matthew Dionne ext Information Technology Manager, ITS

The University of Texas at Austin Management Responsibilities Guide Contacts Contacts Further information available at Health & Safety Programs Chip Rogers ext Associate Director, Environmental Health and Safety Robert Dahlstrom ext Chief of Police