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Management ResponsibilitiesManagement ResponsibilitiesGuideGuide
Updated: 2009 JanuaryUpdated: 2009 January
The University of Texas at Austin
Management Responsibilities
Guide
Overview 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 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 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 ControlsInternal 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.
The University of Texas at Austin
Management Responsibilities
Guide
Code of Ethics and Standards of Code of Ethics and Standards of ConductConduct
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 ManagementFiscal 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.
The University of Texas at Austin
Management Responsibilities
Guide
Contracted Services and LeasesContracted 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 Grants and Contracts Administration and Capital Asset ManagementCapital 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 DonorsGifts 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.
The University of Texas at Austin
Management Responsibilities
Guide
Human Resource Services and Human Resource Services and Institutional DiversityInstitutional 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 SafetyHealth 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 SafetyHealth 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 SecurityInformation 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 SecurityInformation 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 ResourcesWeb Resources
Conduct Guidehttp://www.utexas.edu/compliance/guide.html
Ethics Statementhttp://www.utexas.edu/hr/forms/ethics_english_em155.pdf
Compliance Training Introduction https://utdirect.utexas.edu/cts/index.WBX
General Compliance Traininghttp://www.utexas.edu/compliance/training.html
Information Technology Serviceshttp://www.utexas.edu/its
The University of Texas at Austin
Management Responsibilities
Guide
TrainingTraining
Managing Fiscal Risks
https://utdirect.utexas.edu/cts/class.WBX?s_course_comp=0&s_course_prefix=CW&s_course_number=0510
Cashier Traininghttp://www.utexas.edu/business/accounting/classes/de504.html
The University of Texas at Austin
Management Responsibilities
Guide
ContactsContacts Further information available at http://directory.utexas.edu/
Code of Ethics and Standards of Conduct
Kevin Hegarty ext. 1-1422VP and Chief Financial Officer
Patricia Ohlendorf ext. 1-1241VP for Legal Affairs and Custodian of Records for Subpoenas
Jeffery Graves ext. 1-1241Associate VP for Legal Affairs
Susan Bradshaw ext. 1-1241Associate VP for Legal Affairs
Rudoph Green ext. 2-7055 Director, University Compliance Services
Fiscal Management
Mary Knight ext. 1-3727Associate VP and Budget Director
Fred Friedrich ext. 1-3723Associate VP and Controller
Michael Vandervort ext. 1-7117Director, Internal Audits
Leslie Saucedo ext. 1-7785Director, Payroll Services
Trina Bickford ext. 1-2860Assistant Director, Purchasing
Debra Stevens ext. 1-8200Business Contracts Administrator
Kim Wicheta ext. 1-3723Associate Director, Accounts Payable, Office of Accounting
The University of Texas at Austin
Management Responsibilities
Guide
ContactsContacts Further information available at http://directory.utexas.edu/
Sponsored Research, Contracted Services and Leases
Juan Sanchez ext. 1-2877VP for Research
R. Ellyn Perrone ext. 1-5741Associate VP for Research
Susan Sedwick ext. 1-6424Associate VP for Research and Director for Office of Sponsored Projects
Michael A. Miller ext. 1-4110Director, Facilities Services
Debra Stevens ext. 1-8200Business Contracts Administrator
Jason Richter ext. 1-6231Associate Director, Contracts & Grants, Office of Sponsored Projects
Capital Assets Management
Patricia Clubb ext. 2-7742Employee & Campus Services
Steve Kraal ext. 5-6976Senior Associate VP for Campus Planning and Facilities Management
Fred Friedrich ext. 1-3723Associate VP and Controller
Kim Wicheta ext. 1-3723Associate Director, Cash Management & Inventory, Office of Accounting
The University of Texas at Austin
Management Responsibilities
Guide
ContactsContactsFurther information available at http://directory.utexas.edu/
Gifts from Private Donors
James Kunetka ext. 5-9641
Associate VP for Development
Martha King ext. 5-9615
Director for Endowment Services and Compliance
Human Resource Services and Institutional Diversity
Julien Carter ext. 2-9161
Associate VP for Human Resources
Steven Leslie ext. 2-3300 Executive VP and Provost
Gregory Vincent ext. 1-3212
VP for Diversity and Community Engagement
Linda Millstone ext. 1-1849
Associate VP for Institutional Equity and Workforce Diversity
Susan O. Bradshaw ext. 1-1241
Associate VP for Legal Affairs
The University of Texas at Austin
Management Responsibilities
Guide
ContactsContactsFurther information available at http://directory.utexas.edu/
Purchasing AssistanceTrina Bickford ext. 1-2860
Assistant Director, PurchasingRae Lender ext. 1-2861
Senior BuyerKim Wicheta ext. 1-3723
Associate Director, Office of Accounting Rita Mosley ext. 2-3464
Procurement Card AdministratorArthur McDonald ext. 1-2852
HUB Coordinator/Director
Information Technology and Security Brian Roberts ext. 2-9610
VP for Information TechnologyL. B. Brady ext. 2-5857
Associate VP, Business Services, ITSCameron Beasley ext. 5-9476
University Information Security Officer
Terry Tatum ext. 2-1535
Associate VP, Customer Services, ITS
The University of Texas at Austin
Management Responsibilities
Guide
ContactsContactsFurther information available at http://directory.utexas.edu/
Health & Safety Programs
Chip Rogers ext. 1-3511 Interim Director, Environmental Health and Safety
Robert Dahlstrom ext. 1-4441 Chief of Police
David Cook ext. 2-3782
Director, Applications, ITS
Matthew Dionne ext. 2-3358
Campus Security Systems Supervisor