Management Responsibilities Guide Updated: 2012 October.

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Management Responsibilities Management Responsibilities Guide Guide Updated: 2012 October Updated: 2012 October

Transcript of Management Responsibilities Guide Updated: 2012 October.

Page 1: Management Responsibilities Guide Updated: 2012 October.

Management ResponsibilitiesManagement ResponsibilitiesGuideGuide

Updated: 2012 OctoberUpdated: 2012 October

Page 2: Management Responsibilities Guide Updated: 2012 October.

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.

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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.

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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.

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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.

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The University of Texas at Austin

Management Responsibilities

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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.

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The University of Texas at Austin

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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.

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The University of Texas at Austin

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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.

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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.

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The University of Texas at Austin

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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.

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The University of Texas at Austin

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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.

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The University of Texas at Austin

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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

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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.

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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.

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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.

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Web ResourcesWeb Resources

Compliance and Ethics Guidehttp://www.utexas.edu/compliance/wp-content/uploads/guide.pdf

Ethics Statementhttp://www.utexas.edu/hr/forms/ethics_english_em155.pdf

Compliance Training System https://utdirect.utexas.edu/cts/index.WBX

Compliance and Ethics Training Libraryhttp://www.utexas.edu/compliance/training/traininglibrary/

Information Technology Serviceshttp://www.utexas.edu/its

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TrainingTraining

Managing Financial Risks

https://utdirect.utexas.edu/cts/class.WBX?s_course_comp=0&s_course_prefix=CW&s_course_number=0510

Cashier Traininghttps://utdirect.utexas.edu/cts/class.WBX?s_course_comp=0&s_course_prefix=CW&s_course_number=0505

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The University of Texas at Austin

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ContactsContacts Further information is available at http://directory.utexas.edu/

Code of Ethics and Standards of ConductKevin Hegarty ext. 1-1422

VP and Chief Financial Officer Patricia Ohlendorf ext. 1-1241

VP for Legal AffairsJeffery Graves ext. 1-1241

Associate VP for Legal Affairs Rudolph Green ext. 2-7055 Director, University Compliance Services

Fiscal ManagementMary Knight ext. 1-3727

Associate VP and Budget DirectorLee Miara ext. 1-2812

Director, Accounting and Financial ManagementMichael Vandervort ext. 1-7117

Director, Internal AuditsLeslie Saucedo ext. 1-7785

Director, Payroll Services Jerry Fuller ext. 1-2866

Assistant VP and Director of Procurement and Payment ServicesLinda Shaunessy ext. 1-8200

Business Contracts AdministratorKim Wicheta ext. 2-2103

Associate Director, Office of Accounting

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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. 1-5925Associate 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

Linda Shaunessy ext. 1-8200Business Contracts Administrator

Jason Richter ext. 1-6231Associate Director, Award Administration, Office of Sponsored Projects

Capital Assets Management

Patricia Clubb ext. 2-7742VP for University Operations

Steve Kraal ext. 5-6976Senior Associate VP for Campus Planning and Facilities Management

Mary Knight ext. 1-3727Associate VP and Budget Director

Kim Wicheta ext. 2-2103Associate Director, Office of Accounting

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ContactsContactsFurther 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. 2-3301 Executive VP and Provost

Gregory Vincent ext. 1-3212

VP for Diversity and Community Engagement

Linda Millstone ext. 1-2437

Associate VP and ADA Coordinator for Diversity and

Community EngagementJeffery Graves ext. 1-1241

Associate VP for Legal Affairs

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ContactsContactsFurther information available at http://directory.utexas.edu/

Purchasing AssistanceJennifer DeLeon ext. 5-6188

Assistant Director, PurchasingRita Mosley ext. 2-3464

Procurement Card AdministratorArthur McDonald ext. 1-2852

HUB Coordinator/Director

Information Technology and Security Bradley Englert ext. 2-1744

University Chief Information Officer andITS Chief Operating Officer

CW Belcher ext. 2-6519Senior Information Technology Manager, ITS

Cameron Beasley ext. 5-9476Chief Information Security Officer

John Lovelace ext. 1-7845Interim Information Technology Manager, User Services, ITS

Matthew Dionne ext. 2-3358Information Technology Manager, ITS

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ContactsContactsFurther information available at http://directory.utexas.edu/

Health & Safety Programs

Chip Rogers ext. 1-3511 Associate Director, Environmental Health and Safety

Robert Dahlstrom ext. 2-6400 Chief of Police