Management Responsibilities Guide

Updated: 2009 January

Overview

Management Responsibilities Guide

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

Overview

Management Responsibilities Guide

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

Overview

Management Responsibilities Guide

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:

The University of Texas at Austin

Establish a control-conscious environment. Understand and assess risk. Establish control activities to address risk. Ensure information and communication flows. Conduct monitoring activities.

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

The University of Texas at Austin

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.

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:

The University of Texas at Austin

Equipment is properly used and safeguarded against waste and misuse. Annual inventory is performed in a timely manner. Adherence to University procedures at acquisition.

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 nondiscrimination 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:

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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

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

Conduct Guide
http://www.utexas.edu/compliance/guide.html

Ethics Statement
http://www.utexas.edu/hr/forms/ethics_english_em155.pdf

Compliance Training Introduction

https://utdirect.utexas.edu/cts/index.WBX

General Compliance Training

http://www.utexas.edu/compliance/training.html

The University of Texas at Austin

Information Technology Services

http://www.utexas.edu/its

Management Responsibilities Guide

Training

Managing Fiscal Risks

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

Cashier Training
http://www.utexas.edu/business/accounting/classes/de5 04.html

The University of Texas at Austin

Contacts

Management Responsibilities Guide

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

Code of Ethics and Standards of Conduct

Kevin Hegarty VP and Chief Financial Officer Patricia Ohlendorf VP for Legal Affairs and Custodian of Records for Subpoenas Jeffery Graves Associate VP for Legal Affairs Susan Bradshaw Associate VP for Legal Affairs Rudoph Green Director, University Compliance Services ext. 1-1422

ext. 1-1241
ext. 1-1241 ext. 1-1241 ext. 2-7055

Fiscal Management
Mary Knight Associate VP and Budget Director Fred Friedrich Associate VP and Controller Michael Vandervort Director, Internal Audits Leslie Saucedo Director, Payroll Services Trina Bickford Assistant Director, Purchasing Debra Stevens Business Contracts Administrator Kim Wicheta Associate Director, Accounts Payable, Office of Accounting ext. 1-3727 ext. 1-3723 ext. 1-7117 ext. 1-7785 ext. 1-2860 ext. 1-8200 ext. 1-3723

The University of Texas at Austin

Contacts

Management Responsibilities Guide

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

Sponsored Research, Contracted Services and Leases

Juan Sanchez VP for Research R. Ellyn Perrone Associate VP for Research Susan Sedwick Associate VP for Research and Director for Office of Sponsored Projects Michael A. Miller Director, Facilities Services Debra Stevens Business Contracts Administrator Jason Richter Associate Director, Contracts & Grants, Office of Sponsored Projects ext. 1-2877 ext. 1-5741 ext. 1-6424

ext. 1-4110 ext. 1-8200 ext. 1-6231

Capital Assets Management

Patricia Clubb Employee & Campus Services Steve Kraal Senior Associate VP for Campus Planning and Facilities Management Fred Friedrich Associate VP and Controller Kim Wicheta Associate Director, Cash Management & Inventory, Office of Accounting ext. 2-7742 ext. 5-6976 ext. 1-3723 ext. 1-3723

The University of Texas at Austin

Contacts

Management Responsibilities Guide

Further information available at http://directory.utexas.edu/ Gifts from Private Donors

James Kunetka Associate VP for Development Martha King Director for Endowment Services and Compliance ext. 5-9641

ext. 5-9615

Human Resource Services and Institutional Diversity

Julien Carter Associate VP for Human Resources Steven Leslie Executive VP and Provost Gregory Vincent VP for Diversity and Community Engagement Linda Millstone Associate VP for Institutional Equity and Workforce Diversity Susan O. Bradshaw Associate VP for Legal Affairs ext. 2-9161 ext. 2-3300 ext. 1-3212 ext. 1-1849

ext. 1-1241

The University of Texas at Austin

Contacts

Management Responsibilities Guide

Further information available at http://directory.utexas.edu/ Purchasing Assistance

Trina Bickford Assistant Director, Purchasing Rae Lender Senior Buyer Kim Wicheta Associate Director, Office of Accounting Rita Mosley Procurement Card Administrator Arthur McDonald HUB Coordinator/Director ext. 1-2860 ext. 1-2861 ext. 1-3723 ext. 2-3464 ext. 1-2852

Information Technology and Security

Brian Roberts VP for Information Technology L. B. Brady Associate VP, Business Services, ITS Cameron Beasley University Information Security Officer Terry Tatum Associate VP, Customer Services, ITS ext. 2-9610 ext. 2-5857 ext. 5-9476

ext. 2-1535

The University of Texas at Austin

Contacts

Management Responsibilities Guide

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

Health & Safety Programs

Chip Rogers Interim Director, Environmental Health and Safety Robert Dahlstrom Chief of Police David Cook Director, Applications, ITS Matthew Dionne Campus Security Systems Supervisor ext. 1-3511
ext. 1-4441 ext. 2-3782 ext. 2-3358

The University of Texas at Austin