Table of Contents. The Rules and Regulations of the Board of Regents of the Texas Tech University System. Chapters Chapter Titles

Transcription

1 The Rules and Regulations of the Board of Regents of the Texas Tech University System Table of Contents [with amendments through: ] Chapters Chapter Titles Missions Definitions, Style, and Citations Bylaws Administration Personnel Academic Affairs Student Affairs Institutional Advancement Fiscal Management Facilities Investments and Endowments Intellectual Property Rights Athletics at TTU and ASU Honorifics and Seals Note: See also BOARD POLICY STATEMENTS for: -- Audit Committee Charter -- Investment Policy Statement SITIF -- Investment Policy Statement LTIF -- Seals of the Texas Tech University System Table of Contents Regents Rules Page 1 of 20

2 Page Missions Comprehensive review Revised TTUHSC Mission statement Chapter Definitions, Style, and Citations -- Comprehensive review/amendments Definitions Definitions relating to: Board of Regents...1 a. "board"...1 b. "board policy statement"...1 c. "CAE"...1 d. "chair"...1 e. "Regents Rules"...1 f. "secretary"...1 g. "vice chair" Definitions relating to: Texas Tech University System...2 a. "chief executive officer"...2 b. "TTU system" or "TTUS"...2 c. " TTU system principal officers" Definitions relating to: TTU system administration...2 a. "chief financial officer"...2 b. "general counsel"...2 c. "Office of the Chancellor"...2 d. "TTU system administration" or "TTUSA"...2 e. "TTU system administration officers" Definitions relating to: component institutions...3 a. "ASU"...3 b. "chief fiscal officer"...3 c. "component institution(s)"...3 d. "Office of the President"...3 e. "principal officers of ASU"...3 f. "principal officers of TTU"...3 Table of Contents Regents Rules Page 2 of 20

3 g. "principal officers of TTUHSC"...3 h. "principal officers of TTUHSC El Paso"...3 i. "TTU"...3 j. "TTUHSC"...3 k. "TTUHSC El Paso" Definitions in general...4 a. "ex officio member"...4 b. "operating manuals" Style Regents' Rules Operating manuals Citations Formal citations Informal citations Particular provisions...5 Chapter Bylaws -- Comprehensive review/amendments Technical adjustments to f & b(6) -- Technical adjustment to b(5) -- System clean-up legislation revisions to c,.e &.g Responsibilities of the board Role and responsibilities assigned by law Policy direction and goals establishment Fiduciary responsibility Governance Authority Composition Chair of the board Vice chair of the board Taking office Secretary of the board Board meetings...8 Table of Contents Regents Rules Page 3 of 20

4 Board committees...11 a. Appointments...11 b. Authority of standing committees...11 c. Times and places of committee meetings...11 d. Standing committees...11 (1) Academic, Clinical, and Student Affairs...11 (2) Facilities...12 (3) Finance and Administration...13 (4) Audit...14 e. Special committees...15 f. Investment Advisory Committee Procedures Board and committee meetings attendance Board conduct New chancellor selection Board members service on internal support and advisory groups Service in a non-voting capacity required Exception for service on a search or search advisory committee Board seating at commencement Regents' Rules review Amendments...23 Chapter Administration -- Comprehensive review/amendments State contracting law changes added n & o conforming changes to Ch. 07 section citations in c & b -- State contracting law changes added p conforming changes to Ch. 07 section citations in c & b Table of Contents Regents Rules Page 4 of 20

5 02.01 Chancellor Appointment Tenure Primary duties TTU system administration Activities coordination Plans initiation Service provision Evaluation Performance goals achievement Other duties Certain administrative appointments Board appointments (chancellor and presidents) Chancellor's appointments Presidents appointments Performance evaluations Chancellor's salary TTU system administration officer salaries Time of salary actions Component institution officer salaries Certain administrator contracts Component institution presidents Chief executive officers Presidents' authority...9 Table of Contents Regents Rules Page 5 of 20

6 Chapter Personnel -- Comprehensive review/amendments Technical adjustment to b(2) -- Amendments as noted revised e to conform to changes in state contracting laws technical adjustment to a(2) -- Various amendments as noted various sections revised due to 2015 state contracting law changes, including : 03.01; d; f; a; j-k; various sections conformed to EEO provisions in Title IX, Title VII and U.S. Executive Order 11246, including : h; a clarifying change to b(3)-(4) re: the approving authority for outside employment Definitions Officers and employees Ethics policy Conduct Ethical behavior Conflict of interest generally Benefits, gifts, and honoraria Conflict of commitment Political activities Preservation of resources Discriminatory conduct prohibited Familial/household relationships faculty & students Consensual relationships faculty & students Nepotism TTU system community conduct Breach of trust Conviction notification Determination of a violation Conflict of interest and the board Introduction Conflict of interest Presumed conflict of interest Disclosure of financial interest Determination of the existence of a conflict of interest...18 Table of Contents Regents Rules Page 6 of 20

7 Record of proceedings Gifts Use of office for personal gain Favored treatment Appropriation of TTU system opportunities Confidentiality Actions not void or voidable Conflict of interest and executive administration Introduction Conflict of interest Presumed conflict of interest Disclosure of financial interest Determination of the existence of a conflict of interest Gifts Use of office for personal gain Favored treatment Appropriation of TTU system opportunities Confidentiality Actions not void or voidable The classified compensation plan Appellate procedures for grievances Board and individual grievances Grievance procedures Service on outside boards (in general) Service on an outside board by any TTUS employee Service on an outside board by executive administrator Holidays Leaves TTU system employee retirement Personnel files Maintenance Confidentiality Exceptions...31 Table of Contents Regents Rules Page 7 of 20

8 Chapter Academic Affairs -- Comprehensive review/amendments Technical adjustment to Miscellaneous clean-up revisions to header & Honorific titles Horn and Murray Professorships Emeritus appointments Tenure and promotion (at all component institutions) Guidelines for comprehensive performance evaluation of tenured faculty (at all component institutions) Faculty responsibility Public purpose Responsibilities of the TTU system Teaching Research TTU system service Professional service Community service Discretion Faculty development leaves of absence Purpose of leaves of absence Benefits for faculty Selection process Academic workload -- general academic institutions Faculty research New knowledge acquisition Faculty expectations Sponsored programs Salaries for faculty engaged in sponsored research Nonnative English speaking teaching assistants and faculty at TTU and ASU...7 Table of Contents Regents Rules Page 8 of 20

9 04.09 Approval of degree programs Board approval required Process when Coordinating Board recommends consolidation or elimination of a degree program Review and approval of low-producing degree programs and small classes at TTU and ASU Establishment and naming of schools, colleges, departments, centers, institutes, and other academic entities Establishment/restructuring of schools, colleges, or departments Establishment/restructuring of centers, institutes, or other academic unit or program Naming of a school, college, department, center, institute, or other academic unit or program Filings with the State of Texas...10 Chapter Student Affairs -- Comprehensive review/amendments General Component institutions Board policies and procedures approval Other policies and procedures approval Admission Role of the board in admissions Admission policies Degree requirements Financial aid programs Appeals related to student matters...2 Table of Contents Regents Rules Page 9 of 20

10 Chapter Institutional Advancement -- Comprehensive review/amendments Amendment added Technical adjustment to b -- Amendments to and System clean-up legislation revisions to b Gift and grant acceptance Procedures Gift evaluation and acceptance Employee involvement Disciplinary action Prohibition on gifts for salary supplements Restricted use Adherence to donor-identified purpose(s) Exceptions to a donor-identified purpose Private sector support Gifts and grants Centralized service Fundraising activities approval The Office of Institutional Advancement Endowment funds Endowed academic positions Endowed Chair Endowed Professorship Endowed Lectureship Research Endowment Chancellor s Graduate Fellowship Endowment or other gift related naming...5 Table of Contents Regents Rules Page 10 of 20

11 Chapter Fiscal Management -- Comprehensive review/amendments Amendment re: fraud disciplinary actions -- State contracting law changes many sections amended, including : a, , o, b, and extensively throughout Multiple and various amendments Additional state contracting law changes amendments to multiple sections, including: , , 07.03, and extensively throughout Updates to audit provisions to reflect changes in the audit mission, code of ethics, and audit standards adopted by the Institute of Internal Auditors. Revisions to emergency approvals of a budget adjustment or a contract to conform the budget policy to the contract policy and require that such proposals be submitted by the Chancellor. Change in the early start provision for consulting contracts of more than $25,000 to require that such proposals be submitted by the Chancellor. -- Amendment b revised to bring the use-of-debtproceeds provision in line with U.S. Treasury regulations -- Amendment amended e(2) to require prior review of $25,000-or-less consulting contracts by the System CFO, rather than by Board chair and chair of Finance & Administration Committee -- Amendment added a new c for a delegation of contract approval authority to the healthrelated presidents for certain continuing contractual relationships; and deleted old d due to it conflicting with b Definitions "FDIC" "HEAF" "HUBs" "OAS" "RFS" "CAE" Fiduciary responsibility Audits Mission statement Objectives Standards of audit practice Organizational responsibility and reporting relationships...2 Table of Contents Regents Rules Page 11 of 20

12 Independence Scope of work Accountability and responsibility Authority Fraud policy Broadened definition Further definition Fraudulent act determination Duties and responsibilities Investigation Disciplinary actions Fraud reporting Budget rules and procedures Fiscal year General Budgets and other expenditure certifications Budget adjustments Debt management policy General debt management policy RFS debt management policy HEAF debt management policy Equipment financing (under the commercial paper program) Failed remarketing procedures Post tax-exempt issuance compliance Credit extension State comptroller deposits Cash receipts Depositing rules Revolving funds Primary and secondary depositories for the TTU system Primary depository Secondary depositories...21 Table of Contents Regents Rules Page 12 of 20

13 07.09 Travel authorization, reimbursement, and institutional reg s Travel approval Board members' travel and other expenses Chancellor's travel and other expenses Faculty, staff, and student travel Approval of tuition and student fees Assessment Collection Exemptions and waivers Aircraft use and operation Air travel requirements Foreign air travel Information requirement Aircraft made available to the TTU system by other than commercial operations Insurance Administrative requirements Waiver Aircraft piloted by TTU system personnel on official business Contracting policies and procedures General Prohibited contracts Board approval Board delegation of authority Chancellor's approval President's approval Required approvals summary HUBs TTU system commitment HUB Coordinators Professional Medical Malpractice Self-Insurance Plan settlement authority Board authority Board approval Chancellor approval...39 Table of Contents Regents Rules Page 13 of 20

14 Vice chancellor and general counsel approval Approval during period between board meetings...39 Appendix A Summary of required employment agreement approvals...41 Chapter Facilities -- Comprehensive review/amendments Amendments as noted revised FP&C fees e re: honorary statutes re: alcohol policy -- Amendments as noted revised to a general statement defining major and minor projects overhaul of approval processes for major projects emergency authorization for use of contingencies Definitions Facility or facilities FP&C Office and FP&C FP&C vice chancellor University Public Art Committee Public Art Collection Construction program Construction procurement methods Authorization Major construction projects Minor construction projects Procurement procedures Contract execution Emergency actions Wage rate schedule Project management fee...8 Table of Contents Regents Rules Page 14 of 20

15 08.02 Campus planning and enhancements Campus master plans and accompanying architectural and site design guidelines Additional provision regarding architectural and site design guidelines Public Art Program University Public Art Committee Landscape Enhancement Program Combining programs Private development Preservation of campus buildings and landmarks TTU system building cornerstones and plaques Cornerstones Building plaques Recognition plaques Building demolition TTU system buildings and facilities naming General Naming restrictions Name changes Removal of a naming Board advance notification Board approval Exceptions Construction code and standard requirements Adopted codes and standards Other applicable codes TTU system space and facilities use Prioritization Community cultural facilities Non-profit organizations Department of Athletics facilities TTU and ASU Alcoholic beverages...23 Table of Contents Regents Rules Page 15 of 20

16 08.08 On-campus speakers Operating policies Freedoms Handbills, leaflets and advertising material distribution Implementation policies General Advertising United States mail On-campus distribution Automobiles Solicitations Policy administration Definition Approved organizations Solicitation exception Individual buildings Residence halls On-campus solicitations by organizations not associated with the TTU system Further guidelines Solicitations and sale of publications TTU system benefit Money raised Solicitations other than to raise money...28 Chapter Investments and Endowments -- Comprehensive review/amendments Miscellaneous clean-up revisions to Chapter definitions "IAC" "LTIF" "SITIF" "CIO" "Treasurer"...1 Table of Contents Regents Rules Page 16 of 20

17 09.01 Roles and responsibilities Investment Advisory Committee Investment consultant Chief investment officer Treasurer Investment managers Bank custodian(s) Short/Intermediate Term Investment Fund Investment authority Investment concept Authorized investment officers Potential conflicts of interest Securities dealer selection Investment training Internal management reports Long Term Investment Fund (Endowment) Proxy voting Directed commissions Commingled funds Mineral leases Lands under exclusive control of the board and owned by the state of Texas Mineral/royalty interests derived from trusts and gifts Approval...10 Chapter Intellectual Property Rights -- Comprehensive review/amendments Statement of Basic Philosophy and Objectives...1 Table of Contents Regents Rules Page 17 of 20

18 10.02 Definitions Commercialization Copyrightable Work Covered Person Creator Distance Learning Intellectual Property Invention Office of Research Commercialization or ORC ORC Director Policy Software Sponsored Research Agreement Tangible Research Property Trademark (including Service Mark) Trade Secrets TTUS Resources Work for Hire Ownership Ownership of intellectual property by TTUS Consulting Activities Ownership of Copyrightable Works Research Involving Third Party Disclosure of Intellectual Property Offers to Assign External Intellectual Property to TTUS Acquisitions of Intellectual Property in Connection with New Employee Assessments by the ORC Reasonable Cooperation Implementation of Intellectual Property Agreements No Restriction on Future Research Distribution of Revenue from Intellectual Property Agreements...14 Table of Contents Regents Rules Page 18 of 20

19 10.13 Distribution of Revenue from Commercialization of Copyrightable Works Trademarks Complaint Procedure Reports to the Board Reporting to board of intellectual property disclosures and license/assignment agreements Notification to and approval by board of employee participation in business entities Reports to the State of Texas...19 Chapter Athletics at TTU and ASU -- Comprehensive review/amendments Intercollegiate athletics governance and control Compliance Annual report Institutional control Faculty athletics representative Athletic Councils Authorization to establish an Athletic Council Role TTU Athletics Council membership; rules, regulations and bylaws ASU Athletics Council membership; responsibility and charge Post-season athletic competition Qualifying and participation standards Notification Intercollegiate athletics media rights Ownership...5 Table of Contents Regents Rules Page 19 of 20

20 Chapter Honorifics and Seals -- Comprehensive review/amendments Amendments added new re: honorary statues and re-numbered subsequent sections -- Amendments added new re: a seal monument for TTU-Costa Rica Retiring regents, chancellors and presidents recognition Awards and Recognitions Infinito Horizonte Award Distinguished Service Award Plaques commemorating former chancellors and presidents Style Historical perspective Board approval Honorary degrees Guidelines Eligibility Nominations Nomination evaluation Recommendations and authorization Chancellor's duty Confidentiality of the process Notification to the recipient Award Rescission of an honorary degree Other honorific naming not a facility or gift related naming Honorary statue, sculpture, or other artistic representation TTU system seals [see also Board Policy Statement on Seals] Authorized seals Seals custodian and authorized use The TTU School of Law seal The TTU Costa Rica seal monument...7 Table of Contents Regents Rules Page 20 of 20