1 - University Administration

1.01 Institutional Strategic Plan

POLICY OVERVIEW

The strategic planning activities of The University of Texas Health Science Center at Houston (UTHSC-H) are ongoing. At intervals, strategic planning outcomes are composed into documents serving institutional purposes. Prior to the submission of the university's Legislative Appropriations Requests (LAR) in even numbered years, the university prepares The State Strategic Plan. The State Strategic Planis a reflection of the current objectives of the various UTHSC-H schools, centers, institutes, and administrative departments. The State Strategic Planprovides the rationale for the LAR. It presents selected courses of action that enable the institution to fulfill its mission and figures importantly in compiling the budget request.

The university also produces an internal strategic planning document every two years. Referred to as Strategic Directions,this document considers all elements of the university and reflects strategies responsive to external and internal environmental drivers.

The UTHSC-H conducts its institutional planning activities in accordance with relevant University of Texas (UT) System guidelines.a

PROCEDURE

Institutional planning is centralized within the Planning Office, which coordinates campus-wide planning activities involving deans, other unit heads, and committees that may be appointed to assist in the planning function by the president. The Planning Office also works cooperatively with the offices of the Executive Vice President for Research, the Executive Vice President for Academic Affairs, and the Chief of Staff to provide estimates of resource requirements for each iteration of The Strategic Plan.

The Planning Office provides format, content, and scheduling guidelines that are consistent with the standards required by the UT System Office of Planning and Analysis and routinely undertakes a variety of research and data collection projects in support of the planning process.

^aUT System Planning Manual (1984).

Updated 4/03

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1.02 Budgetary Environment

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) is publicly funded and derives its financial resources for operational costs in support of its institutional mission from several sources: legislative appropriations from the State of Texas; funds generated by various service providers; federal and other contract and grant funds; contract, grant, and gift funds from private sources and donors; and funds generated from auxiliary enterprises. The uses made of all these funds must be recognized in several budgeting processes and must be encompassed in the Institutional Strategic Plan.

As a state agency, The University of Texas is appropriated funds by the State Legislature on a biennial basis and therefore must prepare a Legislative Appropriations Request every other year. The UTHSC-H must also prepare annual operating budget requests each fiscal year that include budgetary plans for legislative appropriations as well as other fund sources. The fiscal year of the UTHSC-H and all state agencies is from September 1 of one year through August 31 of the following year.

State funds cannot exceed the total legislative appropriation, estimated locally generated revenues, and estimated reserves from prior years.

All other budgeted funds are contingent upon estimated revenues from such sources as patient fees, federal contract and grant awards, private donations, and fees generated through auxiliary enterprises or within service departments. Please refer to policies within chapters 9 and 10 for more information regarding allocation and uses of all budgeted funds.

Updated 5/94

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1.03 Handling Legal Processes

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) must ensure at all times that all practices comply with federal and state regulations as well as applicable state and federal laws. In an organization as large and complex as this one, situations involving legal or regulatory issues will arise. These situations may concern business processes of the university as well as legal matters affecting individuals both within their roles as members of the university community and as private citizens. When such situations are directly or indirectly related to university business or academic matters, the university's legal representatives must be advised and involved as soon as possible. Any inquiries from governmental and other official investigators should be referred to the associate vice president for legal affairs and risk management (LARM.)

The associate vice president for LARM coordinates the processing of all legal documents and instruments to ensure timely and appropriate compliance with UT System regulations and applicable statutes.

This single point of contact permits a single, informed agent of the university to coordinate the handling of such situations and expedite and document all official UTHSC-H communications with The University of Texas System Office of General Counsel and other legal entities.

All faculty and staff are responsible for complying with the institution's policies on handling legal processes, record release (refer to 17.06 Records Management Program) and any other request for information. They are also responsible for exercising proper cautions in dealing with requests for information from the general public. No employee shall disclose confidential information gained by reason of his or her official position, nor shall the employee otherwise use such information for his or her personal gain or benefit.

All verbal and written requests for information must be referred LARM (713.500.3268). Failure to comply with policies related to information requests may seriously compromise the position of the UTHSC-H in pending litigation and may constitute grounds for disciplinary action by the UTHSC- H.

PROCEDURE

If either at work or at his or her personal residence, a faculty or staff member receives via mail, facsimile, e-mail, courier, or process server, an oral or written request (i.e., citation, demand, subpoena) for documents or information related to University of Texas business, that individual must refer the requestor to and forward the request immediately to LARM.

It is imperative that the recipient of a legal process make immediate contact by telephone LARM for an assessment of the legal implications of the process. Many processes can be satisfactorily evaluated by phone and procedures necessary for their resolution can be conveyed to the recipient. If pending litigation demands it, the recipient will be instructed to forward the documents, within 24 hours of receipt, to the associate vice president LARM, who will inform the President and any other university officials who should be apprised.

There are circumstances in which the failure to act immediately on a process may adversely affect or greatly complicate pending litigation. If for any reason the recipient fails to make immediate telephone contact with LARM for assessment, the individual must forward the documents, within 24 hours of receipt, to the associate vice president LARM.

If such a document does not indicate on whom and on what date the document was served, the receiver must write this information clearly on the face of the document prior to forwarding; for example: "Served on me personally, John Doe, 8/25/98." In the case where multiple documents have been requested, the receiver should make a log of all requested documents.

The associate vice president for LARM will be responsible for forwarding the documents to The University of Texas System Office of General Counsel, if necessary.

Updated 6/01

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1.04 Authority to Obligate

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) designates Procurement as the official purchasing agency a of the institution. This function entails the following responsibilities:

• authorizing the obligation of institutional funds for the purchase of supplies, materials, services, and equipment;
• initiating procedures that will facilitate and expedite the purchasing function;b
• delegating the authority to obligate when adequate procedures exist and circumstances warrant it; and
• activity as the university's official contact with the General Services Commission (GSC), formerly the State Purchasing and General Services Commission .c (The purchase of certain commodities requires the participation of the GSC as final purchasing agent, working in conjunction with the designated UTHSC-H agent.)

The designation of Procurement to fulfill these institutional objectives accords with legislatived as well as regental mandate and permits the UTHSC-H to conduct its purchasing activities in a competitive and economical fashion. An equally significant element of this design is that it enables the UTHSC-H to document, justify, and account for the expenditure of public funds.

Under the terms of this policy, the UTHSC-H assumes no liabilitye for an obligation of institutional funds that fails to comply with the established policies and procedures of Procurement. Individuals whose responsibilities include the obligation of institutional funds are expected to become informed about--and work within the framework of--approved purchasing practices as described in this Handbook and in other departmental publications. Failure to abide by these practices, whether the result of ignorance or of deliberate misconduct, may result in financial liability and/or disciplinary action for the individual concerned.

PROCEDURE

Through the agency of Procurement, the UTHSC-H possesses a centralized, integrated structure that carries out commercial buying activities with maximum economy while adhering to the regulatory legislation to which the UTHSC-H is subject. Procurement publishes procedures for employees to use in implementing purchasing transactions. (Also refer to Chapter 13 of this Handbook for procurement policies.)

I. General Communications

All communications (both oral and written) regarding the acquisition of goods for the UTHSC-H with either the GSC or the vendor community are to be made through the authorized purchasing representatives of the UTHSC-H. Under no circumstances may a department initiate a relationship with a vendor for the purpose of expediting an order; all communications of this nature are to be directed to the attention of the authorized procurement representative. Apart from the special circumstances described below, any exception to these regulations requires prior authorization from the Chief Financial Officer (CFO).

II. Special Circumstances

A. Vendor Contact Regarding Repairs

Once a purchasing transaction is complete (after the purchase order is issued) any difficulties that arise relating specifically to equipment repair or servicing may be pursued directly with the vendors by the individual departments concerned; however, these difficulties must be reported to Procurement and documented in order to permit the institution to respond emphatically and consistently to vendors who provide inferior equipment or service.

B. Small Order Transaction

The small order (SO) transaction is an example of the delegation of the authority to obligate from Procurement to other agencies within the UTHSC-H. This transaction places departmental personnel in direct contact with prospective vendors regarding the purchase of goods or equipment. Departments routinely use the small order process to accommodate the acquisition of relatively small items (less than $900 in total cost). For more information on how to enter a small order transaction into TUFIMS, refer to the TUFIMS Users Guide.

III. Procedures

A. See Chapter 13 for detailed policies and procedures.

B. Ratification of Unauthorized Commitments

In exceptional circumstances, UTHSC-H may ratify purchases processed outside the terms of this policy

• if the department has already accepted the goods or services;
• if the purchase would otherwise have been approved if it had been procured within UTHSC-H policies/procedures; or
• if the department can produce documentation of best value and price determination.

1. Once university authorities become aware of an unauthorized purchase, the head of the department/school will be notified.
2. The department head/dean must request the ratification of the unauthorized purchase by the CFO by submitting a form and justification documentation as well as any proposal or bid information received from the contractor to the Director of Purchasing.
3. The Director of Purchasing will prepare the documentation for the Purchase Order file to verify that the purchase, if made through proper channels, would otherwise have met the statutory requirements and recommends ratification to the CFO if appropriate.
4. The CFO ratifies the expenditure by signing the form.
5. In cases where the CFO does not approve, the department head and/or the employee who made the request may be personally liable for the purchase(s). The employee may be subject to disciplinary action up to and including termination.

^aBoard of Regents, UT System, Rules and Regulations, Part Two, Chapter IV, Section 1.

^bId. Section 5.

^cId. Section 3.

^dState Purchasing and General Services Act, Tex. Rev. Civ. Stat. Ann. art. 601b., [[section]] 3.06 (Supp. 1988).

^eBoard of Regents, UT System, Rules and Regulations, Part One, Chapter III, Section 27 and Part Two, Chapter IV, Section 1.

Updated 3/03

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1.05 Use of the University Representation and Graphic Imagery

POLICY OVERVIEW

Appropriate imagery and representations of the university are critical to the effective communication of The University of Texas Health Science Center at Houston's (UTHSC-H) image to both internal and external audiences. When the university's identity is unclear or confused with that of other institutions, the university is deprived of opportunities to promote and celebrate the accomplishments and breadth and scope of the activities of its faculty, students, and staff.

In a university setting so geographically separate and so academically diverse, members of the university's various stakeholder groups are often confused as to appropriate but effective ways to distinguish this university from other University of Texas System institutions and from other institutions associated with the Texas Medical Center. To promote a simple, clear, and consistent representation and image to all constituencies, the university has adopted guidelines regarding appropriate names to be used in referring to the university in specific contexts as well as graphic elements and typography to complement promotion of name recognition and institutional identity.

I. Scope

This policy applies to all UTHSC-H faculty, students, and staff as they represent various roles, activities, and responsibilities associated with this university.a (See also 2.19 Conflict of Interest and 2.57 Political Activity.)

This policy applies to all communication media including, but not limited to, printed materials; digitally recorded or presented materials (including those published on the World Wide Web); three-dimensional representations (such as signage, vehicular signs, uniforms, special promotion items); and statements and/or interviews developed or offered by faculty, students, and staff for representation of their role or work within the university.

This policy applies to representations made by or about faculty, students or staff for/with clinical and other organizations affiliated with the university in terms of publications of these organizations directed toward both their internal and external constituencies.

The specific policy elements that follow are structured to provide for the most typical situations where university representation, attribution, or graphic imagery is an issue. This policy cannot anticipate each and every variable that might apply in a given situation. In all cases where there are questions about this policy or its implementation, faculty, students, and staff should consult the university Editorial Board or the appropriate dean or vice president for clarification.

II. Official Name

The official, formal name of this university as prescribed in state law and The University of Texas System Board of Regentsb is The University of Texas Health Science Center at Houston. The official name of the university must be used in all formal references to the university including, but not limited to, correspondence, contracts, requests for sponsored project funding, publications describing activities of the university and its agents, and so forth. Because of the length of the formal name, representatives of the university may use a shortened form of the official name as secondary references to the university once the formal name has been used (for a complete listing of official and shortened name forms, see II. Approved Name References under Procedure).

III. Joint Attribution

As a general rule, UTHSC-H prohibits the presentation of its name and logo displayed with that of another organization or with any representation of departmental or other logos in any media: letterheads, business cards, signs, webpages, and so forth. (Note: The joint presentation of the name of UTHSC-H and any other UT System component is permitted.)

In special cases, UTHSC-H permits the presentation of its name and logo to be displayed along with equal prominence with that of another institution of equal stature. See Graphic Standards Manual for specifications and examples. No independent logos or images are allowed to represent schools, departments, or entities of the institution.

Individual units (i.e. schools) within the university may enter into an agreement with collegue and/or affiliated institutions. In those cases where a school has a formal agreement on joint representations, that agreement may supersede terms of this policy. The dean or vice president of each operating unit, in consultation with the university Editorial Board, is responsible for developing and executing joint policies relating to attribution and/or graphic images; the president will approve all such agreements. Consult the appropriate dean's office or vice president's office for information or questions related to joint agreements.

PROCEDURE

I. Approved Graphic Representations

1. Seal. The official seal of The University of Texas Health Science Center at Houston or of its individual schools will be used only for official purposes as determined by the Board of Regents, by UT System Administration, or by the president of the university. Typical uses of the university seal include certifying diplomas and official transcripts for students, and other formal or traditional uses such as invitations to graduations or special awards from the university or one of its schools. The UTHSC-H logo may not be substituted for the seal as the identifier of the university or its schools on such documents.

   

   Schools within the university also have seals. As noted above, the school seals are used for formal, traditional purposes and are not typically used in conjunction with the university seal or logo. See Graphic Standards Manual for school logo specifications and examples.

2. Logo. The UTHSC-H logo was developed to be a unique identifier that comprises the primary mission arenas of the university: education, research, patient care, and service. The logo will be incorporated in standard formats on all university stationery, business cards, signage, publications, and so forth.

   

   The logo of the university includes both a graphic image and typography and no alterations or additions to the design, typography, or the wording are permitted. There are, however, standard variations for different format uses. (Refer to illustrations in the Graphic Standards Manual available online or through the office of public affairs.)

3. UTHSC-H printing services has on file the specifications for use of the logo and will prepare camera-ready artwork in response to service requisitions (SRs). Stationery and business cards may be ordered directly from the university print shop using an SR. If an individual or department chooses to use another printer, the standards remain in effect and she or he is responsible for assuring such printing is in compliance with the guidelines in the Graphic Standards Manual. Questions related to the implementation of this policy should be directed to the university Editorial Board.

II. Approved Name References

Faculty, students, and staff will use the appropriate configuration of the logo and the appropriate name of this institution and/or one or more of its operating units:

Because of the length of the name of the university as well as the names of each of the schools, the Graphic Standards Manual includes examples of how to use the names and shortened form references appropriately.

III. Individual Responsibilities

1. It is the responsibility of the individual faculty, student, or staff member to ensure that communications with which she or he is associated such as stationery, business cards, web pages, signage, and any other graphic representation of university activities conform to the graphic standards of the institution.

2. While the university realizes that it is not always possible for a faculty, student, or staff member to ensure that appropriate representation or attribution is given in print or recorded media, it is the faculty, student, or staff member's responsibility to provide accurate attribution information and urge its proper use to the greatest extent possible.

3. Faculty, students, and staff will take care to assure that appropriate attribution information is communicated accurately to any representative of the public media; included in bylines appended to any paper submitted for potential publication in any scientific or medical journal or book; included in bylines on materials presented in abstract form or referring to his or her identification as a UTHSC-H faculty, student, or staff member; and included in any information in promotional or other material related to a presentation at a local, national, or international meeting.

4. All news releases involving UTHSC-H faculty, students, or staff will not only comply with the terms of this policy but also must be endorsed by the vice president for public affairs before dissemination to the media.

5. Faculty, students, and staff are encouraged to include the entire logo (image and typography) on the first and last slides (or overhead transparencies) of any academic, scientific, or other presentations relating to work or study at the university.

6. The UTHSC-H also recognizes the need to adhere to the copyrights law that may apply to any outside material incorporated into any motion picture, photograph, video, or audio recording. In cases where the work presented involves a collaborative or cooperative relationship with another organization, Section IV below will apply.

IV. Exceptions

This policy and the Graphics Standards Manual promote consistency of name and imagery so that the university and its associated faculty, students, staff, and programs are more readily identified and understood by our stakeholders. The policy and guidelines first and foremost promote consistency. There are, however, rare instances where some deviation from the policy and guidelines may be warranted in the best interests of the university. Should a faculty, student, or staff member perceive the need for exceptions to any elements of this policy or the guidelines, she or he should direct an inquiry to the university Editorial Board who will advise the appropriate dean and/or president as to whether or not to grant an exception to this policy or the guidelines.

V. Collaborative and/or Cooperative Projects

1. Individual units within the university may develop joint policies that deal with these issues with affiliated institutions. In those cases where a school has a formal agreement on joint representations, that agreement may supersede terms of this policy. The dean or vice president of each unit, in consultation with the university editorial board, is responsible for developing and executing joint policies relating to attribution and/or graphic images; the president will approve all such agreements. Consult the appropriate dean's office or vice president's office for information or questions related to joint agreements.

2. In published materials, digitally recorded or presented materials, and statements and/or interviews on collaborative or cooperative projects, the individual cited or quoted should identify him or herself by his or her UTHSC-H position first and second by his or her affiliated hospital or other affiliate position or role, regardless of what organization disseminates the information.

3. This policy element applies to all types of collaborative or cooperative projects regardless of their nature: basic or clinical research; education (of practitioners, health professions students, patients, etc.); community service; or patient care (including notable patients undergoing treatment.)

4. As noted above, exceptions to this policy element may be superseded by a joint attribution agreement in effect or may be approved by the dean, vice president, and/or president upon the advice of the university Editorial Board.

Endnotes

^aIn those cases where students are representing the university by presenting or participating in presentation of work done at the university, it is the responsibility of the faculty sponsor of such efforts to assure compliance with this policy.

^bBoard of Regents, UT System, Rules and Regulations, Part Two, Chapter I, Section 9.1.

Updated 2/01

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1.06 Campus Security

POLICY OVERVIEW

The University of Texas Health Science Center at Houston is committed to a safe and secure learning and working environment. To that end, the university strives to assure that its buildings and contents are secure and that members of the university community are properly identified and are given appropriate access to university facilities and amenities.

All UTHSC-H students, faculty, staff, visitors, consultants, observers, vendors, and other authorized persons who have access to UTHSC-H premises must display an official identity badge at all times. In most university buildings, these badges identify the individual and his or her relationship to the universisty and allow the individual appropriate access to university facilities.

Badges are presented to these individuals as they become officially associated with the university. Should an identity badge be lost, stolen, or otherwise rendered unusable, the individual is obligated to report the loss and obtain a new badge. Depending upon the circumstances, the individual will be asked to pay a ten dollar replacement fee. (See 2.08 Identification Badges for more information about identification badges.)

The most important element in maintaining a secure environment is the active participation of all members of the university community. All UTHSC-H students, faculty, staff, volunteers, consultants, observers, vendors, and other authorized persons must recognize, appraise and initiate realistic security measures to reduce risks. Security measures include the development of apporpriate departmental security policies as well as the conscientious utilization of security devices installed by the university.

As stewards of the state of Texas' fiscal and physical resources, all members of the university community have an obligation to safeguard to the extent possible the state's assets. See 16.01 Accountability and Responsibility for State Property and 16.05 Removal of State Property from UTHSC-H Premises for more information related to physical assets. Additionally, the university complies with state and federal law regarding reporting crimes on campus; see 18.04 Reporting Criminal Activity on Campus for additional information.

The University of Texas Police Department is charged with the overall secruity of the UTHSC-H and UTMDACC campus. Their staff of police officers and guards maintain security for all buildings on a 24-hour, seven days a week basis.

Note: The University of Texas Harris County Psychiatric Center's policies on security are more comprehensive and strict. Please consult the administrator's office with questions as to security measures and policies at The University of Texas Harris County Psychiatric Center.

Created 10/02

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1.11 Flags

POLICY OVERVIEW

It is the policy of The University of Texas Health Science Center at Houston (UTHSC-H) that the United States Flag and the Texas Flag be flown on UTHSC-H premises where appropriate structures are available. These flags will be raised and lowered at appropriate times each day by the UT Police Department.

Flags at any of the component institutions of the System shall be placed at half-mast on the death of a Regent, the death of a member of the teaching or non-teaching staff, the death of a student in residence at the institution, or at times deemed appropriate by the president.a

^aBoard of Regents, UT System, Rules and Regulations, Part I, Chapter VIII, Section 2.

Updated 1/94

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1.12 Institutional Mail

POLICY OVERVIEW

Mail Services provides business mail pick-up and delivery for the faculty and staff at The University Of Texas Health Science Center at Houston (UTHSC-H). Two of the primary business mail services provides are 1) intra-institutional deliveries to destinations within UTHSC-H and 2) extra-institutional deliveries to the U.S. Postal Service.

Business mail is picked up and delivered twice daily during regular business hours. This is handled once in the morning and once in the afternoon. Intra-institutional mail picked up in the morning is delivered the same day; mail picked up in the afternoon is delievered the next morning. U.S. Post Office mailings go out the same day they are picked up. Mail picked up from the U.S. Post Office is also delievered the same day.

Departments wishing to use services offered by Federal Express, Airborne--i.e., non-U.S. Postal Service Carriers-- must do so on their own.

Mail Services is funded from state funds and is prohibited from handling personal mail. All items of a personal nature, whether incoming or outgoing, will be returned to the sender.

Access to campus mail facilities by faculty and staff organizations is permissible if the access follows state and federal requirements a and the Regents' Rules and Regulations. The following requirements outline acceptable use of Mail Services by campus organizations:

• Only registered organizations may use campus mail.
• Use of the campus mail by a faculty or staff organization should be for a public purpose related to the educational mission of the university. The determination of whether the use of campus mail by a private organization serves a public purpose is to be made, in the first instance, by the university.

Campus mail should not be used for the following:

• to solicit new members for an existing organization;

• to mail newsletters or other bulk mailings that are customarily mailed from state or national organizations;

• to advertise or endorse commercial products or services or for other private gain purposes;

• for partisan political purposes; or

• for religious purposes.

PROCEDURE

Departments are responsbile for preparing, addressing, and supplying account information (barcode label or mail slip) for their departmental mail. Meter mail is university business mail requiring postage. Mail Services requires all meter mail to be separated from inter-office mail. All bundles should be secured with a rubber band.

Departments must sort, and bundle all bulk mailing by zip code and apply appropriate labels. Mail Services is not equipped to handle any bulk mailings over 2,000 pieces. It is recommended that any bulk mailing over 2,000 pieces be directed to printing services.

When addressing your mail, you will receive the best possible service from the U.S. Post Office if you:

• capitilize everything in the address
• use two-letter state abbreviations
• eliminate all punctuation (except the hyphen between Zip Code and plus four)
• use common abbreviations
• use Zip Code plus four codes

When addressing interoffice mail the following information must be on the envelope

• name
• department
• building code
• room number

The funds involved in these transactions are state-appropriated university funds. There are no charges to departments for the pick-up and delivery of mail. Although, departments are charged for the cost of all metered mail. At the beginning of each fiscal year, departments must submit a service request(SR type MA) through TUFIMS estimating yearly mail costs. Mail Services bills departments monthly for the actual postage expense. A mail slip or barcode label must be attached to each bundle of metered mail to be picked up. This method is used to track a department's mail expenses.

Departments that send out international mail (including Canada and Mexico) must apply a customs declaration to all "non-dutiable" letters or letter packages that weigh 16 ounces or more. Departments, not mail services, are responsible for filling out the customs declaration.

The department of mail services is located at OCB 1.960 (Annex). The hours of operation are 8-5 p.m. Monday through Friday.

^aState of Texas Attorney General's opinion no. JM-1091.

Updated 11/98

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1.13 Handling Communications with the Media

POLICY OVERVIEW

In an organization as large and complex as The University of Texas Health Science Center at Houston (UTHSC-H), situations will occasionally arise that require well-organized, positive, and straightforward communication that will aid in defusing possible criticism or controversy in the minds of the public or university stakeholders. These situations call for rapid decision-making by administrators, faculty, and/or staff members who must be aware of the potential for damage to the reputation or image of the UTHSC-H if they are handled incorrectly or inappropriately. While no policy can anticipate or be inclusive of all the situations that might be characterized as "sensitive," such situations might include those where some institutional wrongdoing has been alleged, some faculty or staff member has become involved in a controversial topic or situation, or where the media has launched an inquiry.

The Office of Public Affairs has been designated as the primary institutional resource for both members of the university community and external publics for handling such sensitive situations. Public Affairs will serve as official spokesperson in these cases.

PROCEDURE

Faculty and staff should refer media representatives to the Office of Public Affairs and must themselves contact the Office of Public Affairs (713.500.3031) when they first become aware of these situations. Public Affairs staff will seek coordination among all university officials who must be involved in this situation and will handle all contacts with the external media. (See also policy 1.05 Use of the University Representation and Graphic Imagery).

Upon initial contact with Public Affairs, the UTHSC-H faculty or staff member will provide detailed account of the situation. The Public Affairs Office contact person will record and review all details concerning the situation, such as the names of individuals involved and policies/procedures involved, to ensure accuracy and completeness.

If necessary, the Public Affairs Office will assemble a crisis management team composed of institutional personnel with expertise relevant to the situation. The team will become familiar with the matter and its components, such as regulations, policies, and procedures germane to the situation, and make recommendations for a plan of action.

The Public Affairs Office will prepare, as appropriate, a plan of written and audio/visual media communications activities designed to anticipate and to respond positively to the crisis, and will be presented by designated UTHSC-H spokespersons.

Updated 1/00

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1.14 Photographic, Audio, and Visual Recordings

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) recognizes that occasionally, in continued pursuit of its mission, it may be beneficial to make motion pictures, videotapes, photographs, and/or audio recordings of individuals for distribution. Examples of such instances are videotaping medical procedures on actual patients for educational viewing by health care students and professionals and producing promotional videos featuring individuals at UTHSC-H campus sites.

The UTHSC-H also recognizes the need to obtain permission of individuals to protect the right of privacy of individuals used in photographs, motion pictures, video, and/or audio recordings; right of distribution and use that the UTHSC-H retains over such materials; and to adhere to the copyrights law that may apply to any outside material incorporated into any motion picture, photograph, video, or audio recording. In acknowledging the importance of these rights and responsibilities, the UTHSC-H has established procedures to be followed before the university distributes and/or uses for its own purposes such recorded material. As part of the employment agreement, however, the UTHSC-H may feature its employees in motion pictures, photographs, video tapes, and/or audio recordings made by the UTHSC-H without their express permission.

PROCEDURE

A non-employee whose visual/audio likeness appears in motion pictures, photographs, video tapes, and/or audio recordings must sign a release form, which has been developed by the Office of Legal Affairs and Risk Management.

This release form will grant to the UTHSC-H permission to use, and/or distribute the recordings. Also, the form specifies that the individual whose likeness appears in the recording has notified the UTHSC-H of any copyrighted material used by that individual in the presentation, including providing to the UTHSC-H the name and address of the copyright holder. If the individual is a minor, the individual's parent or legal guardian must also sign the release form.

Updated 1/94

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1.16 Recycling

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) and the State of Texas are committed to protecting the quality of the environment for present and future generations and preserving the earth's natural resources. To achieve these goals and to comply with state mandates, the UTHSC-H has established an active recycling program to reduce the amount of solid waste that the institution generates, and to encourage the procurement of recycled, recyclable, and energy-efficient products.a Through its Recycling Committee, the UTHSC-H will continuously establish programs to encourage maximum employee participation in the recycling effort.

PROCEDURE

Each UTHSC-H department shall take the following actions:

• establish a program for separating and collecting recyclable materials generated by that department's operations, including, at a minimum, aluminum, high-grade office paper, and corrugated cardboard;

• provide procedures for collecting and storing recyclable materials and containers for recyclable materials; and

• establish procedures to take collected recyclable materials to a central area in the building where these materials will be collected for pick up by the recycling agent holding the institutional recycling contract.

The responsibility has been delegated to the director of building services to oversee and coordinate the UTHSC-H recycling program on an institution-wide basis, to establish and oversee contractual agreements or other arrangements with buyers of recyclable materials, and to establish procedures for transferring recyclable materials from a central building location for pick up by the recycling agent. It is also the responsibility of the director of building services to evaluate the amount of material recycled and to modify the program as necessary to ensure that all recyclable materials are effectively and practicably recycled.

Revenues generated by the recycling program will be passed to a special Presidential Fund to help finance projects such as scholarships for needy students by school, environmental projects, the children's area at LBJ Hospital, and indigent health care.

It is the responsibility of the Purchasing Department and Stores to give preference in purchasing to products made of recycled materials if the products meet applicable specifications as to quantity and quality and guidelines established by the General Services Commission (for more information, contact the Purchasing Department or Stores).

^aSenate Bill 1340, Seventy-second Legislature, and Executive Order AWR92-2.

Updated 10/96

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1.18 Student, Faculty, or Staff Organizations

(Note: This policy was formerly published as 6.05 UTHSC-H Student Organizations)

POLICY OVERVIEW

While The University of Texas Health Science Center at Houston (UTHSC-H) encourages its students, faculty, and staff to develop collegial relationships, there are specific policies that govern any organizations formed by those affiliated with the university.a

An organization that is registered with the UTHSC-H may have a membership composed of students, faculty, and staff of all or particular schools or operating units, but it will not suggest or imply that it is acting with the authority or as an agency of the institution.

Accordingly, a registered organization will not use the name of the UTHSC-H or the name of The University of Texas System as part of the name of the organization. An organization cannot display UT-Houston logo or the seal of either the UTHSC-H or The University of Texas System in connection with any activity of the organization or use such marks as part of any letterhead, sign, banner, pamphlet, or other printed material that bears the name of the organization. A registered organization may not have any person as a member who is not either a registered student or a member of the faculty or staff of the UTHSC-H.

If the president believes the activities of an organization are inimical to the educational purposes of the institution, he or she may prevent the organization from registering.

Any registered organization that violates a rule or regulation of the UTHSC-H or The University of Texas System is subject to disciplinary action or revocation of registration. Organizations are governed by campus-wide policies on solicitation, use of university facilities, and speech and assembly. (Refer to 2.05 Solicitation on Campus, 2.09 Use of University Facilities, and 2.12.1 Speech and Assembly.)

Organizations may not use the facilities of the UTHSC-H if they have a delinquent debt with the UTHSC-H.

PROCEDURE

I. UT-Houston Health Science Center-wide Organizations

An organization or group whose focus is UT-Houston-wide may register its organization by submitting to the president a statement of the purpose, composition, and bylaws through the UTHSC-H Office of Research and Academic Affairs.

As a condition of being a registered organization or group, the following information must be filed with the Office of Research and Academic Affairs at the beginning of each fiscal year.

• A complete list of members and of officers who are authorized to speak for and represent the organization or group denoted on the list. The list must be kept current and accurate throughout the year.

• A written statement that the organization or groups does not have as a member any person who is not either a registered student, a faculty member, or a staff member of UTHSC-H. If the organization or group fails or refuses to file the required statement or if the president determines that the statement is false, the president, after providing notice, shall begin disciplinary proceedings. The president or the Hearing Officer may cancel the registered status of the organization or group or impose other appropriate penalties.

The UTHSC-H has formal center-wide organizations of faculty, students and staff: the Interfaculty Council, the Student Intercouncil, and the Classified Employees Council. Each of these organizations is comprised of representatives from each of the schools and or operations units and includes minority and international representation. Bylaws of these organizations are located in Appendix B.

II. School-Based Student Organizations

An organization or group that is school-based may register its organization by submitting a statement of the purpose, composition, and bylaws to the dean of that school for approval. The recommendation of the dean and the accompanying documentation for registration of the organization or groups should be forwarded through the Office of Research and Academic Affairs to the president.

As a condition of being a registered organization or group, the following information must be filed with the Dean's Office and the Office of Research and Academic Affairs at the beginning of each fiscal year.

• A complete list of members and officers with officers or members who are authorized to speak for and represent the organization or group denoted on the list. (The list must be kept current and accurate throughout the year.)

• A written statement that the organization or group does not have as a member any person who is not either a student, a registered faculty member, or a staff member.

Each of the six schools of the UTHSC-H have recognized formal student organizations. For more information about these organizations, contact the Student Affairs Office in each school.

^aBoard of Regents, UT System, Rules and Regulations, Part I, Chapter VI, Section 4.

Updated 1/01

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1.19 Use of the Designation of 'Center' or 'Institute'

The University of Texas Health Science Center at Houston (UTHSC-H) encourages the development of collaborative relationships among UTHSC-H faculty and others around research and academic interests and pursuits related to the mission of the university.

To that end, the UTHSC-H will enable schools and the university itself to establish centers and institutes for specific purposes in pursuit of the organizational mission.

Centers

When such intradisciplinary and interdisciplinary relationships evolve into relatively stable and ongoing organizations, the participants often seek to organize themselves into a "center. The term "center" is used broadly at UTHSC-H; it may describe the activities of groups working on large research or service projects funded extramurally; other times, the term may be used to represent an unfunded, informal relationship among faculty with a common research interest.

The designation of an organization within a school or across schools as a center under the aegis of UTHSC-H should refer only to an organization devoted to a non-profit activity engaging UTHSC-H faculty and colleagues in scholarly work related to the mission of the university.

In all cases, a center is subject to all policies and procedures of UTHSC-H and may be subject to reporting and auditing requirements.

All faculty who affiliate with a UTHSC-H center must have an academic appointment in one of the UTHSC-H schools.

The university endorses the development of centers but requires that faculty who form such organizations within a school or within the university receive approval of the deans of the schools involved as well as the approval of university executive leadership. When an individual, department, school, or research group responds to an external funding agency's request for proposal for funding a center, any resulting center establishment must also be approved through the process described below in addition to the university's normal grant process. Upon notification of the award for a successful application for a funded center, the Principal Investigator must follow the procedures outlined below to obtain official approval for the new center.

Each center will have a primary affiliation with one of the UTHSC-H schools although faculty from all UTHSC-H schools are encouraged to affiliate with appropriate centers in other schools. The dean of the associated school is charged with institutional oversight of the center. In the case of centers that have widespread membership and missions, the president may charge an appropriate executive vice president with the responsibility for institutional oversight.

Each center will be required to submit an annual report to the dean(s) or executive vice president with oversight responsibility, who will append the center's report to their annual management report. The dean or executive vice president with oversight responsibility will determine the exact format of an individual center's annual report.

Institutes

The term "institute" is used to describe a major, comprehensive organizational configuration focusing on a particular aspect of biomedical or behavioral research. At UTHSC-H this term is reserved for such major organizations as The Institute of Molecular Medicine for the Prevention of Human Diseases or The Institute for Health Policy. The term "institute" can be used only to describe such an organizational entity within the university and the use of the term "institute" must be approved by the president of the university.

EXCEPTIONS

In some cases, the term "center" may be used by school or by the university administrators to designate a particular service, administrative, or coordinating activity such as The Center for Animal Care and Laboratory Medicine or the Center for Nursing Research. The term "center" may also be used as part of the name of a major clinical service provider such as The Harris County Psychiatric Center. When such centers are created, the dean should inform the other deans and executive leadership of the university.

PROCEDURE

I. Establishment

To establish a new center, the faculty involved should develop a proposal for the approval of affected deans.

The proposal should include

• a statement of objectives

• a list of faculty who will initially be involved

• an indication as to how the center will be funded and relevant operating procedures.

Operating procedures would include how the center is to be organized, leadership, membership, the processes of selection of a director and members, and so forth. The operating procedures describe administrative and financial processes that will be used to insure that UTHSC-H policies and procedures are followed in all aspects of the center's operations. The proposal should also describe the relationship of the center to formal organizations within the university or external to the university. If university space is to be used to conduct center activity, additional space requirements, if any, should be described. The proposal packet should include bylaws or other operating procedures if such are relevant.

Once the dean (or deans, where there will be multiple schools involved) endorses the proposal, the dean will forward the proposal to the executive vice president for research for review and approval. At their discretion, they may seek the advice of other Health Science Center groups (e.g., Interfaculty Council, Research Council, etc.) or leaders. Following their review, they will submit the proposal to the Executive Council for review and final recommendation to the president.

The president must approve the proposal before the term center can be used to describe any such activity under the aegis of UTHSC-H. Once approved, the center will be required to submit an annual report.

Centers will be approved for five-year terms, and will be automatically discontinued if not formally re-approved by the president for subsequent five-year terms. Requests for continuation of centers will be made by the dean or executive vice president with oversight responsibility and should include a summary progress report and any significant changes in proposed organization or operation of the center for the new five-year term. Requests will be submitted to the Executive Council for their review and final recommendation to the president.

II. Annual Reporting

As part of the institution's annual report process, center directors or others who have administrative responsibilities for centers must submit a report of center activities each fiscal year. As noted above, the exact format and content of the report will be determined by the dean or executive vice president with oversight responsibility, but reports are generally expected to include brief updates of center goals, progress toward goals, and summary plans for the coming fiscal year as well as other, relevant information such as associated publications and presentations, financial support for center activities, major grant proposals or awards, and so forth. Center reports should be incorporated into the annual management report of the appropriate dean or executive vice president.

Updated 8/02

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1.20 University Trademark

POLICY OVERVIEW

The name, logo and seal of The University of Texas Health Science Center at Houston (UTHSC-H) are registered trademarks and cannot be used unless authorized. Faculty, staff, departments, schools, centers, or student organizations representing the University in an official capacity and UTHSC-H-sponsored organizations are authorized to use the name, logo and seal in any activity that is directly in support of UTHSC-H's mission areas of teaching, research, patient care, or community service. This applies to merchandise created by faculty, students and staff for use in promotional activities as well as to organizations - official or otherwise - who create or commission the production of merchandise used to promote mutual organizational and institutional goals.

The name, seal or logo may not be used in a manner that is detrimental to UTHSC-H or to the University of Texas System.

Use of these images and representations of UTHSC-H on merchandise for offered for sale or resale or to be given away is expressly prohibited without written authorization of UTHSC-H executive management.

It is the responsibility of the individual faculty, student,a or staff member to ensure that merchandise or other representations with which she or he is associated including, but not limited to, shirts, caps, cups, stationery, business cards, signage, and any other graphic representation of university activities conform to the graphic standards of the institution and to the university's trademark policy.

In all cases, the production and distribution of such representations as noted above are prohibited unless the vendor producing such merchandise has been licensed by The University of Texas System.

University Seal and Logo

The official, formal name of this university as prescribed in state law and The University of Texas System Board of Regentsb is The University of Texas Health Science Center at Houston. This official designation as well as the seal of the university is used only on formal, official documents; examples of such documents include, but are not limited to, contracts, affiliation agreements, requests for sponsored project funds, diplomas, graduation invitations, and transcripts. The seal of the university - or any of its component schools - should not be used on merchandise. The seal of the university is shown below.

The university has devised a graphic logo designation for internal and external use. The name The University of Texas Health Science Center at Houston as well as the shortened name forms (UT-Houston Health Science Center; casual reference: UT-Houston; or 2nd reference: UTHSC-H or UT-H) and associated graphic elements comprising the UTHSC-H logo should be used on merchandise. The official logo in its most common representation is shown below.

The UTHSC-H logo is a unique identifier that comprises the primary mission areas of the university: education, research, patient care, and service. The logo includes both a graphic image and typography. No alterations or additions to the design, typography, or the wording are permitted, although there are standard variations for different format uses. (Refer to illustrations in the Graphic Identity Guidelines, available through the office of public affairs.) The UT System Trademark Licensing Office has approved certain variants to the UTHSC-H name to be used only in those situations deemed to be in the best interest of UTHSC-H.

University Name on Merchandise

Merchandise should use the appropriate configuration of the logo and the appropriate name of this institution and/or one or more of its component units:

• The University of Texas Health Science Center at Houston

• The University of Texas Dental Branch at Houston

• The University of Texas Graduate School of Biomedical Sciences at Houston

• The University of Texas Medical School at Houston

• The University of Texas School of Health Information Sciences at Houston

• The University of Texas School of Nursing at Houston

• The University of Texas School of Public Health at Houston

• The University of Texas Harris County Psychiatric Center

• The University of Texas Institute of Molecular Medicine for the Prevention of Human Diseases

Trademark Licensing and Income

Vendors producing any merchandise bearing the name and/or graphic identity of UTHSC-H must be licensed. The University of Texas System Trademark Licensing Office has signed a contract with Collegiate Licensing Company (CLC) to manage the trademarks of the UT System and its component institutions. CLC negotiates the vendor licenses directly with the proposed vendors. All trademark royalty income received by UTHSC-H for sales of products bearing its trademarks are set aside for scholarship programs.

Policy Exceptions

In unusual circumstances, exceptions to this policy may be approved. If a faculty, student or staff member requests an exception to the policy, he or she must submit the request in writing, through the appropriate dean or vice president, to the UTHSC-H Editorial Board for consideration. Upon consultation with and approval of the president of the university and any other affected parties within the institution or affiliated organizations, the Editorial Board may determine whether or not to make a policy exception. This exception, if approved, will be documented and will relate only to the specific situation that prompted the request.

PROCEDURE

Use of the logo or name on merchandise must be approved prior to an individual or group issuing a purchase order. Approvals must be obtained from the dean of a school or from a vice president of an administrative unit. Requests should fully describe the requested use, merchandise and purpose.

Once approved by the dean, the purchase order should be issued to a licensed vendor. In order to place the UTHSC-H logo or name on merchandise for sale, resale or as a gift, the vendor producing such merchandise must receive a vendor license from CLC. The UTHSC-H bookstore maintains a list of vendors authorized to use the UTHSC-H mark. The bookstore manager is available to consult with the party requesting the merchandise in determining whether licensed vendors can provide the requested merchandise.

If a licensed vendor cannot provide the merchandise or if it is determined that this is a one-time deal and another vendor quotes a lower price, then the requester should ask the office of technology management to contact the unlicensed vendor and assist in their becoming licensed through CLC. UTHSC-H printing services and school-based media services have the specifications for use of the logo on file and can prepare camera-ready artwork in response to service requisitions (SRs) or through other processes.

Questions related to the implementation of this policy should be directed to the appropriate dean or vice president. The UTHSC-H bookstore and the office of technology management are also available for consultation.

Endnotes

^aIn those cases where students are representing the university by presenting or participating in presentation of work done at the university, it is the responsibility of the faculty sponsor of such efforts to assure compliance with this policy.

^bBoard of Regents, UT System, Rules and Regulations, Part Two, Chapter I, Section 9.1.

Established October 2001

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1.21 Communication with Government Officials

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) is a large, complex organization with a multifaceted mission of education, research, patient care, and community service. Effectively carrying out this mission necessarily involves a wide array of relationships and communications between UTHSC-H faculty and staff and local, state, and federal officials. As both citizens of the nation, state, and region and members of the university community, UTHSC-H faculty and staff may become aware of or involved with legislative and regulatory issues related to their personal interests, their role at the university, or in their area of expertise. The university recognizes and appreciates the privilege of each faculty or staff member as citizens of this state and nation to express his or her own political opinions. The right to express one's own opinions and to seek to make that opinion known is inalienable.

At the same time, the UTHSC-H leadership has been entrusted with the stewardship of this university and recognizes that the interests of and plans for the university and the interests and plans of individuals who are employed by the university may not coincide. Only the president and his designees will speak for the university in matters related to legislative processes and governmental affairs.

Faculty and staff who choose to exercise their rights as citizens must make every effort to indicate clearly that the position they take is an individual opinion and does not represent the opinion of the university. If a faculty or staff member identifies himself or herself as a member of the faculty or staff of this university, he or she must clearly state that the opinions expressed are his own and not those of the university.

Faculty or staff members may not utilize any state resource in any expression of their political views or personal opinions. This policy expressly prohibits UTHSC-H faculty or staff from using university funds, university materials, university telecommunications media and university staff support in communicating their personal opinions and views to government officials.

Many contacts and communications between faculty or staff and governmental representatives are unrelated to either political, legislative or regulatory processes and the overall institutional interests and priorities and thus are properly within the purview of individual faculty members or operating units. Examples include physician-patient relationships, contract and grant-related issues, routine business matters, and oversight of student internships at government agencies. There is no intent in this policy to restrict or hamper these beneficial working relationships that promote the institutional mission.

As an educational institution in health care, UTHSC-H includes many individuals who are involved in mission-related pursuits that are related to legislative or regulatory processes. Many times faculty and staff may be contacted by governmental officials or their representatives for information or consultation. Faculty members may be involved in advocacy related to an extra-mural organization that has some relationship to the university and/or its mission. While the university is enhanced through such overtures and encourages faculty and staff toward service to their fellow citizens, the university maintains the right to be informed of such contacts or relationships and to be involved, as appropriate, in such relationships.

All communications with government officials pertaining to matters of UTHSC-H institutional interests, legislative priorities, or related policy matters must be coordinated through the Office of Governmental Relations, which is charged with overall responsibility for communications with government officials and agencies on these issues. Central coordination assures that one part of the organization is not working at cross purposes with another and prevents confusion on the part of government officials as to the university's priorities. As necessary and appropriate, the Office of Government Relations will coordinate with other university officials.

SCOPE OF POLICY

• The officials covered by this policy are the heads of federal, state, and local departments and agencies, whether elected or appointed; members of Congress; members of the Texas Legislature; members of Harris County Commissioners Court; members of Houston City Council; and the immediate staff of these persons.

• The topics of communication covered by this policy are those pertaining to matters of UTHSC-H institutional interests, legislative priorities, regulatory oversight, or related policy matters.

PROCEDURE

Before contacting any state legislator or state agency/department head on a covered topic, faculty or staff members must first discuss the issue and the desired action with a representative of the Office of Governmental Relations. The Assistant Vice President for Governmental Relations is the primary contact for state-related issues.

Before contacting any other officials, such as members of Congress, heads of federal departments/agencies, or officials of Harris County and the City of Houston, on a covered topic, faculty or staff members should first discuss the issue and the desired action with a representative of the Office of Governmental Relations. The Executive Vice President for Governmental Relations is the primary contact for federal and local issues.

Faculty or staff members must inform a representative of the Office of Governmental Relations when he or she has been directly contacted by a government official or his or her staff members on a covered topic. Based upon the nature of the contact and its ramifications, Governmental Relations staff will consult with the President as appropriate and determine the most appropriate next steps.

Created 8/02

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