University Governance

Mission Statement

Excellence Above All

The mission of The University of Texas Health Science Center at Houston is to advance the health of the people of the State of Texas, the nation, and our global community through educating compassionate health care professionals and innovative scientists and through discovering and translating advances in the social and biomedical sciences to treat, cure, and prevent disease now and in the future.

To fulfill our mission we:

• Educate health professionals and scientists in a diverse interdisciplinary academic community
• Create and evaluate new knowledge ­ through basic and applied research ­ as it relates to disease prevention, treatment and cure
• Provide appropriate and compassionate clinical care and public health expertise
• Address the health needs of the community at large through educational outreach and service
• Provide leadership in the scholarship of the biomedical sciences, the health professions, health care delivery, and health promotion

We aim to be the best health science center in the world.

Updated 12/02

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Publications

Handbook of Operating Procedures The Rules and Regulations requires that the chief administrative officer of each component institution prepare a Handbook applicable to that particular institution. The Handbook is subject to the approval of the Office of General Counsel and the executive vice chancellor for health affairs, and it may not be in conflict with any part of the Rules and Regulations.

This Handbook implements the rules of governance and administrative procedures for the UTHSC-H in concordance with the policies set forth by the Board of Regents. To avoid confusion with other UTHSC-H documents, the use of the word "handbook" is to be reserved exclusively for the title of this publication.

Distribution. In 1998, the UTHSC-H received permission for the online version of the Handbook to be the official version. Paper releases were discontinued. Policy updates are now sent out via a listserv, which any university student, faculty, or staff member may join.

The listserv membership list will be maintained in the Planning Office, which has been delegated editorial responsibility for the Handbook.

Amendments. Substantive amendments to Handbook policies may be made by the president after consultation with the Executive Council and any members of the faculty, staff, or administration that the president deems appropriate. All substantive amendments may be subject to the approval of the Office of General Counsel and the executive vice chancellor for health affairs.

Revisions to business and fiscal policies must be reviewed and approved by the chief of staff or his designee, while academic policies are to be reviewed and approved by the executive vice president for academic affairs.

Finalized substantive amendments may be submitted to the president, Executive Council, and UT System for approval, as appropriate. After appropriate authorization is obtained, the alterations will be published promptly on the Web, and notification of the policy change will be sent via the listserv.

Catalogs

The various school catalogs of the UTHSC-H are official publications that have been approved by the executive vice chancellor for health affairs and the Board of Regents. They contain general information about the official calendar, admission and progression requirements, tuition and fees, residency requirements, registration, degree and certificate programs and courses, and student services. New editions of the composite and individual school catalogs are issued biennially, and are available while supplies last from the schools.

Glossary

The UTHSC-H Glossary is printed in Appendix C-Guidelines, and defines terms often used in the university environment.

Special Publications

Special publications and documents may be issued as needed, with the prior approval of the president.

Bylaws of the Faculty Councils

Each school of the UTHSC-H may develop bylaws that set forth the organization, committee structure, and rules of procedure applicable to its own faculty council. Each set of bylaws will become effective upon approval of the faculty members involved, the appropriate dean, the president, and the executive vice chancellor for health affairs. Bylaws are published in Handbook Appendix B-Bylaws.

Updated 7/04

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Organization

Standing committees perform in a wide variety of capacities at the UTHSC-H. They are typically called upon to provide essential advice, recommendations, and reportage on a multitude of specialized subjects; they deliver critical review and analysis of issues relevant to institutional health, growth, and productivity; and they expand the opportunities for discussion, activity, and participation from which perceptive leadership can arise. Standing committees provide a critical means of access for faculty, students, and staff who wish to participate in the evolution of the UTHSC-H.

Standing committees function in an advisory capacity to the president. The president determines each Committee's specific charge and appoints its membership, but a few exceptions exist: The membership of the Interfaculty Council is elected by the faculty, and the membership of the Student Intercouncil is drawn from the student body of the UTHSC-H. In addition, there are a few committees whose existence and composition is mandated and specified by legislative requirement.

The composition of any standing committee will reflect the purpose for which it was formed, and enable it to fulfill its charge.

A complete roster of the standing committees and their charges is published annually by the Office of the President and may be obtained by calling extension 500-3002.

Updated 3/98

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Standing Committees

Standing committees perform in a wide variety of capacities at the UTHSC-H. They are typically called upon to provide essential advice, recommendations, and reportage on a multitude of specialized subjects; they deliver critical review and analysis of issues relevant to institutional health, growth, and productivity; and they expand the opportunities for discussion, activity, and participation from which perceptive leadership can arise. Standing committees provide a critical means of access for faculty, students, and staff who wish to participate in the evolution of the UTHSC-H.

Standing committees function in an advisory capacity to the president. The president determines each Committee's specific charge and appoints its membership, but a few exceptions exist: The membership of the Interfaculty Council is elected by the faculty, and the membership of the Student Intercouncil is drawn from the student body of the UTHSC-H. In addition, there are a few committees whose existence and composition is mandated and specified by legislative requirement.

The composition of any standing committee will reflect the purpose for which it was formed, and enable it to fulfill its charge.

A complete roster of the standing committees and their charges is published annually by the Office of the President and may be obtained by calling extension 500-3002.

Updated 3/98

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Chief Administrative Officer

The chief administrative officer of The University of Texas Health Science Center at Houston (UTHSC-H) is the president. The duties and responsibilities of the president are set forth in the Rules and Regulations of the Board of Regents of The University of Texas System. a

The president reports to and is responsible to the executive vice chancellor for health affairs, The University of Texas System, and serves without fixed term, subject to the pleasure of the executive vice chancellor for health affairs and approval by the Chancellor and the Board of Regents.

The president, with the appropriate participation of the staff, has the following responsibilities:

• Develops and implements plans and policies for the program, organization, and operation of the UTHSC-H, and ensures that the institution remains in compliance with any accreditation requirements including the accreditation of hospitals, clinics, and patient-care facilities. Supports the deans in developing and administering the schools.
• Develops a staff in the Office of the president designed to meet the goals and objectives of the UTHSC-H, including aiding individual deans in meeting their schools' objectives.
• Interprets the system policy to the staff, and interprets the program and needs of the UTHSC-H to the office of the executive vice chancellor for health affairs and to the public.
• Develops and administers policies relating to students and the proper management of services to patients.
• Recommends appropriate operating budgets and supervises expenditures under approved budgets.
• Nominates all members of the faculty and staff, maintains efficient personnel programs, and recommends faculty and staff members for promotion, retention, or dismissal for cause.
• Ensures efficient management of business affairs and physical property; recommends additions and alterations to the physical plant. Serves as an ex-officio member of each school, faculty, staff, and student committee of the UTHSC-H.
• Establishes procedures for the appointment of faculty, staff, and student committees of the UTHSC-H.
• Directs the preparation of the rules and regulations governing the UTHSC-H and the submission of them to the executive vice chancellor for health affairs. When the executive vice chancellor approves the rules and regulations, they constitute The Handbook of Operating Procedures of the UTHSC-H.
• Assumes initiative in developing long-range plans for programs and physical facilities of the UTHSC-H.
• Assumes active leadership in developing private fund support for the UTHSC-H in accordance with policies and procedures established in the Regents' Rules and Regulations.
• Assumes responsibility, by delegation from the Board of Regents to the executive vice chancellor for health affairs to the president, for the appointment and dismissal of all other administrative officers of the UTHSC-H including vice presidents, deans, department chairpersons, directors, and their equivalents. Prior approval of the executive vice chancellor for health affairs shall be necessary for each such permanent or acting appointment and each such dismissal from a permanent or acting appointment. In the execution of this responsibility, the president, as he or she deems appropriate, will seek faculty and student consultation in the selection of administrative officers but shall not be bound by nominations to administrative positions by campus selection committees.

^a Board of Regents, UT System, Rules and Regulations, Part One, Chapter II, Section 16.

Updated 3/98

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Other Administrative Officers

The president is supported by an executive office staff and the deans of the Dental Branch, the Graduate School of Biomedical Sciences, the Medical School, the School of Allied Health Sciences, the School of Nursing, and the School of Public Health. The deans, the executive vice presidents, the vice president for public affairs, and the vice president for development compose the Executive Council, which advises the president in policy development, management, and administration of the institution. The executive director of the Harris County Psychiatric Center also reports directly to the president.

Administrative officers serve at the pleasure of the president without fixed terms and perform such duties as are assigned by the president.

Key leadership positions include:

Executive Vice President for Academic Affairs

The executive vice president for academic affairs reports directly to the president, represents the needs and interests of the academic community within the UTHSC-H, and is responsible for managing and coordinating various faculty and student support functions. The incumbent serves as the chief academic officer of the institution. Primary responsibilities include initiating policies and programs to enhance the capabilities and academic excellence of the institution; implementing programs relating to faculty promotion and development and student satisfaction; advising and supporting several of the committees that directly impact the UTHSC-H core mission; guiding the schools in the accreditation process; assisting deans in ensuring compliance with relevant institutional, UT System, and legislative policies; initiating and supporting faculty and student related publications; and serves as a liaison or representative to the UT System Office and various external agencies, boards, and programs.

The executive vice president for academic affairs directly supervises the following positions: the vice president for community programs and educational outreach; the assistant vice president for academic affairs; and the director of academic computing. The incumbent acts as the liaison with the Director of the HAM/TMC Library and insures that all the library needs of the student and faculty are met.

Executive Vice President for Research

The executive vice president for research reports directly to the president, represents the needs and interests of the research community within the UTHSC-H, and is responsible for managing and coordinating various research support functions. The incumbent serves as the chief research officer of the institution. Primary responsibilities include initiating policies and programs to enhance the research capabilities of the institution; ensuring the compliance and integrity of all aspects of research within a multitude of rules and regulations; acting as primary liaison or representative to the National Institutes of Health and other external agencies, boards and programs.

The executive vice president for research directly supervises the following positions: assistant vice president for research administration; the director of environmental health and safety; the director of technology management; the director of the cyclotron facility; and the executive director of the center for laboratory animal medicine and care.

Executive Vice President for Clinical Affairs

The executive vice president for clinical affairs reports directly to the president, and advises the president on furthering the university's clinical goals as part of the university's mission. The incumbent's primary responsibilities include overseeing clinical operations through the UTHSC-H campus, development policies for clinical practice and management, monitoring reports on clinical productivity, and working with the deans to develop new clinical programs.

Executive Vice President for Governmental Relations

The executive vice president for governmental relations reports directly to the president, and advises the president on critical legislative and regulatory issues and initiatives affecting UTHSC-H. The incumbent's primary responsibilities include assuring that UTHSC-H is abreast of governmental activities at all levels and responsive to local, state, and federal officials' requests for information.

Executive Vice President for Strategic Affairs

The executive vice president for strategic affairs reports directly to the president. The incumbent's primary responsibilities include working with the UTHSC-H deans to develop initiatives to ensure the recruitment and retention of outstanding students and faculty; collaborating with the Medical School dean to integrate basic science educational programs involving medical and dental students; and giving increased attention to high-priority needs of the Dental Branch.

Vice President for Development

The vice president for development reports directly to the president and is responsible for planning, organizing, and directing an integrated, comprehensive fund-raising program that will assist the UTHSC-H in meeting its goals and mission. Working with the Development Board, the vice president for development seeks to help establish strong relationships with community leaders and organizations and to develop private financial support for the UTHSC-H from individuals, corporations, and foundations.

Vice President for Public Affairs

The vice president for public affairs reports directly to the president and is responsible for directing efforts to facilitate internal university communications and external, public communications through a comprehensive public relations program that will assist the UTHSC-H in meeting its goals and mission. Through the Office of Public Affairs, the vice president for public affairs seeks to heighten community awareness of and appreciation for the UTHSC-H by working with local and national publications and media personnel.

Executive Director, Harris County Psychiatric Center

The executive director, Harris County Psychiatric Center (HCPC) directly supervises the administrator and the medical director of the 250-bed psychiatric hospital as well as provides psychiatric leadership both in the community and within the profession. The executive director manages the hospital and designs operational plans for the future and is responsible for managing the state- and county-supported hospital budget, including faculty and staff salaries, tenure decisions, budget recommendations and submissions, and the academic curriculum plan. The executive director approves all hospital policies and procedures, ensures that the medical staff is kept abreast of the Joint Commission on Accreditation of Healthcare Organizations accreditation program as well as other licensing agencies' requirements and objectives.

Updated 4/03

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Deans

The dean of each school within the UTHSC-H reports to the president and is the leading academic administrator in his or her profession on the campus; the dean is expected to provide leadership in the profession and the community regarding relevant educational and scientific issues.

The president delegates authority and responsibility to the dean, within the limits set by the Regents' Rules and Regulations. The authority and responsibility of the dean is to direct and manage the schools and to develop plans for the future. The dean will recommend faculty appointments and promotion and tenure decisions; develop and propose the school budget, including individual salaries; administer the admission of students, the curriculum design, and its implementation and evaluation; and determine the progress of students through school and recommend them for graduation. The dean is expected to promote an environment conducive to the academic goals and objectives of the school, including developing human resources (students, faculty, and other employees), developing new knowledge, and, when appropriate, delivering service.

Departmental chairs and other major academic administrative unit leaders serve at the pleasure of the dean, who recommends to the president their appointments to and terminations from those administrative posts.

The dean is a major administrative officer of the UTHSC-H and as such is expected to support the president and his or her staff in carrying out the functions of the Office of the President. The dean sits on the Executive Council and reviews all university-wide policies before implementation and periodically thereafter. The dean is in a position to bring his or her concerns, or those of the faculty, about university-wide policies to the president and has a responsibility to do so; on the other hand, the dean has the mandate to explain university-wide policies to the faculty and to implement those policies once they are in place.

Updated 3/98

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Selection of the Chief Administrative Officer

The Board of Regents of The University of Texas System selects the chief administrative officer of each component institution in The University of Texas System. If the presidency of The University of Texas Health Science Center at Houston (UTHSC-H) should become open, an advisory committee may be set in place to recommend candidates to the Board of Regents.a The chair of such an advisory committee will be the executive vice chancellor for health affairs of the executive vice chancellor for academic affairs. In addition to the chair, committee membership will be as follows:

• The chancellor of The University of Texas System;
• Two chief administrative officers (appointed by the chair of the Board of Regents from two other component institutions);
• Two regents (appointed by the chair of the Board of Regents);
• Three faculty members of the UTHSC-H, at least two of whom have the rank of associate professor or higher (method of selection will be determined by the general faculty of the UTHSC-H);
• The dean of The University of Texas Medical School at Houston;
• One student of the UTHSC-H (method of selection to be determined by the Student Intercouncil);
• The president of the Ex-Students' Association or an alumnus of the component selected by the chair of the Board of Regents;
• One nonfaculty employee of UTHSC-H (method of selection will be determined by the University Classified Staff Council); and
• Not more than two representatives of the component's external constituency to be appointed by the chair of the Board of Regents.

^aBoard of Regents, UT System, Rules and Regulations, Part One, Chapter II, Section 16.

Updated 8/01

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Selection of Other Administrative Officers

When high-level administrative positions become open, the president may provide for reasonable faculty and student consultation in the selection of suitable candidates; however, the president is responsible for nominating candidates for these positions to the executive vice chancellor for health affairs in accordance with the UTHSC-H's policies on equal employment opportunity and affirmative action.a

^aBoard of Regents, UT System, Rules and Regulations, Part One, Chapter II, Section 17.

Updated 3/98

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Reviews of Administrators

As leaders in the university community, administrators play a key role in ensuring the institution achieves its goals in education, research, and service, while also fostering an environment that promotes innovation and quality. Therefore, in addition to the annual performance evaluation that is required for all employees of The University of Texas Health Science Center at Houston (UTHSC-H), there are periodic reviews of administrators. The primary objective of these periodic reviews is to review the progress administrators have made in reaching unit goals and furthering institutional goals. These reviews will be comprehensive in that they will consider progress in the unit's education, research, and/or service programs as well as the conduct of administrative responsibilities such as planning, budgeting, resource allocation, faculty/staff recruitment, and development. In all of these areas, quality, effectiveness, and efficiency will be important considerations.

Reviews will be conducted at the institutional and unit levels. Reviews conducted at the institutional level will be for the incumbents of those positions that are charged with leadership of the university; the positions at this level include the executive vice presidents and vice or assistant vice presidents. Participation in these reviews will include representation from various constituencies within and outside the university community. There will also be review processes at the unit level, and positions to be evaluated include Deans, Associate Deans, Assistant Deans, and Departmental Chairs. Participation in reviews at the school level will include representation from university leadership, members of the faculty and staff of the school, and representatives from external agencies, as appropriate. In all cases, reviews will be conducted periodically during incumbency in a leadership position. "Guidelines for Faculty Involvement in the Evaluation of Administrators" and "Process for Periodic Review of Deans" provide additional information about review processes.

Each individual review will be initiated and coordinated by the immediate superior of the administrator being evaluated. The process will incorporate input from the administrator being evaluated, the faculty and/or staff members of his or her organizations, and other relevant constituencies within the organization, and will include pertinent institutional data.

The written report that will be produced as a result of the review will include findings and conclusions and will be used by unit and/or university administration in a variety of ways. The immediate superior will be responsible for appropriately communicating the conclusions of the review with the individual being reviewed and to members of the university community who participated in the review. Most importantly, these reviews will support department, school, and institutional planning processes as they identify strengths, weaknesses, and potential opportunities for enhancement.

Updated 3/98

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Updating the Handbook of Operating Procedures

POLICY OVERVIEW

UT System requires each component to maintain a Handbook of Operating Procedures (HOOP) as the official repository of that institution's operating policies and institutional administrative processes. The Rules and Regulations of The Board of Regents of The University of Texas is the primary source of most institutional policies and procedures. All new institutional policies or major changes to existing policies must be approved by the president of UTHSC-H and, subsequently, by the Office of General Counsel of The University of Texas System prior to implementation.

The online version of the UTHSC-H HOOP is the official version. No policy can be considered to be official until it is published online. The Office of Planning and Institutional Effectiveness maintains this online publication and exerts editorial control of the contents; please direct questions about the creation or revision process to Dawna Jarvis.

Policies contained in the HOOP may be updated or revised for a number of reasons, including but not limited to:

• A mandate by UT System Administration to change an existing policy.
• A change in the Rules and Regulations of the Board of Regents of the UT System may mandate a change.
• Federal or State laws and/or regulations may change and affect an existing policy.
• UTHSC-H departments who have some responsibility for implementing or overseeing a policy area may propose a revision for currency, clarity, or changes in procedure.
• UTHSC-H department heads, deans, or university committees' may propose a new policy or propose changes to an existing policy.

In revising or drafting policies, the Planning Office always considers the following issues:

• Whether or not the change in a policy or a new policy is indeed mandated.
• Whether or not the change in a policy or a new policy conforms to UT System and Regents' Rules.
• Whether or not the change in a policy or a new policy conforms to federal and state law. The Office of Legal Affairs and Risk Management makes this determination.
• How the proposed change will affect other policies and/or procedures.
• All the parties who must be contacted before a change is made.
• Who, if anyone, from the Executive Leadership must be informed of or approve any change.

The Office of Legal Affairs is consulted about major policy changes on all policies prior to submission to the president for approval. While UTHSC-H is required to submit all policy changes to the Office of General Counsel of UT System Administration for approval, they will usually accept the endorsement of the Associate Vice President for Legal Affairs and Risk Management. The Office of General Counsel is then advised of policy changes via the standard HOOP Policy Update periodic email.

When the Associate Vice President for Legal Affairs and Risk Management determines that a policy must be submitted to the Office of General Counsel of the UT System Administration for review prior to implementation, the Planning Office will prepare a transmittal of the proposed policy change for signature by the president. In these cases, the policy will not be changed until approval from UT System administration has been obtained.

PROCEDURE

I. Mandated Changes

In the case of mandated changes (as reflected in the first three bullets in the Policy Overview), the Planning Office will revise the existing policy verbiage to reflect the revision and will work with all the departments who may be involved in a particular policy to assure that the mandated change is consistent with their understanding of the required change and reflects their new operating procedures.

While the Planning Office attempts to remain current on UT System mandated changes as well as legislated changes, they also depend upon those departments most affected by the policy changes to alert them of needed changes in a timely fashion.

The Planning Office reserves the right to format and otherwise apply the editorial style of the online HOOP to policy revisions.

Once all parties are satisfied with revisions, the Planning Office will ask each party for a formal sign-off. The Planning Office maintains a file on each policy in the HOOP as well as a log of all discussions, changes, cross references, and so forth. Documentation of each policy change is maintained in the file on each policy.

Once all endorsements are obtained, the Planning Office will publish the policy online, noting the date of revision or update.

Periodic policy updates are released to a listserv and particularly important policy changes are disseminated immediately and widely utilizing a variety of UTHSC-H media.

II. Proposed Changes

When individuals or groups within the university desire to propose revision of an existing policy or the creation of a new policy, they should first contact the Planning Office before taking any action. The Planning Office will work with the individuals proposing the policy change or creation to help draft policy language and to resolve issues arising as the policy or policy change is developed.

In these cases, the review of Executive Management and/or a discussion by the Executive Council and approval by the president is required before a policy change can be made. In many of these cases, the approval of the Office of General Counsel is also required.

Created 4/02; updated 9/03

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Legend

The format of this publication includes a set of abbreviations to indicate which departments or entities within the UTHSC-H are resources and/or leaders for the implementation and/or formulation of a specific policy. Within the chapters, the abbreviation(s) appear at the far right of each policy title. Clicking on the abbreviation in the policy will allow you to email a department that can assist in interpretation of the policy.

• A--Accounting
• AUD--Auditing
• AE--Auxiliary Enterprises
• B--Benefits
• BFR--Budget and Financial Reporting
• C--Compliance
• CAM--Capital Assets Management
• CLS--Clinical and Laboratory Safety
• DB--Dental Branch
• DEV--Development
• FS--Facility Services
• HPS--Health Promotion Services
• HSC-MGMT Health Science Center Management
• INA--International Affairs
• IS--Information Services
• LARM--Legal Affairs and Risk Management
• MS--Medical School
• MSS--Management Systems Support
• HR--Human Resources
• NSG--Network Services Group
• OAC--Office of Academic Computing
• OSP--Office of Sponsored Projects
• P--Payroll
• PA--Public Affairs
• PRO--Procurement
• PS--Print Shop
• R--Research
• REG--Registrar
• SPH--School of Public Health
• UTHS--The University of Texas Health Services

Updated 4/02

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