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eries 1QOOO;J)oard .Governanceerie 20000: dmini tratipIIeries 30.000: Per:s~nnel

rie 40000: cademic I ueeries 50000: tudent Is ueseri 60000: De elQpm nterie ~OOOO: Investmentseries 80000:_ acilitieeries 90000: Intellectual Property

Series 10000: Board Governance

ISeries 10100 IIRule on Rules and Regulatiolls I~~ISeries 10] 01 I]Authority IrmJ~ISeries 10102 11Chainuan and Vice Chainnen I~~ISeries 10201 IIOfficers in the Office of the Board of Regents IrrrJ~ISeries 10401 I]Meetings of the Board and Standing Committees l~~[Series 10402 IICommittees and Otber Appointments I~~ISeries 10403 "Procedure IrrtJ~ISeries 10501 ilDelegation to Act on Behalf of the Board I~~ISeries 10601 IGuidelines for tbe Santa Rita Award ~~ISeries 10701 IPolicy Against Discrimination 1'\ 1"", "\ \\c\.<t~(} ~~

Series 20000: Administration~~ \{\.,

ISeries 20101 II~ch=a=nc=el=lo=r==============llm I~ISeries 20102 IIAppointment of Officers I!~ I~

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http://www .. utsystem.edu/bor/rules/CompleteTOC-2.htm 4/21/2005

The UniversiLy ofTexas System - Hoard of Regents' Rules and Regulations

Series 20202 Presidential Cash Compensation

!Series 20203 J1Compensation for Key Executives ]/series 20301 ]/Honorary Title:s and Degrees ]!Series ~040 ( lk\udit and Compliance ]ISeri~s 20402 J[hovision of Audit and Non-Audit Services by External Finns ]Series 20501

Accounting, Operating Budgets, and Legislative AppropriationRequests

!Scries 20601 IIAircraft Use I!Series 2070 I IUse of Historically Undertttilized Businesses ]~erics 208~ITravel ~

Series 30000: Personn(>l

Page 2 of6

l§.iries 301 QCJICla~sified Personnel Pay PlaIl lmJjSeries 30102)@en~ntlAppointment Information 1fr[1/Series 30103 I/Standards Qf Conduct ILIDI~eries 30 I04 Ilconflict ofInterest J~[Series 30105 l~xllal Harassment and Misconduct --~[ff]

!Series 30106JINcpotism l~ISerics 30 l12 ]Training and Educa.tion JrnuISelies 30201 llLeave Ilolicics IrmJl~eries 30202 !IEmployec Benefits j~jSerics 30203 j!Sick Leave Pool ~~!Series 30301 )EmpJoyment of Retirees I~I~eries 30401 .IIEmployec and Faculty Advisory Councils ![m]ISeries 30501 IlEmPloyee Evaluations J~(series -30601 jlDiscipline and Dismissal of Employees ~rm!Serics 30602 J!Employce Grievance I~Series 31 t){}1 faculty Appointments and Titles I~Series 31 002 Notice of Non-Renewal to Non~Tenured Faculty Members IrnD[Series 31003 ]!Abandonment of Academic Positions or Progra.ms ~:mJ~rics 31004 ]§ights and Responsibilities of Faculty Members I~Series 31 005 !Faculty or Staff Absence ]l?[jSeries 31006 Academic Workload Requirements I~I I ----"ll-~!

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!Series 31101 IIEvaluation of Administr~tors II~ l~ISeries 31102----'llEYaluation of Tenured Faculty llliJ I~Series 40000: Academic Issues

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~~II \lmJ~======================Co=o=rd=in=ii=te=d=A=dn=l1="sS=io=n=p=ro:::::;;gr=a=m===========iil~111 ~.. ;. ISummer Enrollment Plan . ~ 'EJ

I!series 401~\Facultv Role in Educational Policy Fonnulation-Series 40201 jRegistered Organizations IjS;ries 40301]19cneral Admission Policy !ISeries 40302 ][Provisional Admission Policy I

Series 40303Establishing Both Admission Policies and Criteria for Award ofScholarships and Fellowships

Series 40304 Affinnative Action PlansI

I Series 40305 IISeries 40306

rs-eries 40307 \~emic Program Approval Standards w~rn~J====~======~=============

1'lSeries 40308 IIRevicw of Excess Core Curricula ~Im ~~

IISeries 40309 .11Administration of Courses Offered in Shortened Format ll~ j~!Series 40310 IAccessibility of Teacher Certification Courses I~ l'@ -I(Series 40311 IGraduate Education \~ I~

ISeries 40401 IAssessment, Collection, and Waiver of Tuition and Fees 11m I~~es 40402 J~~gencyStudent Loan Program for Tuitions and Fees Ifm I~ IISeries 40403 !!Fees for Continuing Education Courses l'~ IlIDl'series 40404 IITuition Rates for Students Residing in Certain Counties and 11mI~L=====IFIS=ta=te=s====================~ EJ[series 40405 ! Tuition Rates for Undergraduale Students with Excessive I~ II~

I Semester Credtt Hours EJ1~=Se=n='e=s==4=O=40=(j=llb=A=u.m=in=i=str=a=tl=·o=n:;;;;;O=f=S=ch=o=lar=sh=j=ps===========~Jrm II~ l'[Series 40407 I\Texas Public Education Grants/Loan Program ll~ J[~ I

Jlseries 40501 IISpeech and Assembly 110m II~J

~ries 40502 INegotiations Related to Disruptive Activites Prohibited 11m II~=I,

ISeries 40503 ][Anonymous Publications 11m I\~ II~s 40601 I~utions Comprising The University of Texas System jl~ I~

ISelies 40701 \!Medical and Hospital Services 11'm lf~ I

I l~~e=n=·e=s4=0=70=3==UI[=H=ea=lt=hc=ar=e=R=is=k=M:::::an=a::::::;g=em=c=nt==========lll~ 1,1~ III l! [1111

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The University of Texas System - Huard. of Regents' Rules and Regulations Page 4 ofG

lScries 40801

ISeries 40901

Series 40902

I~ficlal Seal, CoIms, Logo, and Mascol jl~ 1~_JII""Cl;;la;;'rte':';r';SC;;h:;':OO":'IS~~~~~~-=e~==~===I[t!ll~ IGuidelines for Cooperative Lse of Courses and Facilit.ies with Il\~ \~ ITexas A&M University .

Series 50000: Student Issues

[Series 50 1}Jl\!Studcnt Conduct and Discipline

[Series 50201 lfStudeUl Advisory Council I[Series 50202 !lshldent Organizations I@eries 50203 l\Participation in Student Govemmc.nt I[series 50301 Irff~Campus Student Housing ISeries 50302 ll~tudent Partir.ipation in Selection and Monitoring of Food Service

Contractors

lSeries 50303jlQebts of Students IIScrie, 50304 \IStudent Debit Cards I[Series 5fl305j!Employmcnt of a Student's Attorney IISeries 50401 !li!llmunization of Students Against Hepatitis B IjSl,;ri~s 50402 IlllltfTnational Student Health Insurance Requirement I[series50~~nt H"alth fnsurance Requirement I

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Series 60000: Development

ISeries 60101 l~plallce cmd Administration of Gifts ll~ll~ \[Series 60102 I(Fec for Institutional Endowment Compliance (I~I~

~eries 60 D&][Guidclines for Acceptance of Gifts ofReal Property =:JIm I[~ I[Series 6020 1 I~inistratioll o[Fellowships, Scholarships, ,",d Loan Funds 111!l1~~ _I[eries 60W2],Endowed Academic Positions ]Itlll~

ISeries 60301 IfDevelopment Board Oflill Institution Il~l~

[eries 60302 l!Advisory Councils or all Institution k~dl~

ISeries 60303 IIIIllemal Foundations II~I~

[St:ries 60304 11Intemal Nonprofit CQrporations I~]~II II - inr==1

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~~OTJllnvcstmetlt Policies

ISeries 70202 )!lnterest Rate Swap Policy

ISeries 70301 IIMatters Relating to Real Property

IScries 70401 IIOversight Responsibililies [or UTIMCO

Series 80000: Facilities

ISeries 80101 IjCategory of Facilities and Authorized Users 1IIIm II~ I

lseries 80 I02 jlAlcoholi<: Beverages I~I~ISerit:s 80103 II Solicitation I~I~ISeries 80104 IIUse ofFacilities I~I~ISeries 8010SjlJoint Sponsorship of the Use of Property or Buildings I~~ISeries 80106 I~pecial Use Facilities I~I~ISeries 80107 IllPi lming Motion Pictures or Television Productions I~I~ISeries SOWS l[USe of Facilities for Weddings I~I~ISeries 80109 IIParking and Traffic Regulations I~I~[Series 80110 IIProtection of Artificial Bodies of Water and Other Property I~I~ISeries 80111 IISmoke-Free Facilities I~]~ISeries 80zOl]IDisposal ofU. T. System Property I~I~ISeries 803~IICapitallmprovement Program _I~I~ISeries 80302 I[Building Comminees I~~]Series 80303 IIUse of the Available University Fund 1[mJ~'ISeries 80305 IIDebt Policy I[m][j[]

ISeries 80307 IINaming of Facilities I~~[Series 80308 111nscriplions on Building Plaques r[mJ~ISeries 80401 IIprevailing Wage Rates I~I~ISeries 80402 IIMajor Construction and Repair and Rehabilitation Projects I~I ~IISeries 80403 ]Minor Construction and Repair and Rehabilitation Projects I~I ~ISeries 80501 Iluti 1ity Easements I~)

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The University of Texas System - Board of Regents' Rules and Regulations

lSeries 60305 IIExternal Nonprofit Corporations

,1Scries 60306 flQiiofUnivcrsity Resources

Series 70000: Investments

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The University of Texas System - Board of Regel,ts' Rules and Regulations Page 60f6

lseries 80QQl J~operty and Casualty Insurance and Surety Bonds I~ 11lf!1 I)Series 80701 IApproval of Housing Rates ~~~@;;:~:;;rie;;;;S~80~8~01=iIFIF;flaf::gS~~~~~~=========:lrnuliIDI

~~===========~cries 80fuJjCOnStitutionai and Legislative Restrictions ~!~ l~

Series 90000: Intellectual Property

IScrjes 90101 ] General Rules for IntellectuaJ Property II~ II$lJ IIfls;;e;:;ri;;es~9O~liJD;;02~:flp;;ro;::p;;e';;rt;::y~Ri='g=h;::t,:;'a;::n:;'d;::o~h-'"li;;ga::;ti;::o;;ns~;;;;o'=~~======:J~liID II~Series 90103 !fuqu;ty Interests 11t!i I~]Scries 90 i 04 IBusiness Participation and Reporting II~ I~iE=;;;;;;;~1"F,~~~=~'========iIl"""'""1Series 90105 IIExecution of Legal Documents Related to Intellectual Pmperly L~.J~

Series 901 06 !Ineome from Intellectual Property Irnu~1

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The University of Texas SystemRules and Regulations of the Board of Regents

1. Title

Rule on Rules and Regulations

2. Rule and Regulation

Series: 10100

Sec.1 The Regents' Rules and Regulations are the official repositol)'of policies and procedures established for The University ofTexas System by Ihe Board of Regents. The Regents' Rulesand Regulations may be amended by a majority of all of themembers of the Board at any regular meeting or at any specialmeeting called for that purpose.

Sec. 2 The Regents' Rules and Regulations are intended to be writtensuch that they do not add administrative burden to compiianceand that they provide the proper degree of autonomy tocomponent institutions.

Sec. 3 Each Rule will include the following information:

1. Tille2. Rule and Regulation3. Definitions4. Relevant Federal and State Statutes5. Relevant System Policies, Procedures, and Forms6. Who Should Know7. System Administration Office(s) Responsible for Rute8 Date Approved or Amended9. Date Last Reviewed10. Contact Information

Rules and regulations will be placed within one of the ninesections of the Regents' Rules and Regulations:

Series 10000:

Series 20000:

Series 30000:

Series 40000:

Sertes 50000:

Series 60000:

Board Governance

Administration

Personnel

Academic Issues

Student Issues

Development

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents Series: 10100

Series 70000:

Series 80000:

Series 90000:

Investments

Facilities

Research and Intellectual Property

Sec. 4 To ensure that the Regents' Rules and Regulations provide theproper degree of autonomy to the U. T. System or any of itsinstitutions, the following guidelines should be considered whendrafting or amending the rules:

4.1 The rule should help ensure compliance with applicabielaws and regulCltions, promote operational efficiencies,enhance the mission, or reduce institutional risks of theU. T System or any of Its institutions.

4.2 The rule should establish Cl governing principle that hasSystem-wide application.

4.3 The ruie should communicate an important governingprinciple rather than specifying operational detail.

4.4 The rule should avoid dictating policy or procedure thatcould be better determined by a component institution.

4.5 The rule shouid avoid restating a law or regulation

Sec. 5 Every empioyee has the light to propose changes in policiesand procedures and to present arguments in support thereof.

5.1 Proposals should originate and follow routines asprescribed in the Regents Rules and Regulations or inan institutional Handbook of Operating Procedures.

5.2 When a proposal has been approved or amended by theappropriate institutional officials, faculties, and theinstitution's president. it shall then go to the appropriateExecutive Vice Chancellor and the Chancellor forrecommendation to the Board if such action is required.

5.3 When a proposal has been approved, amended. orrejected by the appropriate institutional officiais, faculties,or the institution's president, any employee or group ofemployees may present an appeal in opposition to theaction of the majority or in opposition to therecommendation of the institutional official or theinstitution president, and this appeal, accompanied byreasons for and against the proposal, shall go through

Page 20f3


the prescribed administrative channels and shall bepresented through the appropriate Executive ViceChancellor to the Chancellor and thence to the Board forfinal action. The deans and other institutional officials,the institution president, the appropriate Executive ViceChancellor, the Chancellor, and the Board may inviteboth sides for personal conferences and discussions.

3. Definitions

None

4. Relevant Federal and State Statutes

None

5. Relevant System Policies, Procedures, and Forms

None

6. Who Should Know

EmployeesStUdents

7. System Administration Office(s) Responsible for Rule

Office of the Board of Regents

8. Dates Approved or Amended

December 10, 2004

9. Contact Information

Questions or comments regarding this rule should be directed to:

• [email protected]

Page 3 of 3


1. Title

Authority


Series: 10101

Sec. 1 Authority of the Board. The Legislature, which is given the dutyand authority to provide for the maintenance, support, anddirection of The University of Texas by Article VII, Section 10 ofthe Texas Constitution, has delegated the power and authorityto administer The University of Texas System to the Board ofRegents. (See Texas Education Code Section 65.11 et seq.)Texas cases construing these statutes have held that the Boardhas wide discretion in exercising its power and authority andthat the rules adopted by the Board have the same force asstatutes. The System's lands and buildings are State of Texasproperty subject to the control of the Board as the State's agent.

......

Sec 2 Amendment or Suspension of Rules. The Regents' Ruies andRegulations may be added to, amended, waived, or suspendedby a majority of all of the members of the Board of Regentspresent at any regular meeting or at any special meeting calledfor that purpose.

3. Definitions

None


Texas Constitution Articie VII, Section 10 - Establishment of University

Texas Education Code Section 65.11 - Board of Regents


None

6. Who Should Know

BoardFacultyStaffStudents

Page 1 of 2





December 10, 2004


Series: 10101



Page 2 of2


1. Title

Chairman and Vice Chairmen


Series: 10102

Sec. 1 Composition. Pursuant to Texas Education Code Section 65.11.the Board of Regents is composed of nine members appointedby the Governor, with the advice and consent of the Senale, forstaggered terms of six years each, the terms of three membersexpiring on February 1 of odd-numbered years.

Sec. 2 Election of the Chairman. The Chairman of the Board ofRegents shall be elected by the Board from its number, shallserve at the pleasure of the Board, and shall report to and beresponsible to the Board. In case of the death, resignation,disability, removal, or disqualification of the Chairman, theBoard shall elect a successor Chairman as soon as practicable.Election of the Chairman shall take place during the Februarymeeting held in odd-numbered years or, if new members of theBoard have not been appointed and received the consent of theSenate, at the next available opportunity.

2.1 Duties of the Chairman. The duties and responsibilitiesof the Chairman shall include the following:

(a) The Chairman shall preside over the meetings of theBoard.

(b) The Chairman shall be authorized to call specialmeetings of the Board.

(c) The Chairman shall appoint the standing committeesof the Board and such special committees as theBoard may authorize.

(d) The Chairman shall appoint ad hoc committees asnecessary to address special issues.

(e) The Chairman shall be a nonvoting ex officio memberof all standing and special committees of the Board.

Sec. 3 Vice-Chairmen. Three Vice-Chairmen of the Board of Regentsshall be eiected by the Board from its number when theChairman is elected and shall serve at the pleasure of the

Page 1 of 2


Board. At the election, the Board shall designate which ViceChairman shall assume the duties of Chairman in case of theabsence, death, resignation, disability, removal, Of

disqualification of the Chairman In case of the absence, death,resignation, disability, removal. or disqualification of theChairman, the designated Vice-Chairman shall perform theduties of the Chairman until the Chairman shall resume his orher office or a successor Chairman shall have been elected asherein proVided. Upon the death, resignation, disability, orremoval of a Vice-Chairman, the Board shall elect a successorVice-Chairman as soon as practicable.

3. Definitions

None


Texas Education Code ;,,,ction 65.11 - Board of Regents

Texas Education Code Section 65.12 - Qualifications and Terms


Regents' Rules and Regulations Series 10401 - Meetings of the Board

6. Who Should Know

Board


Office of Business Affairs


December 10, 2004




Page 2 of2


1. Title

Officers in the Office of the Board of Regents


Series: 10201

Sec. 1 Counsel and Secretary to the Board. The Counsel andSecretary to the Board of Regents is the principal officer to theBoard in the administration of the responsibilities of the Office ofthe Board of Regents and the principal staff officer to eachmember of the Board of Regents in the discharge of his or herresponsihilities. In addition to the specific duties andresponsibiiities set forth in Section 2 below. the Counsel andSecretary to the Board shall advise the Board regarding thedesign and impiementation of policies and procedures by whichthe Board of Regents may more effectively fulfill itsresponsibilities regarding the governance and management ofThe University of Texas System and shall provide legal counselon issues such as open meetings, public information, andstandards of conduct.

Sec. 2 Appointment. At the meeting at which the Chairman and ViceChairmen of the Board are elected, the Board shall elect aCounsel and Secretary who is not a member of tho Board andwho shall receive such compensation and have such staff asmay be fixed by the Board. The Counsel and Secretary shallreport to and be responsible to the Board. The Counsel andSecretary shall serve subject to the pleasure of the Board andmay be removed by the Board at any time.

Sec. 3 The duties and responsibilities of the Counsel and Secretaryshall include the foilowing:

3.1 Supervise. The Counsel and Secretary shall supervisethe Office of the Board of Regents.

3.2 Meetings. The Counsel and Secretary shall makepreparations, including Regental travel arrangements, forall meetings of the Board and its committees.

3.3 The Agenda. Under the direction of the Chairman of theBoard or the Chairman of a standin9 committee. theCounsel and Secretary shall prepare and distribute theAgenda and necessary supporting documentation for allmeetings of the Board and its committees.

Page 1 of 4

The University of Texas SystemRules and Regulations of the Board 01 Regents Series: 10201

3.4 Open Meetings Act Under the diroction of the Chairmanof the Board or the Chairman of a standing committee,the Counsel and Secretary shall post notices of allmeetings and the sUbject matter thereof as may berequired under law.

3.5 Minutes. The Counsel and Secretary shall record,prepare, and index the official Minutes of the Board andits committees. The official copy of the Minutes of theBoard and its committees shall be kept in the Office ofthe Board of Regents, and certified excerpts from theseMinutes shall be prepared by the Counsel and Secretaryas requested.

3.6 Official Documents. The Counsel and Secretary shallkeep on file in the Office of the Board of Regents allofficial documents, correspondence, and proceedings ofthe Board and its committees.

3.7 Seal. The custody of the official seal of the System shallbe with the Gounsel and Secretary. The Counsel andSecretary shall affix such official seal to, and attest, alldocuments executed in the name of the Board thatrequire attestation.

3,8 Ruies and Regulations, The Counsel and Secretary shallbe charged with the responsibility of keeping current theOfficial Copy of the Regents' Rules and Regulations andaccessible on the web, Administrative officers will benotified of any changes or additions to the rules as soonas possible after the meeting at which they wereadopted,

(a) The Counsel and Secretary is authorized to makeminor and non-substantive editorial changes to theRegents' Rules and Regulations enacted by theBoard as necessary to keep the Rules current andcorrect. In the event such editorial changes arenecessary, the Counsel and Secretary will ensure thatmembers of the Board, administrative officers, andmembers of the public have ready access to thecurrent version of the Regents' Rules andRegUlations.

Page 2 of 4


3.9 Reports. As directed by the Board of Regents, theCounsel and Secretary shall:

(a) Define and establish routine reporting mechanisms,including determining the Board's informationrequirements; structuring reporting procedures;gathering and summarizing reports and data forpresentation to the Board on a routine basis; and

(b) Prepare special reports, including requesting andgathering data from the U. T. System and any of itsinstitutions; conducting necessary analyses of data;and summarizing facts and presenting reports for theBoard's consideration.

3.10 other Duties. In addition, the Counsel and Secretaryshall perform such other duties as may be assigned bythe Board of Regents or as are usual and customary tothe position of Counsel and Secretary and which assistthe members of the Board in the discharge of their officialduties.

Sec. 4 The Assistant Secretary to the Board shall be appointed by theCounsel and Secretary to the Board and shall have SUch dutiesand responsibilities as shall be delegated by the Counsel andSecretary to the Board.

4.1 Upon the temporary absence of the Counsel andSecretary to the Board or upon the death, resignation,disability, or removal of the Counsel and Secretary to theBoard, the Assistant Secretary to the Board will fulfill theduties of the Counsel and Secretary to the Board untilsuch time as the Board shall elect a successor.

3. Definitions

None


None


None

Page 3 of 4


6. Who Should Know

Administrators




December 10, 2004


Series: 10201



Page 4 of4


1. Title

Meetings of the Board and Standing Committees


Series: 10401

Sec. 1 Regular Meetings of the Board. Regular meetings of the Boardof Regents shall be held at such times and places as theChairman of the Board shall designate.

Sec. 2 Special Meetings of the Board. Special meetings of the Boardof Regents shall be held upon the call of the Chairman, or uponthe written request of three members of the Board. Writtennotification of the time, place, and purpose of a special meetingwill be provided to each member of the Board at least threedays before the time of the meeting, when possible.

Sec. 3 Regular Meetings of Standing Committees. Regular meetingsof standing committees of the Board of Regents shall be held inconjunction with regular meetings of the Board.

Sec. 4 Special Meetings of Standing Committees. Special meetings ofstanding committees shall be held upon the call of the Chairmanof the Committee. upon the call of the Chairman of the Board ofRegents, or upon the written request of two members of theCommittee. Written notification of the time, place, and purposeof a special meeting will be provided to each member of theBoard at least three days before the time of the meeting, whenpossible.

Sec. 5 Official Business. No business other than that placed on theAgenda and posted as required by law shall be officiallytransacted at a meeting of the Board of Regents or itscommittees.

3. Definitions

None


None

Page 1 of 2



None

6. Who Should Know

Administrators




December 10. 2004


Series: 10401



Page 2 of2


1. Title

Committees and Other Appointments


Series: 10402

~..

Sec. 1 Standing Committees. The following committees shall bestanding committees of the Board of Regents to considerpolicies for the government of all major areas: (a) Finance andPlanning Committee: (b) Academic Affairs Committee:(c) Health Affairs Committee: (d) Facilities Planningand Construction Committee; (e) AUdit, Compliance, andManagement Review Committee.

1.1 Composition of Standing Committees. Each standingcommittee is composed of not less than four members ofthe Board of Regents appointed by the Chairman.

1.2 Appointment of Committee Chairman. The Chairman ofeach standing committee shail be appointed by theChairman of the Board of Regents shortly after his or herelection, by and with the consent of the Board, and shallremain as Chairman of the standing committee (unless avacancy shall be caused by death, resignation, or refusaiof some member of a committee to act) until thesucceeding Board Chairman shall reconstitute thecommittees.

1.3 Vacancy by Committee Chairman. If a vac;mcy occurs inthe chairmanship of any standing committee, theChairman of the Board of Regents shall appoint anothermember of the Board to serve as Chairman of thestanding committee, by and with the consent of theBoard.

1.4 Authority of Standing Committees. The authorily ofstanding committees of the Board of Regents shall besubject to action of the Whole Buard. The committees'actions must be ratified by the Board before they shallbecome effective.

1.5 Duties of the Finance and Planning Committee. TheFinance and Planning Committee shall:

Page 1 of 8

The University of Texas SystemRules and Regulations of-'th"'e"--"B"'o!.Oa..rd"-'o""f..!.R"'e"g"'e"n"'ts"- -'S"'e"'r"ie"'s~:~1,-,O",4",O",2

(a) Continue long-range planning activities, includinginstitutionalization of the planning process,development of related plan Implementation policiesand procedures for the U. T System and any of itsinstitutions, and providing coordination of relatedlegislative issues.

(b) Review and make recommendations to the Board asappropriate on matters related to business affairssuch as: operating bUdget; debt financingtransactions and issues concerning the PermanentUniversity Fund, including administering standards forresource allocation; University Lands - West TexasOperations; System-wide and self-insured insuranceprograms; and special task forces, initiatives, andcommissions for the U. T. System and any of itsinstitutions.

(c) Review and recommend to the Board as appropriateon issues and activities related to The University ofTexas Investment Management Company (UTIMCO).

1.6 Duties of the Audit, Compliance, and ManagementReview Committee. The AUdit, Compliance, andManagement Review Committee shall:

(a) Recommend an Audit Charter for the Audit.Compliance, and Management Review Committee forreview and approval by the Board and oversee allinternal and external auditing and compliancefunctions within The University of Texas System.

(b) Recommend the approval of the hiring of the SystemDirector of Audits after nomination by the Chancellor.

(c) Recommend the approval of the annual System-widerisk assessment and annual internal auditing plan.

(d) Initiate System Administration and institutional aUdits,compliance activities, and operations managementreviews as deemed necessary to ensure appropriaterisk management and control processes within TheUniversity of Texas Sy~tem.

Page 2 of8


(e) Provide the Board with relevant information obtainedfrom ongoing reviews of auditing, compliance, andoperations activities and reports of internal auditors,external auditors, and the State Auditor's Office.

(f) Meet with external auditors, internal audit directors,and compliance officers as deemed necessary todiscuss specific risk management and control issues.

1.7 Duties of Academic Affairs Committee. The AcademicAffairs Committee shall:

(a) Report to the Board on the instructional, research,and professional service programs and activities ofthe general academic institutions.

(b) Report to the Board on policies relating to solicitingand securing gifts for the University's generalacademic institutions.

(c) Consider and report to the Board on matters affectingthe libraries of the general academic institutions.

(d) Review proposed substantive changes in the degreeprogram inventory and the academic administrativestructure and recommend to the Board approval ordisapproval of such changes.

(e) Report and recommend to the Board approval ofmatters related to education in the general academicinstitutions.

(I) Recommend appropriate Board action with respect toany recommendations by the Chancellor related tothe appointment, promotion, and dismissal of suchinstitutional officers as may be appropriate in thegeneral academic institutions.

(g) Consider and report to the Board on matters relatingto the research, training, and community serviceactivities at the general academic institutions.

(h) Make recommendations concerning capitalimprovement priorities related 10 the approvedmissions of the general academic institutions.

Page 3 of 8


1.8 The Duties of the Health Affairs Committee. The HealthAffairs Committee shall:

(a) Consider and report to the Board on mattersconcerned with substantive aspects of policies andprograms related to the academic philosophy andobjectives of the health-related institutions; withUniversity relations; and with health-related academicplanning. instruction, and research.

(b) Report and recommend to the Board approval ofmatters relating to education in the health-relatedinstitutions.

(c) Recommend appropriate Board action with respect toany recommendations by the Chancellor related tothe appointment, promotion, and dismissal of suchinstitutional officers as may be appropriate in theheaith-related institutions.

(d) Consider and report to the Board on matters relatingto the research, training, and community serviceactivities of the health-related institutions.

(e) Consider and report to the Board on matters affectingthe libraries of the health-related institutions.

(f) Report to the Board on policies relating to solicitingand securing gifts for the U. T. System's healthrelated institutions.

(g) With respect to each hospital, clinic, and patient-carefacility owned by The University of Texas System,counsel with the Executive Vice Chancellor for HealthAffairs regarding the bylaws and rules and regulationsof the medical staff; and make recommendations tothe Board concerning mechanisms and controls forthe achievement and maintenance of high standardsof professional practices in and at the hospital, clinic,or patient-care facility.

(h) Make recommendations conceming capitalimprovement priorities related to the approvedmissions of the health-related institutions.

Page 4 of 8


1.9 Duties of the Facilities Planning and ConstructionCommittee. The Facilities Planning and ConstructionCommittee shall:

(a) Consider matters relating to the acquisition and use ofthe grounds and buildings on campus and campusrelated real property of The University of TexasSystem.

(b) Review proposed construction projects and mak.edecisions on the selection of architects for projectsdetermined to be of special interest to lhe Board;approve plans and accept bids for constructionprojects.

(c) Make recommendations to the Board on the awardand execution of construction and equipmentcontracts.

(d) Make recommendalions to the Board with respect tothe naming of University buildings and other majorfacilities.

Sec. 2 Board for Lease of University Lands. At the first availableopportunity following February 1 of each odd-numbered year,two qualified members of the Board of Regents, as specified inTexas Education Code ~.ection 66.62, shall be selected by theBoard, upon recommendation of the Chairman of the Board ofRegents, to serve on the Board for Lease of University Lands.in the event a Board of Regents member appointed to the Boardfor Lease of University Lands is unable to attend a regularmeeting of the Board for Lease of University Lands, theChairman may appoint, as a substitute, a qualified member ofthe Board of Regents to attend the meeting. The Office ofBusiness Affairs, on behalf of the Board of Regents, wiil assignemployees of The University of Texas System to assist theBoard for Lease of University Lands In the performance of itsduties and responsibilities and will consult with the Chancellorand the Office of General Counsel as necessary andappropriate. The Vice Chancellor for Business Affairs shallreporl significant activities of the Board for Lease of UniversityLands to the Board, as appropriate.

Page 5 of 8


Sec. 3 The University ofTexas Investment Management Company.Pursuant to T~xas £ducatiolJ Code S€l:ction 06.0B, the Board ofRegents shall appoint the nine directors of The University ofTexas Investment Management Company (UTIMCO). At leastthree members of the U. T. System Board of Regents and theChancellor shall be appointed to the UTIMCO Board ofDirectors by the Chairman of the Board of Regents, by and withthe consent of the Board of Regents. At least one director willbe selected from a list of candidates with substantialbackground and expertise in investments, as submitted to theBoard of Regents by the Board of Regents of The Texas A&MUniversity System. The selection process for external membersof the UTIMCO Board of Directors as follows:

3.1 Soliciting of Nominations. The Chairman of the U. T.System Board of Regents and the Chairman of UTIMCOsend a joint letter to leaders in the public and privatesector soliciting nominations. Nominations are to beprovided to the Chairman of the U. T. System Board ofRegents.

3.2 Advisory Committee. The Chairman of the U. T. SystemBoard of Regents appoints a selection advisorycommittee to review nominations.

3.3 Recommendations. After review, the selection advisorycommittee makes recommendations to the Chairman ofthe U. T. System Board of Regents.

3.4 Background Checks. At the direction of tho Chairman ofthe U. T. System Board of Regents, the Office of theBoard of Regents asks individuals to complete abackground questionnaire, The Office of the Board ofRegents apprises those individuals of the UTIMCO Codeof Ethics and disqualifications from service. Usinginformation from the questionnaires, the Office of theBoard of Regents:

(a) confirms the educational degrees and professionalcertifications.

(b) assures that professional licensures and certificationsare in good standing.

Page 6 of 8


(c) reviews business relationships, if any, with membersof the Board of Regents or the UTIMCO Board or withU. T. System or UTIMCO; and

(d) initiates review by the U. T. System Director of Policeof the Texas conviction database and contacts locallaw enforcement.

3.5 Interviews. The Chairman of the U. T. System Board ofRegents and the Chairman of UTIMCO conduct personalInterviews, as needed, to assure that external UTIMCOdirectors possess varied investment backgrounds andrisk management expertise.

3.6 Appointment Approval. The Chairman of the U. T.System Board of Regents submits a recommendedappointment for approval by the U. T. System Board ofRegents.

Sec. 4 Texas Growth Fund. Pursuant to Section 70(m), Article XVI ofthe Texas Constitution, the Texas Growth Fund II shall bemanaged by a Board of Trustees that "includes one memberfrom and elected by" the Board of Regents.

Sec. 5 M. D. Anderson Services Corporation. M. D. Anderson ServicesCorporation (formerly M. D. Anderson Cancer Center OutreachCorporation) was established in 1989 to enhance revenues ofThe University of Texas M. D. Anderson Cancer Center byestablishing joint ventures in selected markets, providingadditional referrals to the institution, contracting for delivery ofinpatient and outpatient management, utilizing existingU. T. M. D. Anderson Cancer Center reference laboratoryservices, and fostering additional philanthropy in distant areas.Pursuant to bylaws approved by the Board of Regents, M. D.Anderson Services Corporation shall be managed by a Board ofDirectors. Three of the Directors, one of whom shall be aRegent and two of whom shall be administrative officers of TheUniversity of Texas System, may be appointed by the Board ofRegents.

3. Definitions

None

Page 7 of 8



Series: 10402

Texas Constitution Arti~le X\i1J>ection 70(m) - Texas Growth Fund

Texas Education Code Seclion 66.08 -Investment Management

Texas Education Code Section 6662 - Board for Lease of UniversityLands


None

6. Who Should Know

Administrators

7. System Administration Offiee(s) Responsible for Rule

Office of the Board of Regenls


December 10, 2004




Page 6 of 8

The University of Texas SystemRules and Regulations of the Board of Regenls

1. Title

Procedure


Series: 10403

Soc. 1 Importance of Attendance. Recognizing the broad authority andresponsibility vested 1n the Board of Regents for the governanceand operation of The University of Texas System, them IS aspecific expectation that members of the Board understand andrecognize the imparlance of attendance at Board and committeemeetings and will make a sincere commitment to attend asmany uf these as possible.

Sec 2 Rules of Order. Robert's Rules of Order, when not in conflictwith the provisions of thes~ Rules and Rogulations, shall be therules of parliamentary procedure when the Board or any of itscommittees is in session.

Sec. 3 Open and Closed Meetings. Meetings of the Board of Regentsshall be open to the pUblic and the press, unless otherwisedetenmined by the Board, in accordance with law.

Sec. 4 Matters RGferred to Committees. To the extent practicable, allsubjecls and matters requiring Board action shail be referred tothe appropriate standing commIttee for consideration andrecommendation before action is taken by the Board. If thematter could be considered by more then one committee, theChairman of the Board will determine the appropriate referral.

Sec. 5 Communication with Staff and Faculty. It is the responsibiiity ofeach Regent to be knowledgeable in some detail regarding theoperations, management, finances, and effectiveness of theacademic, research, and public service programs of TheUniversity of Texas System, and members of the Board ofRegents have the right and authority to inform themselves as totheir duties, responsibilities, and obligations In such a manneras they may deem proper. Members of the Board of Regentsare to be provided access to such personnel and Information asin their individual jUdgments wili enable them to fulfill their dutiesand responsibilities as Regents of The University of TexasSystem. The regular channel of communication from membersof Ihe Board to the facuily, staff, and administration IS throughthe Chancellor, the appropriate Executive Vice Chancellor, andthe president of the institution involved, and a copy of any

Page 1 of 5


communication sent by a Regent directly to any member of thefaCUlty, staff, or administration should be furnished to theChancellor, the appropriate Executive Vice Chancellor, and thepresident of the institution involved; however, individual Boardmembers are not precluded from direct participation andcommunication with the preSidents, faCUlty, staff and students ofthe U. T. System.

Sec. 6 Request to Appear Before the Board or a Committee. Exceptupon invitation of the Board of Regent5. the Chairman of theBoard, the appropriate Committee Chairman, the Chancelior, ora designated Committee liaison, no person shall appear beforethe Board or any committee thereof unless that person files awritten request explaining the purpose of such appearance withthe Counsel and Secretary to the Board at least three daysbefore the date of such appearance and unless the Chairman ofthe Board, the appropriate Committee Chairman, or at leastthree members of the Board approve the request It isunderstood, however, that the president of an institution and/orthe president or chair of the student, staff, or faculty governanceorganization(s) may appear without prior notice or requestbefore the Board or any committee whenever the matter underconsideration directly affects the institution represented by suchperson. Persons requesting to appear must identify the subjectof their remarks, which must be directly relaled 10 a matler onthe Agenda for consideration by the Board. Whenever time andother circumstances permit, the person making the request shallfirst consult with the president, or his or her delegate, of suchinstitution regarding the purpose of the appearance prior to themeeting of the Board or committee. Insofar as possible, anyperson who appears before the Board shall provide a writtenstatement of the substance of such person's presentation to theBoard, and such written statement shall be delivered to theCounsel and Secretary to the Board In sufficient time for copiesto be distributed to the Regents prior to the meeting. Anyperson appearing before the Board or a committee shall besubject to restrictions on time, place, and manner as may beprescribed by the Chairman or a majority of the Board or by theChairman or a majority of a committee. The Chairman or amajority of the Board may prescribe sanctions against anyperson exceeding established time, place, or manner limits.Those sanctions may include the refusal to allow such person tospeak again to Ihe Board or committees of the Board for up toone year.

Page 2 of 5


Sec. 7 Disruption of Meetings Prohibited. The disruption of a meetingof the Board of Regents or its committees or any other meeting,procession or gathering sponsored by the Board is prohibited.A person is in violation of this provision if, with intent to preventor disrupt a lawful meeting of the Board, its committees or anyother meeting, procession, or gathering sponsored by theBoard, he obstructs or interferes with the meeting, procession,or gathering by physical action or verbal utterance If possiblethe individual chairing the meeting or the Counsel and Secretaryto the Board, other authorized University officiai or a lawenforcement officer should clearly identify the disruptive conductor verbal utterance and request that the person responsible forthe disruption desist.

7.1 Signs and Banners. Persons may display a sign at aBoard or committee meeting by holding or carrying it byhand or otherwise attaching it to their person. Noadvance permission is required.

(a) Any person holding or carrying a sign shall exercisedue care to avoid bumping. hitting, or injuring anyother person.

(b) Any person holding or carrying a sign shail exercisedue care to avoid blocking the view of any otherperson observing the Board or Committee meeting.This may mean that signs may be displayed onlyaround the perimeter of a room or an audience.

(c) No person shall display, hold or carry a sign inviolation of Texas Penal Code Section 42.05@),

Sec. 8 Distribution of Malerial to the Board. All official material to bedistributed to the Regents shall be transmitted through theOffice of lhe Board of Regents. The regular channel ofcommunication from the faculty, staff, students, andadministration to the Board is through the president of theinstitution involved, the appropriate Executive Vice Chancellorand the Chancellor. Communications from the Faculty AdvisoryCouncil, the Student Advisory Council, and the EmployeeAdvisory Council to the Board are through the Chancellor. Acopy of any communication sent directly to a Board membershould be furnished to the Chancellor, the appropriate ExecutiveVice Chancellor, and the president of the institution involved.

Page 3 of 5

The University of Texas SystemBuies and Regulations of the Board of Regents Series: 10403

8.1 Docket. A compilation at matters that are required to bereported to or approved by the Board via a docket formatshall be prepared as directed and approved by theChancellor, Executivo Vice Chancellon:;, i:md ViceChancellors, as appropriate. The Docket shall bedistributed by the Counsel and Secretary to all membersof the Board and may be combined with the AgendaBook referenced in Section 9.3 below.

8.2 Agenda. Each matter to be considered at a meeting atthe Board or a committee of the Board as an AgendaItem shall be accompanied by a summary at the factspertaining thereto, the need for action thereon, and therecommendations of the Chancellor, and Executive ViceChancellor, Vice Chancellor, andlor president of a aninstitution involved, where appropriate. Wherecontractual awards are involved, the summary shall showthe method of competition, it any, the names and offersof all interested parties, and generally sufficientinformation to show the reasons for and fairness of eachtransaction.

(a) Except in the case of an emergency, all proposalsthat are to be considered by the Boo.rd or a committeeof the Board shall be presented to SystemAdministration in sufficient time to allow review priorto transmittal to the Counsel and Secretary to theBoard.

(b) The Agenda Book for a Board meeting shall beprovided to each member of the Board approximatelytwo weeks in advance at the meeting, to the extentpossible.

Sec. 9 Report to Press on Actions of Board. Reports on actions of theBoard on matters of public interest will be given to the press aspromptly as possible. These press reports shall be onder thedirection or the Chairman of the Board of Regents, or theChancellor or theIr designated representatives.

Sec. 10 Political or Controversial Matters. The Board of Regentsreserves to itself the responsibillty for passing upon matters of apolitical or obviously controversial nature, which represent anofficial position of the U. T. System or any institution ordepartment thereof. Statements on such matters shall be made

Page 4 of 5


by the Chairman of the Board or the Chancellor. Without theadvance approval of the Board, no Regent, officer, or faculty orstaff member shall make or issue any public statement on anypolitical or other subject of an obviously controversial naturewhich might reasonably be construed a~ a statement of theofficial position of the U. T. System or any institution ordepartment thereof It is not the intent of this policy statement tostifle the right of freedom of speech of anyone speaking in apersonal capacity where that person makes it clear that he orshe is not speaking for the U. T. System or any of its institutions.Statements on matters of an emergency nature shall be clearedby the Chancellor with the Chairman of the Board

3. Definitions

Sign - any method of displaying a visual message to others.


Texas Penal Code Section 42.05 - Disrupting Meeting or Procession


None

6. Who Should Know

Board of RegentsFacultyStaffStUdent,




December 10, 2004


Qll8stions or comments regarding this rule should be directed to:


Page 5 of 5


1. Title

Delegation to Act on Behalf of the Board


Series: 10501

Sec. 1 Identification of Significant Contracts or Documents.Institutional presidents and executive officers at U. T. SystemAdministration are responsible for identifying contracts,agreements, and other documents that are of such significanceto require the prior approval of the Board of Regents. Eachsuch matter so identified shall be presented to the Board by theChancellor as an agenda or docket item at a regular or specialmeeting of the Board.

Sec. 2 Compliance with Special Instructions. All authority to executeand deliver contracts, agreements, and other documents issubject to these Rules and Regulations and compliance with allapplicable laws and special instructions or guidelines issued bythe Chancellor, an Executive Vice Chancellor, or the ViceChancellor and General Counsel. Special instructions orguidelines by the Chancellor, an Executive Vice Chancellor, orthe Vice Chancellor and General Counsel may include withoutlimitation instructions concerning reporting requirements;standard clauses or provisions; ratification or prior approval bythe Board of Regents, or the appropriate Executive ViceChancellor; review and approval by the Office of GeneralCounsel; and recordkeeping.

Sec. 3 Contracts or Agreements Requiring Board Approval. Thefollowing contracts or agreements, including purchase orders orvouchers, must be approved by the Board.

3.1 Contracts Exceeding $1 Million. All contracts oragreements, with a cost or monetary value to the U. T.System or any of its institutions of more than $1 million,unless exempted in Section 4 below.

3.2 Contracts with Foreign Governments. Contracts oragreements of any kind or nature, regardless of dollaramount, with a foreign government or agency, exceptaffiliation agreements and cooperative programagreements, material transfer agreements, sponsoredresearch agreements and licenses, or other conveyancesof intellectual property owned or controlled by the Board

Page 1 of 9


of Regents prepared on an approved standard form orsatisfying the requirements set by the Office of theGeneral Counsel.

33 Contracts with Certain Officers. Agreements, regardlessof dollar amount, with the Chancellor, a president, aformer Chancellor or president, an Executive ViceChancellor, a Vice Chancellor, the Counsel andSecretary to the Board, or Director of Audits are subjectto the provisions of Texas Education Code Section51.948 or Texas Government Code Section 618001 etseq.

3.4 Insurance Settlements. Settlement claims frominsurance on money and securities or fidelity bonds of upto $1 million shall be approved by the Executive ViceChancellor for Business Affairs. Settlements in excess of$1 million must have the approval of the Board.

(a) If a loss is so extensive that partial payments inexcess of $1 million are necessary, the Chancellor isdelegated authority to execute all documents relatedto the partial payment or adjustment. Final settlementof claims in excess of $1 million will require approvalby the Board.

3.5 Settlement of Disputes. Settlements of any claim,dispute or litigation for an amount greater than $1 millionrequire approval. The settlement may also be approvedby the appropriate standing committee of the Board ofRegents. The Vice Chancellor and General Counselshall consult with the institution's president andappropriate Executive Vice Chancellor, or ViceChancellor with regard to all settlements in excess of$150,000 that will be paid out of institutional funds.

Sec. 4 Contracts Not Requiring Board Approval. The followingcontracts or agreements, including purchase orders andvouchers, do not require prior approval by the Board of Regentsregardiess of the contract amount.

4.1 Construction Projects. Contracts, agreements, anddocuments relating to construction projects previouslyapproved by the Board of Regents in the CapitalImprovement Program and Capital Budget.

Page 2 of9


4.2 Construction Settlements. All settlement claims anddisputes relating to construction projects to the extentfunding for the project has been authorized.

4.3 Intellectual Property. Contracts or grant proposals forsponsored research, Including institutional supportgrants, and licenses or other conveyances of intellectualproperty owned or controlled by the Board of Regents;provided that licenses and other conveyances ofintellectual property owned or controlled by the Boardshall have the advance approval of the appropriateExecutive Vice Chancellor.

4.4 Replacements. Contracts or agreements for thepurchase of replacement equipment or licensing ofreplacement software or services associated with theimplementation of the software.

4.5 Routine Items. Contracts or agreements for thepurchase of routinely purchased supplies.

4.6 Group Purchases. Purchases made under a grouppurchasing program.

4.7 Approved Budget Items. Purchases of new equipment orlicensing of new software or services associated with theimplementation of the software, identified specifically inthe institutional budget approved by the Board ofRegents.

4.8 Loans. Loans of institutional funds to certified nonprofithealth corporations, which loans have been approved asprovided in Administrative Rule 22201 concerningdeposits and loans.

4.9 Certain Employment Agreements. Agreements withadministrators employed by the U. T. System or any of itsinstitutions, so long as such agreements fully comply withthe requirements of Texas Education Code Section51.948 including the requirement to make a finding thatthe agreement is in the best interest of the U. T. Systemor any of its institutions.

Page 3 of9

The University of Texas SystemRules and RegUlations of the Board of Regents Series: 10501

4.10 Energy Resources. Contracts or agreements for utilityservices or energy resources and related services, if any,which contracts or agreements have been approved inadvance by the Chancellor or the Chancellor's delegate.

4.11 Library Materials. Contracts or agreements for thepurchase or license of library books and library materials.

4.12 Athletic Employment Agreements. Contracts with athleticcoaches except athletic directors and head coaches.

4.13 Bowl Games. Contracts or agreements related topostseason bowl games, sUbject to a requirement thatthe contract or agreement has been submitted to theExecutive Vice Chancellor for Academic Affairs and is ina fonm acceptable to the Vice Chancellor and GeneralCounsel.

4.14 Property or Casualty Losses. Contracts or agreementswith a cost or monetary value to the U. T. System or anyof its institutions in excess of $1 million but not exceeding$10 million assDciated with or related tD a property Drcasualty IDSS that is expected tD exceed $1 million maybe approved, executed, and delivered by the ChancellDr.The ChancellDr shall consult with the institutiDnalpresident, if applicable.

Sec. 5 Signature AuthDrity. The BDard of Regents delegates tD theChancellor Dr the president of an institution authority to executeand deliver on behalf Df the Board cDntracts and agreements Dfany kind or nature, including without limitation licenses issued tothe Board Dr an institutiDn. In addition tD Dther primarydelegates the Board assigns in the Regents' Rules andRegulations, the BDard assigns the primary delegate forsignature authDrity for the following types of cDntracts.

5.1 System Administration and System-Wide Contracts. TheBoard of Regents delegates to the Executive ViceChancellor for Business Affairs authority to execute anddeliver on behalf of the Board contracts Dr agreements:

(a) affecting only System AdministratiDn,

(b) binding two Dr more institutiDns Df the U. T. Systemwith the concurrence of the institutions bound, or

Page 4 of9


(c) having the potential to benefit more than oneinstitution of the U. T. System so long as participationis initiated voluntarily by the institution.

5.2 Contracts Between or Among System Administration andInstitutions. The Board of Regents delegates to theExecutive Vice Chancellor for Business Affairs authorityto execute on behalf of the Board contracts oragreements between or among System Administrationand institutions of the U. T. System for resources orservices. Any such contract or agreement shall providefor the recovery of the cost of services and resourcesfurnished.

5.3 Contracts with System Administration or Between orAmong Institutions. The Board of Regents delegates tothe president of an institution authority to execute onbehalf of the Board contracts or agreements with SystemAdministration or between or among institutions of theU. T. System for resources or services. Any suchcontract or agreement shall provide for the recovery ofthe cost of services and resources furnished.

5.4 Contracts for Legal Services. The Board of Regentsdelegates to the Vice Chancellor and General Counselauthority to execute and deliver on behalf of the Boardcontracts for legal services and such other services asmay be necessary or desirable in connection with thesettlement or litigation of a dispute or claim afterobtaining approvals as may be required by law.

5.5 Settlements of Disputes. Except as provided In Section5.6 below, the Board of Regents delegates to the ViceChancellor and General Counsel authority to execute anddeliver on behalf of the Board agreements settling anyclaim, dispute, or litigation. The Vice Chancellor andGeneral Counsel shall consult with the institutionpresident and the appropriate Executive Vice Chancelloror Chancellor with regard to all settlements greater and$150,000 that will be paid out of institutional funds.Settlements greater than $500,000 will require theapproval of the Board as outlined in Section 3.5 above.The Vice Chancellor and General Counsel shall consultwith the Office of External Relations with respect to

Page 5 of9

The University ofTexas SystemRules and Regulations of the Board of Regents Series: 10501

settlement of will contests and other matters relating togifts and bequests administered by that Office.

5.6 Construction Settlements. The Board of Regentsdelegates authority to execute all documents necessaryor desirable to settle claims and disputes relating toconstruction projects to the System Administration orinstitution official designated in the construction contractto the extent funding for the project has been authorized.

5.7 Assurance of Authority to Act. The officer or employeeexecuting any document on behalf of the Board ofRegents shali be responsible for assuring that he or shehas authority to act on behalf of the Board and that suchauthority is exercised in compliance with applicableconditions and restrictions. DOGuments executed onbehalf of the Board pursuant to authority granted underthese Rules and Regulations shall not require furthercertification or attestation.

Sec. 6 Delegation Process. The primary delegate identified in theseRules and Regulations or in an official Board action may furtherdelegate his or her delegated authority to a secondary delegateunless otherwise specified. Any such further delegation ofauthority must be made in writing and the primary delegate shalipermanently maintain, or cause to be maintained, evidence ofall such delegations. A secondary delegate of the primarydelegate may not further delegate such authority.

6.1 Delegate's Responsibilities. The primary delegateidentified in these Rules and RegUlations as authorizedto execute and deliver on behalf of the Board of Regentsvarious types of contracts, agreements, and documentsshall maintain, or cause to be maintained, necessary andproper records with regard to all contracts, agreements,and documents executed and delivered pursuant ta suchdelegated authority, in accordance with any applicablerecords retention schedule or policy adopted by theBoard, the U. 1. System Administration, or the institution.

Sec. 7 Actions of the Board as Trustee. Authority delegated by theBoard of Regents in these Rules and Regulations includesactions that may be taken by the Board in its capacity as trusteeof any trust to the extent such delegation is permitted by law.

Page 6 of9


Sec. 8 Power to Authorize Expenditures. No expenditure out of fundsunder control of the Board shall be made and no debt orobligation shall be incurred and no promise shall be made in thename of the System or any of its institutions or of the Board ofRegents by any member of the respective staffs of theU. T. System or any of its institutions except:

8.1 In accordance with general or special budgetaryapportionments authorized in advance by the Board ofRegents and entered in its minutes; or

8.2 In accordance with authority specifically vested by theBoard of Regents in a committee of the Board; or

8.3 In accordance with authority to act for the Board ofRegents when it is not in session, specifically vested bythese Rules and Regulations or by special action of theBoard.

Sec. 9 Power to Establish Policies. No employee of the U. T. Systemor any of its institutions, as an individual or as a member of anyassociation or agency, has the power to in anywise bind theSystem or any of its institutions unless such power has beenofficially conferred in advance by the Board of Regents. Anyaction which attempts to change the policies or otherwise bindthe System or any of its institutions, taken by any indiVidual orany association or agency, shall be of no effect whatsoever untiithe proposed action has been approved by the president of aninstitution concerned, if any, the appropriate Executive ViceChancellor, and the Chancellor, and ratified by the Board.

Sec. 10 Exceptions. This Series does not apply to any of the following:

10.1 UTIMCO. Management of assets by UTIMCO, which isgoverned by contract and the provisions of Series 70101,70201, 70202, and 70401 of these Rules andRegulations.

10.2 Acceptance of Gifts. The acceptance, processing, oradministration of gifts and bequests, which actions aregoverned by Series 60101,60103, and 70101 of theseRules and Regulations and applicable policies of theBoard of Regents.

Page 70f9


10.3 Statutory. Any power, duty, or responsibility that theBoard has no legal authority to delegate, including anyaction that the Texas Constitution requires be taken bythe Board of Regents.

3. Definitions

Settlement - the amount of the settlement shall mean the amount thatmight be reasonably expected to be recoverable by the U. T. System orany of its institutions but not received pursuant to the settlement or, in thecase of a claim against the U. T. System, the total settlement amount tobe paid by the U. T. System.

4, Relevant Federal and State Statutes

Texas Education Code Section 51.928(b} - Written Contract or AgreementBetween Certain Institutions

Texas Education Code Section 51.948 - Restrictions on Contracts withAdministrators

Texas Education Code Section 65.31 (g) - Delegation by the Board

Texas Government Code Section 618,001 - Uniform Facsimile Signatureof Public Officials Act


Administrative Ruie 22201 - Deposits and Loans

Regents' Rules and Regulations Series 60101 - Acceptance andAdministration of Gifts

Regents' Rules and RegUlations Series 60103 - Guidelines forAcceptance of Gifts of Real Property

Regents' Rules and RegUlations Series 70101 - Authority to Accept andManage Assets

Regents' Rules and Regulations ~eries 70201 - Investment Policies

Regents' Rules and Regulations Series 70202 - interest Rate SwapPolicy

Page 8 of9


Regents' Rules and Regulations Series 70401 - OversightResponsibilities of UTIMCO

6. Who Should Know

Administrators




December 10, 2004


Series: 10501



Page 9 of9


1. Title

Guidelines for the Santa Rita Award


Series: 10601

Sec. 1 Standards. A System-wide award that may be made annually toan individual who has made valuable contributions over anextended period to The University of Texas System in itsdevelopmental efforts. An individual is defined as a person, asopposed to a corporation. charitabie trust, foundation, and likeentities. The recipient may be judged on the basis of a broadlist of criteria, primary among which will be a demonstratedconcern for the principles of higher education generally, as wellas deep commitment to the furtherance of the purposes andobjectives of The University of Texas System specifically.

1.1 Participation by the recipient in the affairs of theU. T. System shall be of such character and purpose toserve as a high example of selfless and public-spiritedservice. Of particular interest wili be the effect that suchindividual activity may have engendered similarmotivation from other public and private areas toward theU. T. System.

Sec. 2 General Conditions. The following general conditions apply tothe award:

2.1 The award, to be known as the "Santa Rita Award," willconsist of a medallion to be presented no more frequentlythan annually.

2.2 The award shall be made on behalf of the Board ofRegents of The University of Texas System.

2.3 An individual may receive the award only once.

2.4 Posthumous awards may be given.

2.5 No member of the Board of Regents shall be eligible toreceive the Santa Rita Award until the termination of themember's service.

Sec. 3 Nominations for Awards. Nominations for the award shall beforwarded to the Chairman of the Board of Regents or the

Page 1 of 2


Counsol and Secretary to the Board (Office of the Board ofRegents, The University of Texas Syslem, 201 West SevenlhStreet. Suite 820, Austin, Texas 78701-2981). The nominatorshall provide such supporting information and documentation asmay be requested by the Chairman or the Counseiand Secretary to the Board.

Sec. 3 Selection of Awardees. Awards shaH be made, uponrecommendation of the Chairman of the Board followingconsultation with others including the Chancellor and otherappropriate U. T. System officials, by a majority vote ofmembers present at a Board of Regents' meeting at which aquorum is present.

3. Definitions

None


None


None

6. Who Should Know

Administrators

7. System Administration Officers) Responsible for Rule



December 10, 2004

g, Contact Information



Page 2 of2


1. Tille

Policy Against Discrimination


Series: 10701

Sec. 1 To the extent provided by appiicable law. no person shall beexcluded from participation in, denied the benefits of, or besubject to discrimination under, any program or activitysponsored or conducted by The University of Texas System orany of its institutions, on the basis of race, color, national origin,religion, sex, age, veteran status, or disability.

3. Definitions

None


None


None

6. Who Should Know

AdministratorsFacultyStaffStudents




December 10. 2004




Page 1 of 1


1. Title

Chancellor


Series: 20101

,-

Sec. 1 Role. The Chancellor is the chief executive officer of TheUniversity of Texas System. The Chancellor reports to and isresponsible to the Board of Regents. The Chancellor heads theSystem Administration, which is used by the Board to exerciseits powers and authorities in the govermmcc of theU. 1. System. The Chancellor has direct line responsibility forall aspects of the U. T. System's operations.

Sec. 2 Appointment. The Chancellor shall be elected by the affirmativevote of a majority of the Regents in office and shall hold officewithout fixed term, subject to the pleasure of the Board.

Sec. 3 Primary Duties and Responsibilities. The Chancellor, bydelegation from the Board of Regp-nts, is authorized to exercisethe powers and authorities of the Board in the governance of theU. T. System. The Chancellor will normally act through theofficers of the U. T. System regarding the malters delegated tothem by the Regents' Rules and Regulations. The Chancellor,however, shall not be precluded from any directparticipation and communication with System Administrationofficers or staff, institutional officers or staff, faculty members,and groups. The major duties of the Chancellor include:

3.1 Counseling, Implementing, and Representing.Counseling the Board with respect to the policies,purposes, and goals of the System; acting as executiveagent of the Board In impiementing Board policies,purposes, and goals and a system of internal controls;representing the U. T. System in all other respects asdeemed appropriate to carry out such policies, purposes,and goals, and interpreting and articulating the U. 1.System's academic, administrative, and developmentalpolicies, programs, needs, and concerns to the generalpublic and to other constituencies at the community,state. regional, and national levels.

3.2 Strategic Pianning. Preparing a strategic plan for theu. T. System for recommendation 10 the Board ofRegents in consultation with the institutional presidents.

Page 1 of 4


The proposed plan should include periodic adjustmentsto the mission statement; assessments of the internaland external environment; and recommendations for U.T. System goals, priorities, and benchmarks of progressin academic programs, service, capital expenditures, andthe allocation of financial resources.

3.3 Directing. Directing the management andadministration of System Administration and allinstitutions of the U. T. System.

3.4 Nominating. Presenting nominations to the appropriatestanding committees of the Board of Regents and to theBoard for all officers of the U. T. System as provided inthe Regents' Rules and Regulations.

3.5 Organizing. Reviewing periodically the organizationof the System Administration and the institutions of theU. T. System and reporting to the appropriate standingcommittees of the Board of Regents and to the Boardrecommendations for changes in organization,assignments, and procedures.

3.6 Preparing and Approving Recommendations. Preparingand approving appropriate recommendations to theBoard of Regents and standing committees of the Boardalong with the appropriate Executive Vice Chancellor,Vice Chancellor, or president of an institution.

3.7 Budgeting. Preparing and approving annual operatingbUdgets for the System Administration and theinstitutions of the U. T. System and submittingrecommendations to the Board of Regents.

3.8 Preparing Legislative Submissions. Preparing andapproving biennial legislative submissions to theLegislative Budget Board and to the Governor for theSystem Administration and the institutions of theU. T. System for the consideration of the Board ofRegenls in accordance with Series 20501 of the Regents'Rules and Regulations.

3.9 Fund Development. Serving as the chief executiveofficer for fund development and as the agent of theBoard of Regents for the discharge of development

Page 2 of 4


responsibilities. Defining for the Board, at periodicintervals. descriptions of current and future needs, asdetermined by the presidents and System Administration,taking into account recommendations from institutionsdevelopment boards.

3.10 Appointment of Officers. Appointing the Executive ViceChGlncellors and Vice Chancellors and takingadministrative action and terminating employmentregarding these positions.

3.11 Nominating Director of Audits. Nominating candidates forthe position of System Director of Audits for appointmentby the Board of Regents, as outlined in Series 20401 ofthese Rules and Regulations.

3.12 Nominating Compliance Officer. Appointing Ule Systemwide Compliance Officer, as outlined in Series 20401 ofthese Rules and Regulations.

3.13 Oversight of UTIMCO. Serving on the Board of Directorsof The University of Texas Investment ManagementCompany (UTIMCO). Generally overseeing theoperations of UTIMCO and coordinating interactionbetween the U. T. System and UTIMCO. Ensuring thatUTIMCO implements Ihe core investment functionsdelegated by the Board of Regents in conformance Withthe Regents' RulAS and Regulations, the InvestmentManagement Services Agreement, and the InvestmentPolicy Statements adopted by the Board. DirectingUTIMCO in areas other than core investment functionssuch as relations with the media, intergovernmentalrelations, and public disclosure issues. Recommendingto the Board of Regents, in its fiduciary role, an effectiveoversight system for the proper management ofUTIMCO, including, but not limited to clear proceduresfor the selection of UTIMCO directors; process for bUdgetreview; and periodic review of the InvestmentManagement Services Agreement.

3. Definitions

None

Page 3 of 4



None


Series: 20101

Regents' Rules and RegUlations SeT;es 20401. - Audit and Compliance

Regents' Rules and Regulations Series 20501. - Accounting. OperatingBUdgets, and Legislative Appropriations

6. Who Should Know

Administrators




December 10. 2004




Page 40f4


1. Title

Appointment of Officers


Series: 20102

Sec. 1 Approvai Required by Executive Vice Cnancellor. TneU. T. System Board of Regents delegates to the Chancellor andthe Executive Vice Cnancellor having responsibility for theinstitution and they, in turn, delegate to the president of eachinstitution the responsibility for the appointment and dismissal ofall other administrative officers of each institution, including vicepresidents, and deans. However, prior approval of theappropriate Executive Vice Cnancellor shall be necessary foreach such permanent or acting appointment and for each suchdismissal whether from a permanent or acting appointment. Allsuch other administrative officers serve without fixed terms andsUbject to tne pleasure of lne president ot the institution and theapproval of the appropriate Executive Vice Chancellor.

Sec. 2 Approval Not Required by Executive Vice Chancellor. TheBoard of Regents delegates to tne Cnancellor and the ExecutiveVice Chancellor having responsibility for the institution and they,in turn, delegate to tne president of each Institution tneresponsibility for the permanent or acting appointment ofdepartment cnairmen, department neads, and their equivalents.Such department chairmen. department heads and theirequivalents serve without fixed terms and subject to thepleasure of the president of the institution.

Sec. 3 Consultation. The Board of Regents endorses the principle ufreasonable consultation in the selection of administrativeofficers of the institutions and the primary operating units Clndexpects Ine president, as he or sne deems appropriate, toconsult in the selection process with the representatives of thefaculty, staff, and student body. However, the president of tneinstitution is responsible for executing the duties of the officeand consequently snali not be bound by nominations toadministrative positions by campus selection committees, andthe Handbook of Operating Procedures of each institution snailso 8tat8_

Page 1 of 2


3. Definitions

None


None


None

6. Who Should Know

Executive Vice ChancellorsFacultyPresidentsStudents

7. System Administration Of/iee(s) Responsible for Rule



December 10. 2004


Series: 20102

Questions or comments regardIng this rule Should be directed to:


Page 2 of2


1. Title

Presidents


Series: 20201.

Sec. 1 Selection. The Board of Regents selects the president of eachinstitution.

1,1 Advisory Committee, When it is known that there is to bea vacancy in the office of a president of an institution anAdvisory Committee shall be established to recommendcandidates to the Board. No person who elects to be acandidate for the vacancy may serve on the AdvisoryCommittee. The Executive Vice Chancellor for HealthAffairs or the Executive Vice Chancellor for AcademicAffairs shall be Chairman of the Advisory Committee. Incircumstances where this Executive Vice Chancellor maybe a candidate for the office, the Chairman of theAdvisory Committee shall be appointed by the Chairmanof the Board, Including its Chairman, commitleemembership is as follows:

(a) At least one Regent to be appointed by the Chairmanof the Board,

(b) Two presidents from the U. T. System to be appointedby the Chairman of the Board

(c) The Executive Vice Chancellor from Academic orHealth Affairs

(d) Three faCUlty members from the institution involved.At least two of the members shail have the rank ofassociate professor or higher. The method ofselecting the members shall be determined by thefaculty governance of the campus.

(e) One Dean to be selected by the Deans' Council of theinstitution invoived for academic institutions. At healthrelated institutions, it will be the Dean of the MedicalSchool involved or in the absence of that position asenior representative of the teaching program of theinstitution selected by the Chairman of the Board,

Page 1 of 6


(f) One student, in good academic standing, from theinstitution involved. The method of selection to bedetermined by the student governance of the campusinvolved or, if there is no student governance, by theChairman of the Board. If the institution does nothave students, this category of representation shall beomitted.

(g) The President of the alumni association of thecampus involved. If the institution does not have anactive alumni organization, an alumnus of theinstitution may be selected by the Chairman of theBoard.

(h) One non-faculty employee of the institution involved.The method of selection to be determined by the staffor employee council of the institution involved. Ifthere is no staff or employee council, selection will beby the Chairman of the Board.

(i) At least two representatives of the institution'sexternal constituency who have demonstrated a deepinterest in and support of the institution, its programsand its role in community activities to be appointed bythe Chairman of the Board.

1.2 Diversity of Members. Campus constituent groups withresponsibility for selection of Advisory Committeerepresentatives are expected to consider diversity,particularly as it relates to minority and femalerepresentation. Unless there are unusual delays infaculty, staff, or student representative selection whichpostpone initiation of the committee process, theChairman of the Board will make his or her appointmentsto the Advisory Committee after campus selections inorder to maximize the prospect that the total committeecomposition reflects diversity. The Chairman'sappointments to the Advisory Committee will be madefollowing due consideration of input from members of theBoard, the institutional leadership, and community leadersrelated to the Committee composition.

1.3 Selection Criteria. Selection criteria shall relate to theneeds of the individual institution.

Page 2 of6


1.4 Responsibilities of the Committee Chairman. TheCommittee Chairman shall initiate mechanisms to developand appropriate candidate pool and to seek information onthe several candidates.

1.5 Responsibilities of the Advisory Committee. The AdvisoryCommittee shall inquire from competent sources as to thecandidates' academic, administrative, and business ability.

1.6 Interviews. The Advisory Committee may interviewcandidates as a part of its selection process keeping inmind that the confidentiality of the process is important toits ultimate success.

1.7 Recommendation. The Advisory Committee shall submitto the Board, through its Chairman, a recommended listof no more than 10 candidates with no preferenceindicated. Candidates submitted shall have received amajority vote of the Committee.

1.8 Finalists. The Board determines which of the candidateswill be further interviewed prior to naming a finalist orfinalists. If none of the names submitted by the AdvisoryCommittee is satisfactory to the Board of Regents, thenthe Board in its discretion may either name a newcommittee or proceed to select a president under suchother procedures as in its discretion it may deem properand appropriate.

1.9 Alternate Process. When the Board of Regents hascandidate(s) from recent searches at other institutions,from within the U. T. System, and/or of nationalprominence from outside the U. T. System to advance forconsideration, the Chairman of the Board of Regentsshall appoint a Special Committee to provide the Boardwith advice and evaluation consistent with that usuallyprovided by an Advisory Committee The SpecialCommittee shall be composed as specified above for theAdvisory Committee but will not include members of theBoard of Regents. The advice of the Special Committeeshall be proVided to the Board through the Executive ViceChancellor for Health Affairs, the Executive ViceChancellor for Academic Affairs, or the Chancellor. TheSpecial Committee shall not extend its consideration

Page 3 of6

The University of Texas SystemRules and Regulations of the Board Of Regents Series: 20201

beyond those candidates referred to it by the Board ofRegents without specific concurrence from the Board.

Sec. 2 Reporting. The president reports to and is responsible to theExecutive Vice Chancellor having responsibility for theinstitution. The president has access to the Chancellor and isexpected to consult with the appropriate Executive ViceChancellor and the Chancellor on significant issues as needed.

Sec. 3 Term and Removal from Office. The president serves withoutfixed term, sUbject to the pleasure of the appropriate ExecutiveVice Chancellor and approval by the Chancellor and the Boardof Regents. When circumstances warrant or require suchaction, the Chancellor may take interim action involving apresident, including but not limited 10 suspension or leave ofabsence, pending approval by the Board.

Sec. 4 Duties and Responsibilities. Within the policies and regulationsof the Board of Regents and under the supervision and directionof the appropriate Executive Vice Chancellor, the president hasgeneral authority and responsibility for the administration of thatinstitution. Specifically, the president is exreeted. with theappropriate participation of the staff, to:

4.1 Develop and administer plans and policies for theprogram, organization, and operation of the institution.

4.2 Interpret the System policy to the staff, and interpret theinstitution's programs and needs to the SystemAdministration and to the pUblic.

4.3 Develop and administer policies relating to students, andwhere applicable, to the proper management of servicesto patients.

4.4 Recommend appropriate operating budgets andsupervise expenditures under approved budgets.

4.5 Nominate all members of the faculty and staff, maintainefficient personnel programs, and recommend staffmembers for promotion, retention, or dismissal for cause.

4.6 Ensure efficient managemp.nt of business affairs andphysical property; recommend additions and alterationsto the physicai plant.

Page4 of6

The University of Texas SystemRules and Regulations of the Board 01 Regents Series: 20201

4.7 Serve as presiding officer at official meetings of facultyand staff of the institution, and as ex officio member ofeach college or school faculty (if any) within theinstitution.

4.8 Appoint, or establish procedures for the appointment of,all faculty, staff, and student committees.

4.9 Cause to be prepared and submitted to the appropriateExecutive Vice Chancellor and the Vice Chancellor andGeneral Counsel for approval. the rules and regulationsfor the governance of the institution and any relatedamendments. Such rules and regulations shall constitutethe Handbook of Operating Procedures for thatinstitution. Any rule or regulation in the institutionalHandbook of Operating Procedures that is in conflict withany rule or regulation in the Regents'Rules and RegUlations, is null and void and has no effect.

4.10 Assume initiative in developing long-range plans for theprogram and physical facilities of the institution.

4.11 Assume active leadership in developing private fundsupport for the institution in accordance with policies andprocedures established in the Regents' Rules andRegulations.

4.12 Develop and implement plans and policies to ensure thatthe institution remains in compliance with anyaccreditation requirements appropriate to the institutionor its programs, including, for the health institutions andthose academic institutions with student health services,the accreditation of hospitals, clinics, and patient-care facilities.

3. Definitions

None


None

Page 5 016



None

6. Who Should Know



Office of Academic AffairsOffice of Health Affairs

8. Oates Approved or Amended

March 10. 2005December 10. 2004


Series: 20201



Page 6 of6


1. Title

Presidential Cash Compensation


Series: 20202

Sec. 1 Purpose. This Rule sets forth the cash compensation structureauthorized for presidenls of the institutions of The University ofTexas System. It is prospective in nature and application and isnot intended to be applied retroactiveiy. It does not pertain to,nor affect, benefit programs such as insurance, retirement, anddeferred compensation, which may also be a part of apresident's overall compensation package.

......,

Sec. 2 Elements of Compensation Structure. In order to attract and toretain effective, highly skilled and committed presidents of theinstitutions of the U. T. System and to recognize theirprofessional achievements. it is the policy of the U.T. System tooffer competitive levels of cash compensation within acompensation structure that Is applied consistently. This Policyestablishes and defines the various elements for the cashcompensation portion of the presidential compensationpackage. Compensation packages for the presidents arerecommended by the appropriate Executive Vice Chancellor tothe Chancellor, and then by the Chancellor to the Board ofRegents for approval.

2.1 Base Salary. The base salary rate for each presidenlshall be set by the U. T System based on a review ofstate and national compensation survey data forrespective peer institutions. ComparalJle ~alaries arereported in surveys by the College and UniversityPersonnel Association and other nationally recognizedorganizations. These surveys typically excludeallowances such as car. housing, and housekeeping, andretirement plans and other fringe benefits.

2.2 Housekeeping Staff. Each president, at his or her option.may privately employ a housekeeper. in which event thepresident shail be responsible for the tax-relatedimplications and expenses associated with theemployment of the housekeeper, or the president mayeject to use the services of the institution's housekeepingstaff, in which event the president shall reimburse theinstitution for the salary and benefits associated with that

Page 1 of 5


use. Each institution, at the institution's expense, shallprovide appropriate housekeeping and other supportservices for business-related functions held at thepresident's residence.

2.3 Practice Plan Supplement. The bylaws of the physicianpractice plans provide that the compensation for thepresidents of the health institutions may besupplemented by up to 30% of the president's salaryfrom practice plan funds. The supplement is contingenton avaiiabiiity of funds in the practice plan. Practice piansupplements are included in national surveys of chiefexecutive compensation. The practice plan salarysuppiement is not a part of the base salary and shall bereported as a separate element of the health president'scash compensation because of the special nature of thesource of funding. Practice plan supplements are noteiigible for Teacher Retirement System and OptionalRetirement Program retirement benefits or otherretirement benefits and no employer matchingcontributions may be made with respect to practice plansupplements.

24 Salary Supplement. The salary supplement shall be paidin lieu of a housing allowance to all presidents, includingthose who are provided a residence owned by theU. T. System. It is intended to cover the hypotheticalcost of a model residence, as described below. Thesalary supplement shall be eligible for retirement benemsbut is not a part of the base salary.

(a) The amount of the salary supplement shali becalculated by determining the fair market rental valueof a standardized model residence containing 4,100square feet of improvements and located where thepresident owns or leases his or her personalresidence. In the case of a president who is provideda residence owned by the U. T. System, the 4,100square foot model residence shall be valued as jfsituated where the institutionally-owned residence islocated.

(b) When a new president takes office, he or she shallinitially receive a salary supplement equai to the mostrecent fair market rental value determined for the

Page 2 015


location of his or her predecessor's residence untilsuch time as he or she obtains permanent housing. Itis anticipated that the new president will obtainpermanent housing within one year of hire date. If,after one year, the president has not obtainedpermanent housing, the value of the salarysupplement shall be calculated based on the fairmarket rental value of the 4,100 square foot modelresidence located at the president's current residencelocation.

(c) In no event may the amount of the salary supplementexceed the fair market rental value of the 4,100square foot model residence calculated at the locationof the Bauer House (the official resinence of the U. T.System Chancellor).

(d) No separate allowance for maintenance, utilities,landscaping, or other expenses attributable to thepresident's residence may be paid. All personalexpenses associated with a president's residence areintended to be covered by the salary supplement.

(e) Except as provided in lhe following sentence, eachpresident of an institution for which a residenceowned by the U. T. System is available shall have theoption of leasing from the U. T. System theinstitutionally-owned residence or acquiring apersonal residence. If, however, the Board ofRegents makes arrangements with the president thatrequire the president to reside in the institutionallyowned residence or if covenants, conditions, orrestrictions applicable to the institutionally-ownedresidence require occupancy by the president, thenthe president shall reside In the jnstjtutionally~owned

residence.

(f) Those presidents who either elect to or are required,as provided in Section 2.4(e) above, to reside in aninstitutionally-owned residence shall enter into a leaseof the residence with the U. T. System. The rentalrate to be paid by the president under the iease shallbe based on the current fair market rental value ofthat portion of the residence that is used as thepresident's private residence.

Page 3 of 5


2.5 No Car Allowance. No separate car allowance may beprovided to presidents of the institutions. An institutionmay reimburse a president for business use of thepresident's personal vehicle in accordance with the latestpublished Intemal Revenue Service guidelines, the StateTravel Regulations Act (Texas Government CodeChapter 660) and applicable Institutional policies.

2.6 Institutionally Provided Property and Services.Institutionally-provided property and services, such asclub memberships, shall not be considered elements of apresident's cash compensation. Such property andservices shall be subject to appropriate authorization andapproval and monitoring of personal use and businessuse,

(a) No tax equity adjustments may be paid to a president.Tax equity adjustments are cash compensation to thepresident for the federal income tax consequences tothe president arising out of the president's personaluse of institutionally-provided property or services.Rather, each president shall reimburse the Institutionfor hi~ or her personal use of institutionally-providedproperty and services at appropriate rates asdetermined by the institution in accordance withInternal Revenue Service guidelines and applicableinstitutional policies.

Sec. 3 Authority. The statutory authority for this Rule is provided byTexas Education Code Section 65.31., General Powers andDuties.

3. Definitions

None


Texas Education Code Se.ction 65.31 - General Powers and Duties

Texas Government Code ~haP\er 660 - Travel Expenses

Page 4 of 5



Series: 20202

Regents' Rules and Regulations, Series 20203 - Compensation for KeyExecutives

6. Who Should Know

Executive Vice ChancellorsPresidents


Chancellor's Office


December 10, 2004




Page 5 of 5


1. Title

Compensation for Key Executives


Series 20203

Sec. 1 Compensation Philosophy. To attract, retain and motivate the toptalent needed to lead The University of Texas System and accomplishits mission, and to recognize and reward performance, the Board ofRegents seeks to compensate key executives at levels that arecompetitive in the marketplace, cost effective, and, to the extentpossible, internfllly equitable.

Sec. 2 Market Review. To align executive compensation with the relevantmarket, the Office of the Board of Regents will oversee the conduct of acomprehensive survey and analysis to obtain current and reliablemarket data on total compensation of key executives in comparablepositions at peer institutions. Market data wHl be adjusted usinQ cost ofliving information related to respondent's geographic region. Thesurvey will be conducted every three years. In non-survey years, theOffice of the Board of Regents will obtain information concerninggeneral changes in executive compensation in the marketplace, andthe comprehensive survey will be adjusted accordingly.

Sec. 3 Elements of Compensation. The elements of compensation Illayinclude base salary; short and long-term incentive pay; supplementalretirement plans, such as deferred compensation plans; andperquisites such as housing, vehicle allowance, and memberships. Allcompensation set pursuant to this Rule must comply with all applicabiestate and federal laws.

Sec. 4 Peer Institutions. Peer institutions or groups of institutions will beselected through an interactive, consultative process between theChancellor, executive vice chancellors, presidents and the organizationengaged to conduct the comprehensive survey. To the extent possible,the same institutions will be surveyed during each comprehensivesurvey. Peer institutions may be changed based on sound businessdecisions; such changes will be fully disclosed to the Board of Regents.The Executive Vice Chancellors wili maintain the list of peerinstitutions. Factors to consider in selecting peer institutions includesize, purpose, institutions used in accessing U. T. System performanceand those from which U. T. System competes for key executives.

Sec. 5 Presentation to Board of Regents. Compensation data will bepresented to the Board of Regents in advance of the annual budgeting

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents Series 20203

process. Taxable and non-taxable elements of compensation will bereported to the Board of Regents.

Sec. 6 Determining Compensation. In setting a key executive's initialcompensation, the following factors should be considered: relevantmarket data, current compensation, cost of living differences. internalequity and the U. T. System bUdget. Where appropriate, U. T. Systemmay target the 751h percentile of the market rate of a key executive'speer institutions.

Factors to consider in making future adjustments to a key executive'scompensation include market data, key executive performance, theinstitution's progress on key performance indicators, internal equity,and the U. T. System budget.

Sec. 7 The presidents will implement appropriate policies and proceduresconcerning executive compensation for the direct reports at eachU. T. System academic and health institution.

3. Definitions

Key executive(s) - inciude the Chancellor, Counsel and Secretary to the Board,Audit Director, Executive Vice Chancellors, presidents of each of the U. T.System academic and health institutions, and Vice Chancellors.


Texas Education Code Section 65.31 - General Powers and Duties


Regents' Rules and Regulations, Series 20202 - Presidential CashCompensation

6. Who Should Know

ChancellorDirect reports to the Board of RegentsExecutive Vice ChancellorsPresidents


Vice Chancellor for Administration

Page 2 of 3



December 10, 2004


Questions or comments regarding this Rule should be directed to:


Series 20203

Page 3 of 3


1. Title

Honorary Titles and Degrees


Series: 20301

Sec. 1 Honorary Titles. The titles Chancellor Emeritus. PresidentEmeritus, and similar honorary designations shall be conferredonly by appropriate action of the Board of Regents onindividuals who are fully retired. No person is authorized to useany such title unless it has been bestowed by the Board.

Sec. 2 Honorary Degrees. In accordance with long-standing Board ofRegents tradition, honorary degrees may be awarded only to asitting President of the United States. Award of an honorarydegree is to be reported to the Board at the next regularmeeting of the Board.

3. Definitions

None


None


None

6. Who Should Know

Administrators




December 10, 2004

Page 1 of 2

The University of Texas SystemRules and Regulations of the Board of Reaents


Series: 20301



Page 2 of2


1. Title

Audit and Compliance


Series: 20401

Sec. 1 Audit. The Chancellor, as chief executive officer of theU. T. System, is responsible for ensuring the implementation ofappropriate audit procedures for the U. 1. System. Accordingly.the System Director of Audits prepares an executive summaryof all internal audit activity by the U. T. System internal auditorsand the institutional internal auditors for the Chancellor.

1.1 System Director of Audits. The U. 1. System Director ofAudits is responsible for coordinating the effectiveauditing of the U. T. System as set out in Section 1.1 (b)below. The U. T. System Director of Audits providesaudit assistance to the Chancellor, the Executive ViceChancellors, and the Vice Chancellors in the exercise oftheir responsibilities.

(a) The System Director of Audits shall be appointed bythe Audit. Compliance. and Management ReviewCommittee after nomination by the Chancellor TheSystem Director of Audits shall hold office withoutfixed term, subject to the pleasure of the ChancellorThe Chancellor's actions regarding the U. T. SystemDirector of Audits are subject to review and approvalby the Audit, Compliance, and Management ReviewCommittee.

(b) The primary responsibilities of the U. T. SystemDirector of Audits include developing a System-wideinternal audit plan based on a System·wide riskassessment and coordinating the implementation ofthis plan with the institutional internal auditors. ThisSystem-wide audit plan is submitted to the Audit,Compliance, and Management Review Committee forreview and approval after the Chancellor's review andapproval. Responsibilities of the System Director ofAudits also inclUde conducting audits of the Systemincluding the revenue produced from the PermanentUniversity Fund lands and formulating policies for theinternal audit activity at each institution.

Page 1 of 3


(c) The U. T. System Director of Audits serves as thechief audit executive.

1.2 The U. T. System internal auditors are the internalauditors for the U. T. System and augmenl the audit workof the institutional internal auditor and the State Auditorsat the institutions of the U. T. System.

Sec. 2 COlllpJiance. The Chancellor, as chief executive officer of theU. T. System, is responsible for ensuring the implementation ofa compliance program for the U. T. System. Accordingly, theSystem-wide Compliance Officer prepares an executivesummary of all compliance activity of the institutions, UTIMCO,and System Administration.

2.1 System-wide Compliance Officer. The System-wideCompliance Officer ;s responsible, and will be heldaccountable for, apprising the Chancellor and the Audit,Compliance, and Management ReView Committee of theinstitutional compliance functions and activities at SystemAdministration, UTIMCO. and at each of the institutionsas set out in Section 2.1 (b) below. The System-wideComplinnce Officer provides institutional complianceassistance to the Chancellor, the Executive ViceChanceliors, the Vice Chancellors, and the ChiefCompliance Officer of UTIMCO in the exercise of lheirresponsibilities.

(a) The System-wide Compliance Officer shall beappointed by the Chancellor. The System-wideCompliance Officer is the senior compliance Dfficial ofthe U. T. System; proVides assistance and advicecovering all institution, UTIMCO, and SystemAdministration compliance programs; and shall holdoffice without fixed term, subject to the pleasure of theChancellor.

(b) The primary responsibilities of the System-wideCompliance Officer include developing aninfrastructure for the effective operation of theU T. System Institutional Compliance Program;chairing the System-wide Compliance CommitteE! andthe Compliance Officers Council; and prescribing theformat for the annual risk based compliance plan andthe quarterly compliance status reports to he

Page 2 of3


submitted by each institution, UTIMCO, and SystemAdministration.

3. Definitions

None


None


None

6. Who Should Know

AdministratorsInternal Audit

7. System Administration Officels) Responsible for Rule

Audit Office


December 10. 2004

g. Contact Information



Page 3 of 3


1. Title

Series: 20402

Provision of Audit and Non-Audit Services by External Audit Firms


Sec. 1 Audit SeNices.

1.1 Audit, Compliance, and Management ReviewCommittee's Role. The ACMRC Is responsible forcontracting with external audit firms for audit services.

1.2 Board Approval. Neither U.T. System nor any of itsinstitutions may engage an external audit firm foraudit services unless the contract has been approvedby the Board in accordance with Section 3 ofAdministrative Rule 10501 concerning contractsrequiring Board approval.

13 Conflict of Interest Provision. Neither U.T. Systemnor any of its institutions may engage an external3uoit firm for audit services unless the contractincludes an acceptable conflict of interest provisionapproved by the Vice Chancellor and GeneralCounsel.

1.3.1 Lead Partner Rotation. The lead (orcoordinating) audit partner (having primaryresponsibility for the audit), or the audit partnerresponsible for revieWing the audit shall nothave pertormed audit services for theinstitution(s) in each uf the five previous fiscalyears.

1.3.2 Hiring Restrictions. Neither U. T. System norany of its institutions may hire a former orcurrent partner, principal, or professionalemployee in a key position, as defined ;n theCode of Professional Conduct of the Americaninstitute of Certified Public Accountants(AICPA), that would cause a vioiation of theAICPA Code of Professional Conduct or otherapplicable independencp. wles, during the year

Page 1 of 4


Sec, 2

Sec. 3

subsequent to the completion of the auditengagement.

Prohibited Non-Audit Services. Neither U.T. System nor any ofits institutions may engage an external audit firm to provideprohibited non-Ciudlt services contemporaneously with theprovision of audit services.

Non-Audit Services.

3.1 ACMRC Review and Approval. If the aggregate amouotof fees to be paid to an external audit firm for theperformance of non-audit services exceeds five percentof the total amount of fees Emticipated to be paid to theexternal audit firm for the performance of audit servicesproVided during any fiscal year in Which non-audilservices will be prOVided, then U.T. System and itsinstitutions may not engage the external audit firm toperform the non-audit services unless the proposedengagement is reviewed and approved by the ACMRC.

3.2 Conflict or Interest Not Permitted. If. upon review of aproposed engagement for non-audit services underSubsection 3.1 of this Series, the ACMRC delerminesthat a conflict of interest exists between the external auditfirm's obligations to perform audit services and that firm'santicipated obligations to perrorm non-audit servicescontemporaneously with the performance of auditservices, then U.T. System and its institutions may notengage the external audit firm to perfonn the non-auditservices.

3. Definitions

ACMRC - refers to the AUdit, Compliance, and Management ReviewCommittee of the Board.

Audit Services - are services provided for the purpose of expressing anopinion on the financial statements of U.T. System or any of itsinstitutions.

External Audit Finn - IS a public accounting firm (including its partners,employees and agents) engaged by the Board to provide audit selViccs.

Page 2 of4


_.

Non-Audit Services - any non-audit services (including tax services) thatare not listed in the definition of prohibited non-audit services.

Prohibited Non-Audit Services - include:

a) bookkeeping or other services related to the accounting records orfinancial statements of U. T. System or any of its institutions;

b) financial information systems design and implementation;

c) appraisal or valuation services, fairness opinions, or contribution-inkind reports;

d) actuarial services;

e) internal audit outsourcing services;

f) management functions or human resources;

g) broker, dealer, investment adviser, or investment banking services;

h) legal services and expert services unrelated to the audit; and

i) any other service that the Board determines, by rule, isimpermissible.


None


None

6. Who Should Know

AdministratorsInternal Audit


Office of the ControllerAudit Office

Page 3 of 4



November 4, 2004


Series: 20402



Page 4 of 4


1. Title

Series: 20501

Accounting, Operating Budgets. and Legislative Appropriation Requests


Sec. 1 Approval of Accounting Records. All accounting records andprocedures shall be slIbject to the approval of the chief businessofficer and the Executive Vice Chancellor for Business Affairs.The Executive Vice Chancellor for Business Affairs shall beresponsible for establishing internal controls to ensure thatfunds are expended and recorded appropriately.

Sec. 2 Financial Reports. The Annual and Interim Financial Reportsshall be prepared under the direction of the chief businessofficer and the Assistant Vice Chancellor and Controller. Copiesof the reports shall be furnished to the Board of Regents.

Sec 3 Approval of Budgets. Operating Budgets for all the institutionsshall be approved annually by the Board of Regents within thebudget estimates of income prepared by the chief businessofficer and the president of an institution and approved by theExecutive Vice Chancellor for Health Affairs, the Executive ViceChancellor for Academic Affairs. the Vice Chancellor forBusiness Affairs, and the Chancellor.

Sec. 4 Automatic Re-appropriation. General Funds balances shall notbe re-appropriated from one fiscal year to the next unlessspecific approval is given by the appropriate Executive ViceChancellor, the Chancellor, and the Board of Regents.

Sec. 5 Budget Policies and Instructions. General policies for thebudget preparation shall be recommended by the Chancelior tothe Board of Regents and shall be followed in preparing thebudgets. Instructions for details of bUdget preparation shail befurnished to the institution presidents by System Administration.

Sec. 6 Responsibility for RevieWing. The institutional president shallissue local instructions and shall furnish forms to the budgetrecommending officials. Their recommendations for salaries,maintenance and operation, equipment, travel, and otherpertinent items shall be reviewed by the president. The budgetas finally recommended by the president shail be forwarded tothe appropriate Executive Vice Chancellor and the Chancellorfor further review and recommendation to the Board of Regents.

Page 1 of 3


Sec. 7 Budget Administration. Rules and procedures for budgetadministration shall be prepared by the Chancellor, withassistance of the Executive Vice Chancellor for Health Affairs,the Executive Vice Chancellor for Academic Affairs, and theExecutive Vice Chancellor for Business Affairs, approved by theBoard of Regents, and shall be Included in the completedbudgets.

Sec. 8 Approval of Appropriation Requests. Legislative appropriationrequests for all institutions shall be prepared by the president inconformity with these instructions and approved by theExecutive Vice Chancellor for Health Affairs, the Executive ViceChancellor for Academic Affairs, the Executive Vice Chancellorfor Business Affairs, and the Chancellor.

3. Definitions

None


None


None

6. Who Should Know

Administrators


Office of the Controller

8, Dales Approved or Amended

December 10, 2004

Page 2 of 3



Series: 20501



Page 3 of 3


1. Title

Aircraft Use

2. Rule and RegUlation

Series: 20601

Sec. 1 Official Use. The U. T. System aircraft or any leased orchartered aircraft will be used only in the conduct of officialState business and only in compliance with the travelregUlations contained in SeetioD 2205.001 el seq.• TexasGovernment Code and any other laws applicable to the use ofstate-owned or leased aircraft.

Sec. 2 Passengers. In accord;mce with Texas Attorney GeneralOpinion H-1089, the Board of Regents finds that attendance ofthe spouses of members of the Board of Regents and officials ofthe Office 01 the Board of Regents; spouses 01 the ExecutiveOfficers and the Administrative Officers of the U. T. System; andspouses of the presidents of the institutions of the U. T. Systemal official functions may be in lurtherance 01 official slalebusiness. Whether the spouse's attendance is in furtherance ofofficial state business is dependent in part on the nature of theemployee's office. the spouse's role, the purpose of theparticular trip, and the spouse's connection with that purpose.Examples of instances in which the spouse's attendance is infurtherance of offioial state bu:siness include, but are not limitedto, attendance at U. 1. System Board of Regents' meetingswhen there is an official function hosted by an institution, andretirement functions honoring long-time key employees of theU. T. System or its institutions.

Sec. 3 Justification for Passenger Use. The U. 1. System aircraft orleased or chartered aircraft will be used to carry passengersonly when the destination is not served by commercial carriers,or the time reqUired to use such a carrier interieres with otherobligations, or the number of authorized passengers travelingmakes the use of state aircraft cost effective.

Sec. 4 Scheduling Flights lor Regents. Requests lor use 01 the U. T.System aircraft and leased or chartered aircraft by members ofthe Board of Regents will generally be arranged through theCounsei and Secretary to the Board. Leased or charteredaircraft will be prOVided Regents when the U. T. System aircraftis not available. If circumstances occur that require flightarrangements for Board members to be made through the

Page 1 of 6


Chancellor or his or her designee, Ihe Counsel and Secretary tothe Board will be advised of such arrangements by copy of thecompleted flight reservation form.

Sec. 5 Priority for Use Except for requests by the U. T. Board ofRegents. all flights of U. 1. Syslem aircraft or requests forleDsed or chartered aircraft will be requested from and approvedin advance by the Chancellor or his or her designee. Up until 24hours before the flight is scheduled to begin, requests for theuse of U. T. System aircraft will be approved upon the followingorder of priority:

1. Chairm<Jn of the U. T. Board of Regents2. A Vice-Chairman of the U T. Board of Regents (in order

of request)3. Members of the U. T. Board of Regents (in order of

request)4. Chancellor and Executive Vice Chancellors (in order of

request)5. Vice Chancellors and other System officers (in order of

request)6 Institutionai Presidents (in order of request)7. Other staff of the U. T. System Administration (in order of

request)8. Other faculty and staff personnel of the institutions of the

U. T. System(in order of request)

Sec, 6 Assignment of Aircraft. The folloWing ~teps will be taken foraSSigning the aircraft.

6.1 If more than one of the priority persons listed aboverequests the use of the U. T. System aircraft more than24 hours before the flight is scheduled to begin, theChancellor will assign the U. T. System aircraft to thoperson with the highest priority, and will, insofar asnecessary and practicable, provide leased aircraft or achartered flight for the use of the person or persons withthe lower priority if scheduled commercial aircraft will notpermit the trip.

0.2 During the 24-hour period prior to the beginning of aflight, if the U. 1. System aircraft has not been previouslyscheduled. the Chancellor will assign the U. T Systemaircraft to any person on the priority list on a first-comefirst-served basis without regard to the order of priority.

Page 2 of6


6.3 During the 24-hour period prior to the beginning of r:l

flight, if the U. T. System aircraft has been previouslyscheduled and an additional request for its use is madeby a person on the priority list. the Chancelior will. insofaras necessary and practicable, provide a leased aircraft ora chartered flight for the use of the person making thesUbsequent request.

6.4 If a U. T System aircraft flight that is scheduled beforethe beginning of the 24-hour period is cancelfed. insofaras practicable, the Chanceilor wili assign the aircraft tothe person requesting the aircraft that is next in order ofprionly. If a U. T. System aircraft flight that is scheduledduring the 24-hour period is cancelled, the Chancellor orhis or her designee will assign the aircraft to the nextperson requesting it on a first-come first-served basiswithout regard to the order of priority.

Sec. 7 Use by Other State Agencies. In accordance with theexpressed intent of the Legislature that state-owned aircraft beutilized by all agencies of the state, use of U. T. System aircraftby other state officials and state personnel on official statebusiness is encouraged and will be aU1horiLed by theChancellor on a space available and first-come first·servedbasis after the individuals on the priority list indicated in Section6 above.

Sec. 8 Direction of Pilots. The pilots of U. T. System aircraft will reportto and act under the direction of the Chancellor or his or herdesignee. Regents may direct an itinerary or passenger changeto an approved flight, provided that the purpose of the flight andthe passengers on the flight are in accordance with SoctiofJ2205036 of the Texas Government Code. Either theChancellor or his or her designee must approve all otherrequests that would substantially change an approved itineraryor passengers. Notwithstanding the foregoing sentence, In theevent of an emergency, the pilot may authorize a change ofitinerary or passengers. All flights must be approved by theChGlIlGeilor or his or her designee.

Sec. 9 Rates Charged. Charges to the institutions for use of theU. T. System aircraft shall be equal to the rate approved by theState Aircraft Pooling Board for Interagency aircraft services.

Page 3 of6

The University of Texas SystemRules and Regulations of the Board of Regents Series; 20601

Sec. 10 Flight Reguiations. The U. T. System aircraft will and must beoperated at all times in accordance with the provisions of theFederal Aviation Agency approved flight manual and theUniversity Flight Operations Procedures which is in consonancewith the Federal Aviation Act (as amended) and Civil AirRegulations.

Sec 11 Conlrol of Aircraft in Fiight. Under Federai Regulations, the pilotof any aircraft is responsible for and is the final authority as tothe flight operation of that aircraft. Ali decisions concerning theflight itself will rest solely with the pilot. However, the pilotshould keep the priority person informed.

Sec. 12 Minimum Number of Pilots. it shali be the policy of operationsfor U. T. System aircraft, leased aircraft, and chartered flightsthat two (2) pilots are on board for each scheduied passengerflight, uniess authorized by the Chancellor or his or herdesignee.

Sec. 13 Reservation Form. All flight reservations for the U. T. Systemaircraft shali be entered on a U. T. System Aircraft Reservationform which should include, but is not necessarily limited to, thefollOWing:

1. departure/estimated arrival, date, time, and place,2. name of each passenger,3. destination(s) including intermediate stops, and4. purpose of trip for each passenger.

Sec. 14 Passenger Manifests. For each flight the piiot wili complete aPassenger Manifest showing the following:

1. flight number and duration,2. date,3. aircraft number,4. flight plan,5. destination and intermediate stops of flight,6. names of piiot and co-pilot,7. passenger information,

• name of each passenger,• department or institution

Sec. 15 Record Keeping and Reports. The approved reservationrequests forms and post-flight passenger manifests will serve asthe official record of flights.

Page 4 of 6


3.

15.1 The U. T. System Offit;e uf Administration shall prepareand submit the following reports:

(a) Travei Log In accordance with Texas GovernmentCode Section 2205.039 the passenger manifests forthe month wili be sent to the State Aircraft PoolingBoard each month following the month in which traveloccurred.

(b) Quarterly Report Passenger manifests for thequarter and information on any charters will be sent 10the Counsel and Secretary to the Board of Regentson or about the 1511

' of December. March, June, andSeptember for distnbution to the Finance andPlanning Committee of the U. T. System Board ofRegents for review.

(c) Annual Aircraft Use Form. In accordance with TexasGovernment Code ~ection 220;;.041 passengermanifests for the year and the aircraft costs summarywill be submitted to the legislative BUdget Board withcopies to the Counsel and Secretary to the Board ofRegents and the Chancellor by November 15'".

Definitions

None


Texas Government Code Chapter 2205 - Aircraft Pooling

5. Relevant System Policies, Procedures, and forms

None

6. Who Should Know

Administrators


Chancellor's Office

Page 5 of 6



December 10, 2004


Series: 20601



Page 6of6


1. Tille

Use of Historically Underutil1zed Businesses


Series: 20701

Sec. 1 Good Faith Effort. It is the policy of the Board of Regents topromote full and equal opportunity for all businesses tu ~upply

the goods and services needed to support mission,administrative, and logistical operations of the U. T. System.The U. T. System commits to a good faith effort to increasepurchases from and r:ontract awards to HistoricallyUnderutiiized Business (HUB) firms consistent with the state'sgoals for HUB participation and overall economic development.

Sec. 2 Establishment of Procedures The U. 1. System has acompelling interest to assure that procurement funds always areexpended in an equa!-business-opportunity context. To meetthat obligation. the Board of Regents delegates to theChancellor the responsibility for establishing and maintainingprocurement systems and procedures that is nondiscriminatorywith respect to race, color, religion, sex, or national origin. Thatobligation also encompasses procurement systems andprocedures of business firms under contract With theU. T. System in order to preclUde U. T. System institutions'passive participation in an unlawfully discriminatorymarketpiace. The Chancelior is also responsible for deveiopingprocedures to ensure that a good faith effort is made to meetthe state's goals for HUB participation and overall economicdevelopment.

Sec. 3 Adoption of Guidelines. The Board of Regents adopts the useof the guidelines and related rules of the Texas Bu[lding andProcurement Commission (TBPC) (1 Texas AdministrativeCode Pa~ 5 Chapters 1111.11 -: 111.28).

Sec. 4 Scope. TI1[S policy applies to acquisition of specifiedcommodities, professional and other services, and constructionservices, by System Administration and institutions of theU. T. System, including auxiliary enterprises, regardless offunding source (treasury or non-treasury funds).

Page 1 of4


3. Definitions

Series: 20701

HistoricaJJy Underutilized Business - a business enterprise, with itsprincipal place of business in Texas, that does nul exceed specified sizestandards, that IS formed for the purpose of making a profit, and meetsone of the following categories:

• A corporation in which at least 51 % of all classes of shares of stockor other eqUItable securities are owned by one or more personsfrom an economically disadvantaged group.

• A sale proprietorship that is 100% owned by a person from aneconomically disadvantaged group.

• A partnership \n which at least 51% of the assets and in~erests inthe partnership are owned by one or more persons from aneconomically disadvantaged group.

• A joint venture in which each entity in the joint venture is ahistorically underutilized business.

• A supplier contract between and historically underutilized businessand a prime contractor under which the historically underutilizedbusiness is directly involved in the manufacture or distribution of thesupplies or materials or otherwise warehouses and ships thesupplies.

• A business other than described in the bullets above, which is alegally reccgnized business organization under the laws of theState of Texas, provided that at least 51 % of the assets andinterest and 51 % of any classes of stock and equitable securitiesare owned by one or more persons from <:In economicallydisadvantage group.

Economically Disadvantaged Group - include the following

• Black Americans - includes persons having origins in any of theBlack mcial groups of Africa.

• Hispanic Americans - includes persons of Mexican, Puerto Rican,Cuban, Central or South Americans, or other Spanish orPortuguese culture or origin.

• Asian Pacific Americans - includes persons whose origins are inJapan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, thePhilippines, Samoa, Guam, the U. S. Trust Territories of the Pacific,and the Northern Marianas, and Subcontinent Asian Americanswhich includes persons whose origins are from India, Pakistan,Bangladesh, Sri Lanka, Bhutan or Nepal.

• Native Americans - includes persons who are American Indians,Eskimos, Aleuts, or Native Hawaiians.

Page 2 of 4


• American Women - includes all women of any ethnicity exceptAmerican women specified in the bullets immediately above.

Commodities - materials, supplies, or equipment.

Professional Services - services procured under provisions of the TexasGovernment Code Sections 2254.001 - 2254.005.

Other Services - all services, other than construction and professionalservices, including consulting services procured under provisions of TexasGovernment Code Sectigns 2254,021 - 2254.040.

Construction - construction, improvement, maintenance, or repair ofbuildings, roads, highways, or grounds.

Treasury Funds - funds maintained in the State treasury and disbursedthrough the State Comptroller's Office tor System Administration or aninstitution of the U. T. System.

Non-Treasury Funds - all funds of the U. T. System Administration or aninstitution that are not deposited in the State Treasury.

4. Relevant Federal and Stale Slatules

Texas Administrative Code Part 5 Chapters 1111.11 "" 111.28 - TexasBuilding and Procurement Commission

Texas Government Code Sections 2254.001 - 2254.005 - Professionaland Consulting Services

Texas Government Code Secjions 2254.021 - 22,54.040 - ConsultingServices


Administrative Rule Series 22903 - Procedures for Ensuring a Good FaithEffort to Use HUB Firms

6. Who Should Know

AdministratorsHUB CoordinatorsProcurement Directors

Page 3 014



Office of the Chancellor


December 10, 2004


Series: 20701



Page 40f4

The University ofTexas SystemRules and Regulations of the Board of Regents

1. Title

Tmvel


Series: 20801

Sec. 1 Development of Travel Regulations. Institutions of theU. T. System shall issue travel regulations coveringauthorization for travel and reimbursement for approved travelto implement applicable provisions of State law and regulationsfor the guidance of alf personnel concerned. Followingadministrative approval by the appropriate Executive ViceChancellor, travel regulations will be included in the institutionalHandbook of Operating Procedures.

Sec. 2 Authorization for Foreign Travel. Authorization for foreign travelshall be transmitted through proper administrative channels tothe Chancellor or the president of the institution, as applicable,or the respective officer's designee, for advance writtenapproval.

3. Definitions

Foreign Travel - travel to, in, or from a destination that is neither in theUnited States, nor a possession of the United States, Mexico or Canada.


General Appropriations Act for the 2004-2005 Biennium, Article IX,Section 509(i)

Texas Education Code SectionJ,,35.31 - General Powers and Duties

Texas Government Code Sp.ction_p60.003 - Travel Expenses

Texas Government Code Section 660.024 - Advance Approval for CertainInternational Travel


Regents' Rules and Regulations Series 3100§ - Faculty Absence

Business Procedures Memoranda 65 - Spousal Travel Policy

Page 1 of 2


6. Who Should Know

Administrators




December 10,2004

9. Contact Infonnation

Series: 20801



Page 2 012


1. Title

Classified Personnel Pay Plan


Series: 30101

Sec. 1 Institutional Classified Personnel Pay Plan. The institutions ofthe U. T. System and System Administration shall adopt andmaintain a classified personnel pay plan that conforms to theguidelines established by the Chancellor in a BusinessProcedures Memorandum. Each institution's president shall beresponsible for the development and operation of the respectiveinstitution's classified personnel pay plan. The Chancellor shallbe responsible for the development and operation of SystemAdministration's classified pay plan.

3. Definitions

None


None


None

6. Who Should Know

Human Resources


Office of Human Resources


February 10, 2005December 10, 2004

Page 1 of 2



Series: 30101



Page 2 of2


1. Title

General Appointment Information


Series: 30102

Sec.1 Appointment of Employees. The Board of Regents, upon therecommendation of the Chancellor, shall elect or appoint, as thecase may be, all of the employees of The University of TexasSystem and agents of the System and, subject to Stale andfederal laws, shall assign the duties, rights, and privileges ofeach employee or each class or group of employees; provided,however, that the Board of Regents may delegate to theChancellor, and the Chancellor, through the appropriateExecutive Vice Chancellor, may delegate to the presidents ofthe institutions, authority to appoint employees in certaindesignated classes or categories.

Sec, 2 Best Interest. All appointments shall be on the basis of meritand shall comply with the prOVisions of Texas Education CodeSectio_n 51.~_1J~, which requires that any agreement with highereducation administrators be executed only after a finding thatthe agreement is in the best interest of the U. T. System or anyof its institutions. Authority to make such findings is delegatedto the president or chief business officer of the institution and tothe Chancellor for employees not covered by Regenls' Rulesand RegUlations Series 10501, Number 2, Section 3,3,

Sec. 3 As provided in the Texas Constitution 6rticle 1, Section 4, andby statute, no religious qualification shall be reqUired forappointment to any position.

3. Definitions

Agents of the System - An agent is one who is authorized by another, theprincipal, to transact some business or manage some affair for theprincipal, and to render the principal an accounting of the transaction.


Texas Constitution ArticlE!' ..1.-1. Section 4 - Religious Tests

Texas Education Code Segtion 65,38 - Nonsectarian

Page 1 of 2


Texas Education Code Section 51.943 - Renewal of Faculty EmploymentContracts.


None

6. Who Should Know

Administrators




December 10, 2004

9, Contact Information


• boriCL1ut§ystem.edu

Page 2 of 2


1. Title

Standards of Conduct


Series: 30103

Sec. 1 Statutory Compliance. Every employee is expecled to obey allfederal, Slate, and local laws, and particularly Texas PenalCude ChaRter 42 and.Section 46.Q:) and Texas Education Code:;;eclion 5193~. Any employee who violates any provision ofthese statutes is sUbject to dismissal, notwithstanding anyaction by civil authorities on account of the violation.

Sec. 2 Disruption of Activities. Any employee who, acting singly or inconcert with others, obstructs, disrupts or interferes with anyteaching, educational, research, administrative, disciplinary.public service, or other activity, meeting, or event authorized tobe held or conducted on campus or on property or in a buildingor facility owned or controlled by The University of TexasSystem or any of its institutions is subject to disciplinary action,including dismissal. Obstruction or disruption includes but is notlimited to any act that interrupts, modifies, or damages utilityservice or equipment, communication service or equipment,university computers, computer programs, computer records, orcomputer networks accessible through University computerresources.

Sec. 3 Channei for CommUnicatiOn. The Board of Regents is the onlyproper channel through which recommendations concerning theadministration of the System or any of its institutions, as a wholeor in any of its parts, should reach the Legislature or other Stateagencies or officials.

Sec. 4 Advisory Positions. Employees should not be discouraged fromaccepting appointments of a consultative or advisory capacitywith governmental agencies, industry, or other educationalinstitutions. The consideration to the System and thecomponent institutions of such activity is the improvement of theindividual by virtue of his or her continuing contact withnonacademic problems in the nonacadp.mic world.

.--.

Sec. 5 Primary Responsibility. The primary responsibility of p.mployeesof the U. T. System or any of its institutions is theaccomplishment of the duties and responsibilities assigned toone's position of appointment; external consulting or other

Page 1 of 5


outside employment that interferes with those duties andresponsibilities should not be accepted. In connection with anyoutside employment, employees must comply with State lawsgoverning the conduct of State employees, including ethicsstandards and provisions prohibiting conflict of interest and useof State resources.

Sec. 6 Free Advice. Even in the case of employees specificallyengaged only in residence work, there exists an obligation,usually intermittent, to furnish expert knowledge and counsel forpublic benefit free of charge, provided that the meeting of thisobligation by an employee does not interfere with his or herregular duties, and provided further that in meeting thisobligation an employee shall avoid undue competition withlegitimate private agencies.

Sec. 7 Separation of Activities. No employee engaged in outsideremunerative activities shall use in connection therewith theofficial stationery of the System, give as a business address anybuilding or department of the U. T. System or any of itsinstitutions, or any University telephone extension.

Sec. 8 Opinions for Advertising Purposes. Every employee who givesprofessional opinions must protect the U. T. System or any of itsinstitutions against the use of such opinions for advertisingpurposes. If the employee does work in a private capacity. theemployee must make it clear to those who employ him or herthat the work is unofficial and that the name of the U. T. Systemor any of its institutions is not in any way to be connected withthe employee's name, except when used to identify the memberas the author of work related to the employee's academic orresearch area as more fUlly described in Series 90101 of theRegents' Rules and Regulations concerning general rules forintellectual property.

Sec. 9 Use of U. T. System Property. No employee shall accept payfrom private persons or corporations for tests, assays, chemicalanalyses, bacteriological examinations, or other such work thatinvolves the use of property owned by the U. T. System or anyof its institutions, unless advance permission has been obtainedfrom the Chancellor or the president of an institution andprovision has been made for compensation to SystemAdministration or the institution.

Page 2 of 5


Sec. 10 Filing Requirement. No full-time employee employed by theu. T. System or any of its institutions on a 12-month or ninemonth basis shall be employed in any outside work or activity orreceive from an outside source a regular retainer fee or salaryuntil a description of the nature and extent of the employmenthas been filed with and approved by appropriate administrativeofficials as set forth in the policies of the U T. System or theHandbook of Operating Procedures of each institution. Forspecial provisions relating to other State or federal employment,see Sections 11 of this Series.

Sec. 11 Public Office. Subject to the other provisions of this Series, anemployee of the U. T, System or any of its institutions may holdother non·eledive offices or positions of honor, trust, or profitwith the State of Texas or the United States if holding the otheroffices or positions is of benefit to the State of Texas or isrequired by State or federal law and jf there is no conflictbetween holding the office or position and holding the office orposition with the U. T. System or any of its institutions for whichthe employee receives salary or compensation.

11.1 Before an employee olthe U. T. System or any of itsinstitutions may accept an offer to serve in other nonelective offices or positions of honor, trust, or profit withthe State of Texas or the United States, the employeemust obtain from the appropriate administrative officialsand the Board a finding via the Docket that therequirements of this Section have been fUlfilled. Thedocket entry shall also record any compensation theemployee is to receive from the non-elective office orposition, including salary, bonus, or per diem payment.

Sec. 12 Outside Boards. It Is recognized that the Chancellor and otherExecutive Officers of the System Administratiun cmd thepresidents of institutions of the U. T. System may be asked toserve on the hoards, councils or other governing or advisorybodies ("outside boards") of various business, civic,professional, and social organi7ations, both for profit and notfor-profit, and in compensated and non-compensated positions.Such service is generally deemed to be in the best interest ofthe U. T. System or any of its institutions because it broadensthe experience of the individuals involved and exposes the U. T.System or any of its institutions to a larger audience ofbusiness, civic, professional, and social leaders.

Page 3 of5


Sec. 13 Political Activities, The Board of Regents recognizes the right ofemployees to participate in political activities provided suchactivities are not conducted during work hours unless theemployee uses accrued compensatory or vacation leave; are incompliance with the Constitution and laws of the Slale of Texas;do not interlere with the discharge and performance of anemployee's duties and responsibilities; do not involve the use ofequipment, supplies, or services of the U. T. System or any ofits institutions; do not involve the impermissible use of Universityfacilities; do not involve the attempt to coerce students, faculty,or staff to participate in or support the political activity; and donot involve the U. T. System or any of its institutions in partisanpolitics. With the interest of the U. T. System and any of Itsinstitutions being given first consideration, a leave of absencewithout pay pursuanf to Regents' Rules and Regulations Series30201 Number 2, Section 3.1, may but need not be granted toan employee to participate in political activities. However, aleave of absence without pay shall not be granted to anemployee of the U. T. System or any of its institutions for thepurpose of being a candidate for an elective public office,holding an elective public office, or directing the politicalcampaign of a candidate for an elective public office. Anemployee who wishes to engage in political activity that willinterfere with the performance of his or her duties andresponsibilities should voluntarily terminate employment. If thepresident of the institution, the Chancellor, an Executive ViceChancellor, or the Board of Regents finds that the employee'spolilical activily inlerferes with the performance of his or herduties and responsibilities or does not comply with therequirements of this subsection, the employee shall be subjectto appropriate di~ciplinary action, inclUding termination.

3. Definitions

None


Texas Penal Gode Section 42 - Disorderly Conduct and Related Offences

Texas Penal Code Sectipn 46.03 - Places Weapons Prohibited

Texas Education Code Section 51.93.Q - Disruptive Activities

Page 4 of 5

The University 01 Texas SystemRules and Regulations 01 the Boar,""dLo"ILR~e",g"eu.nt"s,- "S,.e"-ri",e",s,,-:-'!3.!!0.!-10"",3


Regents' Rules and Regulations Series 31008 - Termination of a FacultyMember

Regents' Rules and Regulations Series".30601 - Discipline and Dismissalof Employees (Does not apply to faculty member or police)

Regents' Rules and Regulations Series 30602 - Employee Grievance

Regents' Rules and Regulations Series30104 - Conflict of Interest

6. Who Should Know

AdministratorsEmployees


Office of General CounselOffice of Human Resources


December 10. 2004


Questions or comments regarding this rUle should be directed to:

• QQr@utsystem.~du

Page 5015

mailto:QQr@utsystem.~du

The University of Texas SystemRules and Reg uIations of the Boa!!.r"'d-'0"f.!R"e"gi!e"-n"ts"-- ~~_'S"'e.,r"'ie"'s'_':_'J"O'_'1"'O",4

1. Title

Conflict of Interest


Sec.1 Prohibition. It is the law of this state that a state officer or stateemployee may not have a direct or indirect interest. includingfinancial and other interests, or engage in a businesstransaction or professional activity, or incur any obligation of anynature that is in substantial conflict with the proper discharge ofthe officer's or employee's duties in the public interest.

Sec. 2 Written Disclosures. Employees shall in a timely manner furnishsuch written disclosures as may be required by State andfederal authorities or by institutional authorities.

Sec. 3 Adherence. All employees shall adhere to the laws, rules,regulations, and policies of applicable governmental andinstitutional authorIties and the following standards of conductThe failure to do so may be grounds for disciplinary action,including termination.

3. Definitions

None

4. Relevant Federal and Slate Statutes

Standards or Conduct Di9.?st contains a list of relevant statutes

Texas Government Code Sa.ction 572.005 - Determination of SubstantialInterest

Texas Government Code section 572.0"-1 - Standards of Conduct


Stan,,;Jards of Conduct Digest

Financial Disclosure. and Conflict pi Interest St<;ltemeot

6. Who Should Know

Board of Regents

Page 1 of 2

The University of Texas SystemRu.es and Regulations of the Board of Regents

Employees


Office of General Counsel


December 10, 2004

9. Contract Information

Series: 30104


Page 2 of 2


1. Title

Sexual Harassment and Misconduct


Series: 30105

3.

4.

Sec.1 Environment. The educational and working environments ofThe University of Texas System or any of its institutions shall befree from inappropriate conduct of a sexual nature. Sexualharassment and misconduct are unprofessional andunacceptable.

Sec. 2 Adoption of Policies The Institutions of the U. T. System andSystem Administration shall adopt policies prohibiting sexualharassment and misconduct and procedures for review ofcomplaints to be published in the Handbook of OperatingProcedures of each institution.

Definitions

Sexual Harassment - Unwelcome sexual advances, requests for sexualfavors, or other verbal or physical conduct of a sexual nature, submissionto which is made a term or condition of a person's exercise or enjoymentof any right. privilege, power, or immunity, either explicitly or implicitlyTexas Penal Code Ann. § 39.03(c). A pUblic servant acling under color ofhis/her office or employment who intentionally subjects another to sexualharassment is gUilty of official oppression. Texas Penal Code Ann.§39.03(alQl. Official oppression is a Class A misdemeanor. Texas PenalCode i\nn.~;3_9.,03(ill.

Relevant Federal and State Statutes

Equal Employment Opportunity Commission, Guidelines on DiscriminationBecause of Sex (defining sexual harassment), 29 G.F.R. § 1604,11(a)(1988)

Texas Penal Code 8.tllJ, § 39.03 - Official Oppression


University of Texas System Policy - Sexual Orientatioo.JYQn.cij§criminationPolicv

Page 1 of 2


6. Who Should Know

Employees

7. System Administration Office(sj Responsible for Rule

Office of Academic AffairsOffice of Health AffairsOffice of General CounselOffice of Human Resources


December 10. 2004


Series: 30105



Page 2 of 2


1. Title

Nepotism


Series: 30106

Sec.1 Statutory Requirement. Texas Government Code Chapter 573prohibits public officiais tram appointing any individual to aposition that is 10 be directly or indirectly compensated frompUblic funds or fees of office if the individual is related to thepublic official within the second degree by affinity or within thethird degree by consanguinity.

Sec. 2 System Requirement. Even though the appointment of aperson, would not be prohibited by the Texas GovernmentCode. no employeR of The University of Texas System or any ofits institutions may approve, recommend, or otherwise act withregard to the appointment, reappointment, promotion, or salaryof any person related to such employee as outlined in Section~

2.4 or 2.5 regardtess of the source of funds for the payment ofsalary. This provision also includes individuals hired as privatecontractors.

2.1 Supervision. If the appointment, reappointment, orpromotion of a person places him or her under anadministrative supervisor related within the specifieddegree, all subsequent actions with regard to theevaluation, reappointment, promotion, or salary shall bethe responsibiiity of the next highest administrator tomake a written review of the work performance of suchemployee at least annually and to submit each review forapproval or disapproval by the component institution'sChief Human Resources Officer in the case of classifiedemployees or the Chancellor or the president in the caseof faculty or non-classified employees.

2.2 Promotion. If the appointment, reappointment, orpromotion of a person places him or her in anadministrative or supervisory position with responsibilityto approve, recommend, or otherwise act with regard toreappointment, promotion, or salary of a person who isrelated to them within the above degree specified, allsubsequent actions regarding the evaluation,reappointment, promotion, or salary of such person shallbe made hy the next highest supervisor.

page 1 of 3


2.3 Marriage. The provision of Section 2.1 of this Seriesshall apply to situations where two employees marry andone spouse IS the supervisor of the other.

2.4 Relationship by Blood. Relationship by blood(consanguinity) as determined by Texas GovernmentCode Chapter 573:

(a) First degree is the employee's father, mother, son,or daughter.

(b) Second degree is the employee's brother, sisler,grandfather, grandmother, grandson, orgranddaughter.

(c) Third degree is the employee's uncle or aunt (whois a brother or sister of the employee's parent),nephew or niece (who is a child of the employee'sbrother or sister), great grandfather, greatgrandmother, great grandson or greatgranddaughter.

2.5 Relationship by Marriage. Relationship by marriage(affinity) as determined by Texas Government CodeChapter 573:

(a) First degree is the employee spouse's father,mother, son, or daughter.

(b) Second degree is the employee spouse's brother,sister, grandfather, grandmother, grandson, orgranddaughter.

3, Definitions

Affinity - relationship by marriage. According to Texas Government CodeSection 573.024, two individuals are related by affinity if:

1. they are married to each other; or2. the spouse of one of the individuals is related by consanguinity to

the other individual.

Consanguinity - relationship by blood or origin. According to TexasGovernmenf Code Section 573.022:

Page 2 of3


(a) Two individuals are related to each other by consanguinity if:

1. one is a descendant of the other; or2. they share a common ancestor.

(b) An adopted child is considered to be a child of the adoptive parent forthis purpose.

Public ufficial- defined in Texas Government Code Seclion.5}3.001 (3)as:

1. An officer of this state or of a district, county, municipality, precinct,school district, or other political sUbdivision of this state;

2. An officer or member of a board of this state or of a district countymunicipality, school district, or other pulitical subdivision of thisstate; or

3. a judge of a court created by or under the statute of this state.


Texas Government Code Chapter 5Z3: - Nepotism Prohibitions

5. Relevant System Policies, Procedures and Forms

Business Procedures Memoranda No. 65 - S2.0us:al Tr~ve\ Policy

6. Who Should Know

Board of RegentsAdministrators and Supervisors




December 10, 2004



• t!or@utsystem,edu

Page 3 of 3


1. Title

Training and Education

Series: 30112


Sec. 1 Responsibility. The Office of Human Resources, by delegationfrom the Vice Chancellor for Administration, is responsible forpromulgating the necessary policies and procedures forimplementation of the State Employees Training Act. consistentwith the guidelines approved by the Governor.

Sec. 2 Pulicy Requirements. Pursuant to Texas Government CodeSection 656,048 - Rules Relating to Training and Education,The University of Texas System requires the establishment ofpolicies that promote training programs of benefit to employees.Policies implemented must be consistent with provisions of theState Employees Training Act, as follows:

2.1 Interest of the Institution. The U_ T. System or any of itsinstitutions will not extend funds under these provisionswithout the interest of the U. T. System or any of itsinstitutions being given first consideration.

2.2 Written Agreements. If an employee does not performthe regUlar duties of the job for three or more months, awritten agreement r.omplying with the provisions ofinstitutional policy will be executed between theemployee and the U. T. System or any of its institutionsas required by State law.

2.3 Failure to Comply with Agreement. Should an emr10yeefail to honor the provisions of the agreement, the U T.System or any of its institutions will be reimbursed for allcosts associated with the training period, including anyamounts of the employee's salary not accounted for aspaid vacation or compensatory leave.

2.4 Annual Report. The U. T. System and its institutions willreport annually to the Legisiative Budget Board delailingthe amount of money expended in the preceding fiscalyear for training subject to the Act.

Page 1 of 2


3. Definitions

None


Series: 30112

Texas Government Code Section 656.048 - Rules Relating to Trainingand Education


None

6. Who Should Know

Administrators




December 10, 2004


Questions of comments regarding this rule should be directed to:

• bor@ustystem&cL~

Page 2 of 2


1. Title

Lea\le Policies


Series: 30201

Sec. 1 Holidays. All employees, except those employed in positionsthat require studenl status as a condition of employment, areenlitled to such holidays as are provided by the Legislature inthe current Appropriations Act and as are approved annually bythe Vice Chancellor for Administration, or to alternate holidaysapproved in the official calendars of the various institutions bythe Vice Chancellor for Administration.

Sec 2 Vacations. Vacations for eligible employees, Including faculty"ppointed on a 12-month basis, shall be as provided by Statelaw. Vacations for eligible fuli and part-time employees sholl beon a percentage basis for the time appointed, regardless ofwhether they are paid On a monthly or hourly basis. Eligihleemployees accrue vacation hours based on length of stateservice.

2.1 Tennination. An employee who leaves employment shallbe entitled to be paid in "lump sum" for all vacation leaveentitlement duly accrued at the date of termination:provided the employee has had continuous employmentwith the State of Texas for six months. The paymentshail be calculated at the rate of compensation beingpaid the employee at the time of termination.

2.2 Death. In the case of death of an employee who hasaccumulated vacation leave, their estate will be paid farsuch leave. The payment shall be calculated at a rate ofcompensation being paid the employee at the time of hisor her death.

Sec. 3 Leave Without Pay. With the interest of the institution beinggiven first consideration and for good cause, leaves of absencewithout pay may be granted for a period within the term ofappointment of any faculty or staff, subject to the generalconditions included herein. Leaves of nbsGnce for a first year orportion thereof or a second consecutive year's leave may begranted by the Chancellor or president, or his or her designee.Leaves of absence for a third consecutive year will be grantedonly for the reasons outlined in Sections 3.2 and 3.3 below,

Page 1 of 8


following review and approval by the appropriate Executive ViceChancellor.

3.1 First Year of Leave. The maximum period for which a(eave of absence will be granted is twelve months fromwhen the leave begins.

3.2 Second Year af Leave. Except in unusual circumstancessuch as military service, reasons of health, continuedgraduate study, and public service or other activity thatreflects credit on the institution and enhances anindividual's ability to make subsequent contributions tothe institution, a second consecutive year of leave willnot be granted.

33 Third Year of Leave. Except in very unusuaicircumstances a third consecutive leave of absence forone year will not be granted.

3.4 Return of Duty. After a return to duty of one year, theleave-af-absence privilege will again be available, subjectto the conditions above.

3.5 Exhaust Leave. Unless otherwise provided by orauthorized pursuant to law, all accumulated paid leaveentitlement must be exhausted before a leave of absencewithout pay may be granted, with the additionai provisionthat sick leave must be exhausted only in those caseswhere the employee is eligible to take sick leave.

3.6 Family and Medicai Leave. Upon expiration of Familyand Medical Leave pursuant to these Rules andRegulations, an employee may be eligible for a leave ofabsence under this section.

3.7 Other Absences. For leave of absence to participate in apolitical campaign, faCUlty development leave, parentalleave, sick leave, leave for jury duty, leave for militaryduty, and leave related to on-the-job injuries, see othersections of these Rules and Regulations.

Sec. 4 Development Leave. Development leaves for faCUlty membersmay be granted as set out in Texas Education Code Section51.1 01 et seg. upon approval by the president of a componentinstitution. The law provides that after two consecutive

Page 2 of8


,'~'

academic years at the same institution, faculty members asdefined in this Act may be considered for a faculty developmentleave for one academic year at one-half his or her regular salaryor for one-half academic year at his or her full regular salary.Such leaves shall be granted pursuant to procedures outlined inthe Act and to the limitations therein.

Sec. 5 Administrative Leave. As set out in the Texas GovernmentCode Section 661.911, the Chancellor or president of aninstitution may grant administrative leave without a deduction insalary to an employee as a reward for outstanding performanceas documented by employee performance appraisals. The totalamount of administrative leave an employee may be grantedunder this law may not exceed 32 hours in a fiscal year.

Sec. 6 Parental Leave. Parental leave for all employees shall be asprovided by State law as set out in the Texas Government CodeSection 961.913 giving supervisors the responsibility forapproving parental leave requests for those employees noteligible for Family and Medical leave for the birth of a naturalchild or adoption by or foster care placement wIth the employeeof a child younger than 3 years of age. Employees must firstuse all available and appropriate vacation and sick leave andthen the remainder of the ieave period will be leave without pay.Parental leave of absence may not exceed twelve weeks.

Sec. 7 Sick Leave. Sick leave for all employees, including faCUlty, nonteaching personnel, and classified personnel, shall be asprovided by Stale law.

7.1 Death. In the case of death of an employee who hasaccumulated sick leave, the estate will be paid for suchleave as permitted by law. The payment shall becaiculated at the rate of campensalion being paid theemployee at the time of death.

Sec. 8 Jury Duty. Necessary time off for jury duty is required to begiven without loss of payor vacation leave.

Sec. g Military Duty. A leave of absence not to exceed 15 workingdays in anyone federal fiscal year \s gnmted employees who,as members of the National Guard or Official Militia of Texas ormembers of any of the Reserve Component institutions of theArmed Forces, shall be engaged in authorized training or duty,ordered or authorized by proper authority. During such periods,

Page 3 of 8


the employee is absent without loss of efficiency rating, vacationtime, or salary; and when relieved from military duty, theemployee is restored to the position and status he or shepreviously held. A leave of absence witll full pay shall beprovided any employee who is called to active duty with theNational Guard by the Governor of Texas. Such leave shall notbe charged against the employee's vacation or sick leaveprivileges. The chief business officer of each institution mayprescribe forms and procedures for such leaves.

9.1 Paid Emergency Leave. As set out in the TexasGovernment Code Section 4.31.0825. a state employeecalled by the Governor to state active duty as a memberof the state military forces is entitled to receive paidemergency leave without loss of military leave underSection 431.005 of the Texas Government Code orannual leave.

9.2 Use of Compensatory Time. As set out in the TexasGovernment Code Section 659.023 a state agency shallprovide an employee activated to military service as amember of the reserve component of the armed forceswith a statement containing the balance of theemployee's accrued stated compensatory time and shallaccommodate the employee's request to use the balanceof accrued state compensatory time before thecompensatory time expires.

9.3 Unpaid Leave. As set out in the Texas GovernmentCode Section 661.904. an employee called to active dutyduring a national emergency to serve in a reservecomponent of the armed forces of the United Statesunder Title 10 or 32. of the United States Code is entitledto an unpaid leave of absence. The employee continuesto accrue state service credit for purpose of longevity paywhile on military duty but does not accrue vacation orsick leave during an unpaid leave of absence.

(a) The employee may retain any accrued vacation orsick leave and Is entitled to be credited with thosebalances on return to state employment. leaveearned while in a state-paid status is credited to theemployee's balance when the employee retums toactive state employment.

Page 4 of 8

- ~,,,

The University of Texas SystemRules and Regulations of the Board of Regents Series: 302Q1

(b) The employee may use any accrued vacation leave,earned state compensatory leave, or overtimecompensatory leave earned under the federal FairLabor Standards Act (U,S Code Search29 UnitedStates Code 206(a)(1)) to maintain benefits for theemployee or the employee's dependents while theemployee is on military duty,

(c) Before an employee leaves for military service. anyissues related to maintaining state health insurancecoverage during the employee's military duty must bediscussed with him or her, including what theemployee needs to do to maintain state healthcoverage, how health coverage is affected by paid orunpaid leave, and how to pay any premium requiredfor health care coveri;lge.

(d) An employee activated for military service maycontinue to accrue service credit with the Teacher'sRetirement System of Texas by receiving at least onehour of state pay during each month of active militaryservice. The employee may use an combination ofpaid leave, including state compensatory leave,overtime leave under the federal Fair LaborStandards Acf (29LJnited States Code 296(0)(1 i),annual leave, military leave, or approved differentialpay to qualify for this state pay,

9.4 In accordance with Texas Government Code Section661.90A.1, the Chancellor or president of an institutionshall grant sufficient emergency leave as differential payto a state employee on unpaid military leave if theemployee's military gross pay is less than the employee'sstate gross pay. The combination of emergency leaveand military pay may not exceed the employee's actualstate gross pay.

Sec. 10 Family and Medical Leave. Any employee may request andreceive a leave of absence without pay for up to 12 weeks peryear for family and medical reasons specified by the Family andMedical Leave Act of 1993 (29 I,Jnited States Code Sec, 2601)and accompanying regUlations governing the Act, as set forth inapproved institutional and System policies. Eligibility criteria aredefined in the Act. Upon expiration of the 12 weeks of leavetaken pursuant to the Famjfy and Medical Leave Act, an

Page 5 of 8

The University of Texas SystemRules and Regulations of tb.e Board of Regents Series: 30201

employee may be eligible for a leave of ahsence without paypursuant to Section 3 above.

Sec. 11 Bone Marrow and Organ Donors. Texas Government CodeSection 661.916 provides that an employee is entitled to a leaveof absence without a deduction in salary ror the time necessaryto permit the employee to serve as a bone marrow or organdonor. The leave of absence may not exceed five working daysin a fiscal year to serve as a bone marrow donor or 30 workingdays in a fiscal year to serve as an organ donor.

Sec. 12 Blood Donors. In accordance with Texas Government CodeSection 661,917, an employee shall be allowed sufficient timeoff, without a deduction in salary or accrued leave to donateblood.

12.1 Approval. An employee may not receive time off unlessthe employee obtains approval from the employee'ssupervisor before taking off.

12.2 Proof. On returning to work after taking time off. theemployee shall provide the employee's supervisor withproof that the employee donated hlood during tho timeoff. If an employee fails to provide proof that theemployee donated blood during the time off, theemployee will deduct the time from accrued leave, ifavailable, or be placed on leave Without pay.

12.3 Limitation. An employee may receive time off under thissection not more than four times a year.

Sec. 13 Authorization for Absence. Authorization for any staff memherto be absent from his or her usual and regular duties for apurpose related to his or her duties will be granted only underthe following conditions:

13.1 When such absence is on State business, and

13.2 When appropriate provisions are made to carry on theduties of the absent person without additional expense tothe institution; or

13.2 In the case of military leave, noll0 exceed 15 work.ingdays each year.

Page 6 of 8


-.

Sec. 14 Institutional Regulations. Permission to be absent from usualand regular duties shall be obtained as prescribed in institution:::!1regulations.

3. Definitions

None


Fair Labor Standards Act of 1938(29 USC. 2013@W)

Family and Medical Leave Act of 1993 (29 U.S.C. Sec. 2(01)

Employment and Reemployment Rights of Members of the UniformServices Act (38 U.S.c. Sec. 4301)

Title 10 U.S,C. (Armed Forces) Sec. 101 et seq.

Title 32 U.S.C. (National Guard) Sec. 101 et seq.

Texas Education Code .!Section 51.101 - Definitions

Texas Government Code Section 661 ..911 - Administrative Leave WithoutPay

Texas Government Code Section 431.009 - Leave of Absence for PublicOfficers and Employees

Texas Government Code Section 431.0825 - Employees in NationalGuard

Texas Government Code Seetior.l 659.023 - Compensatory Time Policy

Texas Government Code Section 661.904 - Military Leave DuringNational Emergency

Texas Government Code SectiQ.n 661.9041 - Differential Pay

Texas Government Code ~~<;:tj.on 661.916 - Leave for Organ or BoneMarrow Donors

Texas Government Code Section 917 - Donation of Blood

Page 7 of 8


5. Relevant System Policies. Procedures. and Forms

None

6. Who Should Know

Employees




December 10. 2004


Series: 30201

Questions of comments regarding this rule should be directed to:


Page 8 of 8


1. Title

Employee Benefits


Series: 30202

Sec. 1 Optional Retirement Program. The Board of Regents shallselect those companies accepted as vendors to participate inthe Optional Retirement Program, based upon recommendationfrom the Chancellor. Within a reasonable time period followingselection by the Board of Regents, each vendor must execute acontract for products and services. The contract must beacceptable to The University of Texas System and must includethe selection criteria contained in the Request for Proposals.

Sec. 2 UTGRA. University of Texas Governmental RetirementArrangement. The Board of Regents authorizes theestablishment of a "governmental excess benefits plan" for theOptional Retirement Program, authorized under InternalRevenue Code Section 4J.!;>.Lm2 and Texas Government CodeSection 830.004 and designated as The University of TexasGovernmental Retirement Arrangement (UTGRA).

2.1 Eligibility. Eiigibility for participation shall be based on anempioyee's date of initiai participation in the OptionalRetirement Program and the employee's level ofearnings. Participation in the program and allsubsequent distributions shall be in accordance with theplan documents.

2.2 Delegation of Authority. The Board of Regents delegatesto the Vice Chancellor for Administration the power andauthority to amend the plan documents consistent withapplicable law and to take all actions and makeall decisions and interpretations necessary or appropriateto administer and operate UTGRA consistent with theplan documents.

2.3 Ownership. Ali funds participating in UTGRA includingthe monthly State contribution, amounts reduced fromeach participant's salary, and any SUbsequent investmentearnings are the property of the Board of Regents untilsuch time as an authorized distribution is executed inaccordance with the plan documents.

Page 1 of 7


2.4 Trustee and Record Keeper. The University of TexasM. D. Anderson Cancer Center Physicians ReferralService Retirement Board (PRS Retirement Board) shallserve as trustee and record keeper for UTGRA.

Sec. 3 Group Insurance Plans. The Chancellor on behalf of the Boardof Regents shall administer all group insurance, health benefitprograms, and cafeteria plans authorized by law for employeesof the U. T. System and any of its institutions.

3.1 Administration. The Chancellor shall provide for theplanning, implementation, management, andadministration of the employee group insurance andhealth benefit programs through such U. T. Systemcommittees and administrators, as the Chancellor deemsappropriate.

3.2 Recommendations. The Chancellor will submit for reviewand approval by the Board of Regents, recommendationson matters regarding the employee group insuranceprogram.

Sec. 4 Workers Compensation Insurance. Pursuant to Texas LaborCode Section p03.001 81 seg., a self-insured System-wideWorkers' Compensation Insurance (W.C.L) Program will providecertain benefits for injuries sustained in the course and scope ofemployment.

4.1 Investigation of Injuries. The Office of Risk Managementshall investigate injuries, with the assistance of otherappropriate U. T. System institutions offices.

4.2 Reporting. The institutions of the U. T. System shall beresponsible for reporting all work·related injuries to theOffice Risk Management The Office of RiskManagement shall file reports of lost time injuries andoccupational diseases with the Texas Workers'Compensation Commission (TW.C.C.).

4.3 Safety Activities. The Office of Risk Management shallcoordinate occupational safety and health activities

4.4 Funding. A percentage of annual payroll, as approved bythe Executive Vice Chancellor for Business Affairs, shall

Page 2 of 7


be set aside to fund the Workers' CompensationInsurance Fund (W.C.L Fund).

(a) Each institutional chief business officer shall beresponsible for the transmission of amounts to beadded 10 the W.C.L Fund for all salaries paid, asinstructed by the Office of Risk Management, forreceipt inlo the W.C.L Fund no later than 20 daysafter the end of each month.

(b) The WC.L Fund must be deposited or invested in thesame manner as other local institutional funds asspecified in these Rules and Regulations.

4.5 Processing of Claims. The Office of Risk Managementshall be responsible for processing all W.C.L claims formedical care and compensation.

4.6 Report on Fund. The Office of Risk Management shallprepare an annual report on the status of the W.C.L Fundfor the Board of Regents.

Sec. 5 Unemployment Compensation Insurance. The UnemploymentCompensation Insurance (U.C.L) Fund is established by theBoard of Regents to be deposited or invested in the samemanner as other local institutional funds. The Office of RiskManagement shall administer funding by assessment on allsalary sources that are eligible for benefits from the Systemwide U.C.I program.

5.1 Reimbursements to the State. The System-wide U.C.IProgram will reimburse the State from the U.C.L Fund forclaims charge-backs paid by the State Comptroller forformer employees in accordance with Texas Labor Code,Section 205.001 et seq.

5.2 Assessed Rates. Assessment rates shall be calculatedto proVide minimum U,C.1. Fund balance fluctuations andmaximum rate stability. Each institutional chief businessofficer shall be responsible for the transmission of suchassessed amounts, as instructed by the Office of RiskManagement, for receipt into the U.C.1. Fund no laterthan 20 days after the end of the month.

Page 3 of7

The University of Texas SystemRules and Reg ulations of the Board of Regents Series: 30202

5.3 Administrator. The Office of Risk Management, workingin coordination with appropriate System and institutionoffices, shall administer the U.C.t. Program and provideassistance as necessary to the institutions of the U.T.System.

5.4 Annual Report. The Office of Risk Management shallprepare an annual report on the status of the U.C.I Fundfor the Board of Regents.

Sec. 6 Deferred Compensation - Section 457(b) Plan. As authorizedby Texas Government Code l;:JIapter 609, any employee mayparticipate in either the Deferred Compensation Planadministered by the Employees Retirement System or the U. 1.Saver Deferred Compensation Plan administered by the U. T.System and established pursuant to Section 457lW of theInternal Revenue Code of 1986, as amended. U. T. Systememployees may not participate simUltaneously in both programsand may not participate in the Deferred Compensation Planadministered by the Employees Retirement System onceparticipation has taken place in the U. T. Saver DeferredCompensation Plan.

6.1 Delegation of Authority. The Board of Regents delegatesto the Vice Chancellor for Administration the power andauthority to amend the U. 1. Saver DeferredCompensation Plan consistent with applicable law and totake all action and to make aU decisions andinterpretations that may be necessary or appropriate toadminister and operate The U. T. Saver DeferredCompensation Plan, as further provided In the U. T.Saver Deferred Compensation Plan. The ViceChancellor for Administration will perform, or cause to beperformed, such record keeping functions as necessaryto administer and maintain the Plan in accordance with§ection 457(b) of the Internal Revenue Code, consistentwith Texas Government Code, Chapter 609.

Sec. 7 Deferred Compensation - Section 457(1) Plan. As authorizedby Texas Revised Civil Statutes Annolated Article 62288-5,Section 3(a), the Board has established a plan pursuant toSection 457.ill of the Internal Revenue Code of 1986, asamended, for the benefit of a select group of employees. Onlyemployees designated by the Board as eligible employees mayparticipate in the plan.

Page 4 of7


7.1 Delegation of Authority. The Board of Regents delegatesto the Executive Vice Chancellor for Business Affairs thepower and authority to amend the Plan consistent withapplicable law and to take all action and to make alldecisions and interpretations that may be necessary orappropriate to administer and operate The U. T. SystemDeferred Compensation Plan (the "Plan"), as furtherprovided in the Plan. The Executive Vice Chancellor forBusiness Affairs will perform, or cause to be performed,such record keeping functions as necessary to administerand maintain the Plan in accordance with Section 457<0of the Internal Revenue Code, consistent with TexasRevised Civil Statutes Annotated Article 6228a-5.

Sec. 8 Tax Sheltered Annuities - Voluntary Sec;tlon 403(b) Plan. Asauthorized by Texas Revised Civil Statutes Annotated Article6228a-5, Sections 1 and 2, the Board has established avoluntary program pursuant to Section 403(b) of the InternatRevenue Code of 1986, as amended, for the benefit of allemployees.

8.1 Delegation of Authority. The Board of Regents delegatesto the Vice Chancellor for Administration the power andauthority to amend the U. T. Saver Tax Sheltered AnnuityProgram consistent with applicable law and to take allaction and make all decisions and interpretations thatmay be necessary or appropriate to administer andoperate The U. T. Saver Tax Sheltered Annuity Program.The Vice Chancellor for Administration will perform, orcause to be performed, such record keeping functions asnecessary to administer and maintain the Plan inaccordance with Section 403{b) of the Internal RevenueService Code, consistent with Texas Revised CivilStatutes Annotated Article 6228a~5, Sections 1 anq~

8.2 Authorized Companies. An employee may purchaseannuities or any investment authorized in Section 40~iQ.2,

Internal Revenue Code at 1986, as amended (TaxSheltered Annuities or T.SA) from a companyauthorized to provide T.S.A. products and services toemployees of the U. T. System.

8.3 Listing of Companies. The University of Texas SystemOffice of Human Resources, in consultation with the

Page 5 of7


Office of the Vice Chancellor for Administration shallmaintain a listing of companies authorized to offerannuities or other investments under the U. T. Saver TaxSheltered Annuify Program.

3. Definitions

None


Internal Revenue Code Seclion 4.03(b)

Internal Revenue Code Section 415(<]11

Internal Revenue Code Section 457(b)

Internal Revenue Code Section 457ill

Texas Government Code chapter 609 - Deferred Compensation Plans

Texas Government Code Secclioll 830.001 et seq. - Optional RetirementProgram.

Texas Government Code Section 830.004(c)· Administration

Texas Labor Code Section.f07.001 et seq. - Payment of Benefits

Texas Labor Code section 503.0Q1J"~- Workers CompensationInsurance

Texas Revised Civil Statutes Annotated Article 6228a·5 - Annuities orInvestments for Certain Public Employees


None

6. Who Should Know

Chief Business OfficersChief Human Resources OfficersRisk ManagersEmployees

Page 6 of7



Office of Human ResourcesOffice of General CounselOffice of Risk MElnagement


December 10, 2004


Series: 30202


• bor@utsystem.,edu

Page 7 017

mailto:bor@utsystem.,edu


1. Title

SiCk Leave Pool


Series: 30203

Sec. 1 Introduction. Pursuant to Texas Government Code Section66.1.002 the Board of Regents is required to establish a programto allow a University of Texas System employee to voluntarilytransfer previously earned sick leave to a sick leave pool. Allinstitutions of the U. T. System shall establish and maintain asick leave pool except for those institutions for which the Boardof Regents has adopted a comprehensive leave policy inaccordance with Texas Education Code Government CodeSection 51.961. The Chancellor, or his or her designee, shalladminister the sick leave pool. The Board of Regents isrequired to adopt rules and prescribe procedures relating to theoperation of the sick leave pool

Sec. 2 Sick Leave Pool Administrator. An administrator designated bythe president shall administer this policy at each institution andQt the U. T. System Administration by a pool administratordesignated by the Chancellor.

2.1 Regulations. The administrator shall adopt forms andregulations appropriate for administration of this rule.

2.2 Withdrawals. The decision of the administrator regardingwithdrawals from the sick leave pool shall be final

Sec. 3 Sick Leave Pool The U T. System sick leave pool shall consistof the sick leave voluntarily contributed by employees.

3.1 Contributions. Contributions to the pool must be in unitsof eight (8) hours. Employees are permitted to contributean unlimited number of hours to the sick leave pool.Retirtng employees are also permitted to contribute to thesick leave pool and may do so in increments of less thaneight (8) hours.

3.2 Crediting of Sick Leave The pool administrator shallcredit the sick leave pool with the sick leave contnbutedby an employee and shall direct the human resourcesoffice to deduct a corresponding amount from thatemployee's accrued sick leave.

Page 1 of 4


3.3 Non-designation of Use. Sick leave contributed to thepool may not be designated for the use of a particularperson.

3.4 Encouragement to Contribute. Although contributionsare voluntary, employees who leave State employmentshould be encouraged to contribute to the pool, unlessthere is a possibility that they will be reemployed by theState within twelve months and thereby eligible to havetheir sick leave balance restored.

Sec. 4 Withdrawal of Leave. Applications to withdraw sick leave fromthe pool must be submitted on the form prescribed by the pooladministrator. An appiication must be filed with the pooladministrator and be accompanied by a statement from thelicensed physician who treated the illness or injury that resultedin the exhaustion of the accrued annual and sick leave of theemployee making the application. The pool administrator wiilconsider applications in the order in which they are received andwill approve or deny an application within ten (10) working daysafter receipt.

4.1 Eligibility. An employee is eligible to withdraw sick leavefrom the pool if the pool administrator finds that theemployee has exhausted all accrued annual leave andsick leave because of a catastrophic illness or injury orbecause of a previous donation of sick leave to the pool.

4.2 Amount Assigned. In determining the amount of sickleave to be assigned to an eligible employee from thepool, the pool administrator shall take into considerationthe information contained in the employee's application,the number of applications then pending. and the amountof sick leave available in the pool. In no event shall thesick leave allocated to an eligible employee from the poolexceed ninety (90) days or one-third (1/3) of the sickleave pool balance, whichever is less. Upon approval ofan employee's application, the pool administrator shallnotify the human resources office of the amount of sickleave to be assigned to the employee.

43 Use of Sick Leave. The employee may use sick leaveassigned from the pool in the same manner as sick leaveearned by the employee and shali be treated for all

Page 2 of 4


purposes as if the employee were absent on earned sickleave.

4.4 Deceased Employees. The estate of a deceasedemployee shall not be entitled to payment for unused sickleave assigned from the pool.

4.5 Use of Sick Leave. Sick leave may be taken to care formembers of an employee's family who do not reside inthe same household only if the time taken is necessary toprovide care to a spouse, child, or parent of theemployee who needs care due to a documented medicalcondition. Sick leave may not be taken to care for anemployee's parents-in-law jf they do not live in the samehousehold as the employee.

3. Definitions

Catastrophic Illness or Injury - a severe condition or combination ofconditions affecting the mental or physical health of an employee or theemployee's immediate family requiring the services of a licensed physicianfor a prolonged period of time and requires the employee to exhaustaccrued leave and to lose compensation from the State.

Employee - an eligible employee of the U. T. System or any of itsinstitutions. An eligible employee is defined as employed for at least 20hours per week for a period of at least four and one-half months, and notemployed in a position for whIch student status is required as a conditionof the employment.


Texas Governmenf Code Section661 002 - Sick Leave Pool

Texas Education Code Sectlon51.9131 - Leave Provisions for Employees


None

6. Who Should Know

Employees

Page 3 014





December 10. 2004


Series: 30203


• [email protected]!du

Page 40f4

mailto:[email protected]!du


1. Title

Sick Leave Pool


Series: 30203

Sec. 1 Introduction. Pursuant to Texas Government Code Se<;tion661.002 the Board of Regents is required to establish a programto allow a University of Texas System employee to voluntarilytransfer previously earned sick leave to a sick leave pool. Allinstitutions of the U. T. System shall establish and maintain asick leave pool except for those institutions for which the Boardof Regents has adopted a comprehensive leave pollcy inaccordance with Texas Education Code Government CodeSection 51.961. The Chancellor, or his or her designee, shalladminister the sick leave pool. The Board of Regents isrequired to adopt rules and prescribe procedures relating to theoperation of the sick leave pool.

Sec. 2 Sick Leave Pool Administrator. An administrator designated bythe president shall administer this policy at each institution andat the U. T. System Administration by a pool administratordesignated by the Chancellor.

2.1 Regulations. The administrator shall adopt forms andregulations appropriate for administration of this rule.

2.2 Withdrawals. The decision of the administrator regardingwithdrawals from the sick leave pool shall be final.

Sec. 3 Sick Leave Pool. The U. T. System sick leave pool shall consistof the sick leave voluntarily contributed by employees.

3.1 Contributions. Contributions to the pool must be in unitsof eight (8) hours. Employees are permitted to contributean unlimited number af hours to the sick leave pool.Retiring employees are also permitted to contribute to thesick leave pool and may do so in increments of less thaneight (8) hours.

3.2 Crediting of Sick Leave. The pool administrator shallcredit the sick leave pool with the sick leave contributedby an employee and shall direct the human resourcesoffice to deduct a corresponding amount from thatemployee's accrued sick leave.

Page 1 of 4


3.3 Non~designationof Use. Sick leave contributed to thepool may not be designated for the use of a particularperson.

3.4 Encouragement to Contribute. Although contributionsare voluntary. employees who leave State employmentshould be encouraged to contribute to the pool, unlessthere is a possibility that they will be reemployed by IheState within twelve months and thereby eligible to havetheir sick leave balance restored.

Sec. 4 Withdrawal of Leave. Applications to withdraw sick leave fromthe pool must be submitted on the form prescribed by the pooladministrator. An application must be filed with the pooladministrator and be accompanied by a statement from thelicensed physician who treated the illness or injury that resultedin the exhaustion of the accrued annual and sick leave of theemployee making the application. The pool administrator willconsider applications in the order in which they are received andwill approve or deny an application within ten (10) working daysafter receipt.

4.1 Eligibility. An employee is eligible to withdraw sick leavefrom the pool if the pool administrator finds that theemployee has exhausted all accrued annual leave andsick leave because of a catastrophic illness Of injury orbecause of a previous donation of sick leave to the pool.

4.2 Amount Assigned. In determining the amount of sickleave to be assigned to an eligible employee from thepool, the pool administrator shall take into considerationthe information contained in the employee's application,the number of applications then pending, and the amountof sick leave available in the pool. In no event shall thesick leave allocated to an eligible employee from the poolexceed ninety (90) days or one-third (1/3) of the sickleave pool balance, whichever is less. Upon approval ofan employee's application, the pool administrator shallnotify the human resources office of the amount of sickleave to be assigned to the employee.

4.3 Use of Sick Leave. The employee may use sick leaveassigned from the pool in the same manner as sick leaveearned by the employee and shall be treated for all

Page 2 of 4


purposes as jf the employee were absent on earned sickleave.

4.4 Deceased Employees. The estate of a deceasedemployee shall not be entitled to payment for unused sickleave assigned from the pool.

4.5 Use ot Sick Leave. Sick leave may be taken to care formembers of an employee's family who do not reside inthe same household only if the time taken is necessary toprovide care to a spouse, child, or parent of theemployee who needs care due to a documented medicalcondition. Sick leave may not be taken to care for anemployee's parents-in-law if they do not live in the samehousehold as the employee.

3. Definitions

Catastrophic Illness or Injury - a severe condition or combination ofconditions affecting the mental or physical health of an employee or theemployee's immediate family requiring the services of a licensed physicianfor a prolonged period of time and requires the employee to exhaustaccrued leave and to lose compensation from the State.

Employee - an eligible employee of the U. T. System or any of itsinstitutions. An eligible employee is defined as employed for at least 20hours per week for a period of at least four and one-half months, and notemployed in a position for which student status is required as a conditionof the employment.


Texas Government Code Section 661.002 - Sick Leave Pooi

Texas Education Code Section 51.961 - Leave Provisions for Employees


None

6. Who Should Know

Employees

Page 3 of 4





December 10. 2004


Series: 30203



Page 4 of 4


1. Title

Employment of Retirees


Series: 30301

Sec. 1 Required Retirement. No person employed by the Universityof Texas System or any of its institutions shall be required toretire because of age except as permitted by law. However, alicensed pilot operating <In aircraft under Part 01 of the FederalAviation Regulations may be employed as a pilot until the end ofthe fiscal year that includes the pilot's 70th birthday.

Sec. 2 MOdified Service. In accordance with the Texas EducationCode Section 51964, an institution of higher education mayemploy a person who has retired under the Teacher RetirementSystem of Texas (TRS) or the Optional Retirement Program if:

2.1 The Board of Regents determines that the empioyment isin the best Interest of the U. T. System and,

2.2 A person retired underTRS must have been retired for atieast 30 days before fhe effective date of reemployment.

2.3 A person retired under the optional retirement programmay be rehired after retirement without a break inselVlce.

Sec. 3 Restrictions. ApPointment to modified service shall be withouttenure, and for not more than one academic year. The noticeprovisions of Series 31002, Number 2, Section 1 of the Regents'Rules and Regulations shall not apply to non-renewal of suchappointments. If the U. T. System or any of its institutionsdetermines that it is in the best interest of the U. T. System, itmay offer reappointment to modified service

3. Definitions

Retirement - withdrawal from employment with the U. T. System or any ofits institutions with a retirement benefit or enrollment in retiree healthinsurance.


Texas Education Code Sectiqn 51.022 - Mandatory Retirement Prohibited

Page1of2


Texas Education Code Sp.Gtion 5l.964 - Hiring of Certain Retirees


None

6. Who Should Know

AdministratorsEmployees




December 10, 2004




Page 2 of 2


1. Title

Employee and Faculty Advisory Councils


Series: 30401

Sec. 1 Employee Advisory Council. A staff Employee Advisory Councilrepresenting institutions in The University of Texas System shallbe formed to facilitate the flow of ideas and information betweenand among the Board of Regents, the System Administration,and the institutions of the System. The Vice Chancellor forAdministration or his or her designee will serve as Systemliaison to the Council. Representatives of the EmployeeAdvisory Council may from time to time address the Board ofRegents at meetings of the Board and may recommend actionto the Board through the Chancellor. At least once each year, ameeting will be arranged between the Employee AdvisoryCouncil Executive Committee and the Board of Regents.

Sec. 2 Faculty Advisory Council. A Faculty Advisory Councilrepresenting institutions in the U. T. System may be formed tofacilitate the flow of ideas and information between and amongthe Board of Regents, the System Administration, and theinstitutions of the System. The Executive Vice Chancellor forAcademic Affairs or his or her designee will serve as Systemliaison to the Council. Representatives of the Faculty AdvisoryCouncil may from time to time address the Board of Regents atmeetings of the Board and may recommend action to the Boardthrough the Chancellor. At least once each year, a meeting willbe arranged between the Faculty Advisory Council ExecutiveCommittee and the Board.

3. Definitions

None


None


None

Page 1 of 2


6. Who Should Know

EmployeesFaculty


Office of Academic Affair!;Office of Health AffairsOffice of Business Affairs


December 10, 2004


Series: 30401

Questions or comments regarding this rule ~hould be directed to:


Page 2 of 2

mailto:[email protected]


1. Title

Employee Evaluations


Series: 30501

.._-

Sec.1 Annual Evaluation. An annual evaluation program for allemployees (administrative. faculty and classified) within TheUniversity of Texas System or any of its institutions is to beused for the improvement of performance, promotionconsideration, and merit salary review.

Sec. 2 Development of Policies. System Administration and eachinstitution of the U. T. System will develop policies andprocedures regarding evaluations for inclusion in the Handbookof Operating Procedures or a Policies and ProceduresMemorandum issued by System Administration's Office ofHuman Resources, as appropriate, after prior approval.

Sec. 3 Probationary Policies. System Administration and eachinstiiution of the U. T. System shall establish a probationaryperiod not to exceed six months of actual service for all newclassified employees. Probationary employees will beevaluated pursuant to procedures and criteria that have beenapproved for inciusion in the institutionai Handbook of OperatingProcedures or System Administration's Human ResourcesManual, as appropriate.

Sec. 4 Faculty Evaluations. Faculty in tenure-track appointments willbe evaluated pursuant to criteria contained in these Rules andRegulations and procedures and criteria that have beenapproved for inclusion in the institutional Handbook of OperatingProcedures.

3. Definitions

None


None

Page 1 of 2



Series: 30501

Regents' Rules and Regulations §erLe_u1JQl - Evaluation ofAdministrators

Regents' Rules and Regulations §eries 30103 - Standards of Conduct

Regents' Rules and Regulations Series 31102 - Evaluation of TenuredFaculty

6. Who Should Know

Employees




December 10, 2004




Page 2 of 2


1. Title

Discipline and Disrni::;sClI of Employees


Series: 30601

Sec. 1 Policy. It is the policy of The University of Texas System or anyof its institutions to encourage fair, efficient, and equitablesolutions for problems arising out of the employmentrelationship and to meet the requirements of State and federaliaw.

Sec. 2 Applicability. These policies and procedures are applicable toconduct or job performance of an employee that resuits in adecision to impose a disciplinary penalty of demotion,suspension without pay, or dismissal. It does not apply to:

2.1 Faculty or Police. Inslitutional police or faculty who aresubject to other approved discipline or dismissalprocedures;

2.2 Suspension. Suspension with pay pending investigationof allegations reiating to an empioyee;

2.3 Appointed Positions. Decisions not to offerreappointment to persons whose appointment for astated period of one year or less expires at the end ofsuch period without the necessity of notice of nonrenewal as provided in the Regents' Rules andRegulations or the policies of the institution; or

2.4 Dismissal. Dismissal of employees

(a) who are appointed to positions without fixed term andunder applicable rule or regulation serve at thepleasure of a specific administrative officer,

(b) who occupy positions that are dependent uponfunding from a specific source and such funding is notreceived,

(c) as a result of a reorganization,

(d) due to financial exigency,

Page 1 of 10


(e) during the 18D-day probationary period,

Series: 30601

(f) who are appointed for a stated period that is less than180 days, or

(g) who are appointed at a per diem or hourly rate andwork on an as needed basis.

Sec. 3 Responsibility for Compliance. Each employee is expected 10acquaint themselves with performance criteria for their particularjob and with all rules, procedures and standards of conductestablished by the Board of Regents, the institution, aod theemployee's department or unit. An empioyee who does notfutfill the responsibilities set nut by such pertormance criteria,rules, procedures, and standards of conduct may be subject toadverse personnel action.

Sec. 4 Quality of Work. Work performance is to he judged by thesupervisor's evaluation of the quality and quantity of werkperformed by each employee. Failure of an employee tomaintain satisfactory work performance standards canconstitute good Gause for disciplinary action including dismissal.

Sec. 5 Unacceptable Conduct. All employees are expected to maintainstandards of conduct suitable and acceptable to the workenVironment. DisciplinClry action, inclUding dismissal, may beimposed for unacceptable conduct. Examples of unacceptableconduct include, but are not limited to:

5.1 falsifications of time sheets, personnel records, or otherinstitutional records;

5.2 neglect of duties;

5.3 smOking anywhere except in designated smoking areas;

5.4 gambling participating in lotteries or any other games ofchance on the premises at any time;

5.5 soliciting, collecting money or circulating petitions on thepremises other than withJn the rules and regulations ofthe institution;

5.6 bringing intoxicants or drugs onto the premises of theinstitution, using intoxicants or drugs, having intoxicants

Page 2 of 10


Sec. 6

or drugs in one's possession, or being under theinfluence of intoxicants or drugs on the premises at anytime;

5.7 abuses or waste of tools, equipment, fixtures, property,supplies or goods of the institution;

5.8 creating or contributing to unhealthy or unsanitaryconditions;

5.9 violations of safety rules or accepted safety practices;

5.10 failures to cooperate with supervisor or co-worker,impairment of function of work unit or disruptive conduct;

5.11 disorderly conduct, harassment of other employees(including sexual harassment) or use of abusivelanguage on the premises;

5.12 fighting, encouraging a fight or threatening, attempting orcausing injury to another person on the premises;

5.13 theft, dishonesty, or unauthorized use of institutionalproperty inciliding records and confidential information;

5.14 creating a condition hazardous to another person on thepremises;

5.15 destroying or defacing institutional property or records orIhe property of a student or employee;

5.16 refusal of an employee to foilow instructions or to performdesignated work that may be required of an employee orrefusal to adhere to established rules and regulations;

5.17 repeated tardiness or absence, absence without propernotification to the supervisor or without satisfactoryreason or unavailability for work: and

Initial Investigation. Ail incidents that involve the potential fordisciplinary action shall be investigated by the employee'ssupervisor or other designated administrative official. If theinvestigation results in evidence that establishes withreasonable certainty that the employee engaged in conduct,which warrants disciplinary action, the supervisor shall follow

Page 3 of 10


Sec. 7

the pre-disciplinary hearing procedures before seeking approvalfor the proposed disciplinary r:\ction.

Pre-disciplinary Hearing. An employee shall be informed of thebasis for any proposed disciplinary action resulting in demotion,suspension without payor dismissal and shall have anopportunity to respond before a final decision is made to takedisciplinary action. This informal pre-disciplinary hearing servesas an opportunity to avoid mistaken decisions to imposediscipline and is not intended to definitively resolve the proprietyof the disciplinary action being considered. However, beforereaching a final decision to impose discipline, the supervisorshall:

7.1 inform the employee, either in person or in writing, of thereasons for the proposed disciplinary action, the factsupon which the supervisor relies, the names of anypersons who have made statements about thedisciplinary incident and the content of such statements;

7.2 give the employee access to any documentary materialwhich the supervisor has relied upon: and

7.3 give the employee an opportunity to respond to thecharges either orally or in writing within a reasonable timeand to persuade the supervisor that the evidencesupporting the charges is not true.

Sec. 8 Review of Decision. If the supervisor is not persuaded that theevidence i::; untrue, the supervisor will review the evidence andproposed disciplinary action with the Director of HumanResources or his or her delegate and will obtain the approvai ofthe appropriate department head or administrative equivalentbefore proceeding to Impose the disciplinary penalty.

Sec. 9 Notice of Disciplinary Action. Upon completing the predisciplinary hearing procedures and obtaining the approval ofthe appropriate department head or administrative eqUivalent,the supelVisor shall inform the empluyee in writing of thefollowing:

9.1 whether the disciplinary penalty is demotion, suspensionwithout payor dismissal;

9.2 the effective date of demotion, suspension or dismissal;

Page 4 of 10


9.3 a specific period for a suspension without pay, not toexceed one (1) month;

9.4 the specific incident, conduct, course of conduct,unsatisfactory work performance or other basis for thedisciplinary penalty;

9.5 any previous eHorts to make the employee aware of theneed to change or improve work performance or conduct;and

9.6 reference to any relevant rule, regulation or policy.

Sec. 10 Employee Rights. An employee who ;s demoted or suspendedwithout pay continues to accrue vacation and sick leave, to becovered by group insurance and to be entitled to otheremployee benefit programs. If a demotion or suspensionwithout pay is appealed and it is determined that there was notgood cause tor the demotion or suspension, the employee sh::tllbe entitled to payment for wages Jost as a result of the demotionor suspension. If it is determined upon appeal that a dismissalwas not for good cause, the employee shall be rein~tated to thesame or similar position and shail be entitled to payment of backwages less any unemployment beneffts received by theemployee after the date of dismissal. Employee benefits suchas vacation and sick leave shall be credited back to the date ofdismissal.

Sec. 11 Appeals. Disciplinary actions resulting in dismissal, suspensionwithout pay. or demotion may be appealed by the affectedemployee pursuant to the process set out below. The timelimits set forth in the appeal procedure must be adhered to byboth the employee and the appropriate supervisory andadministrativR personnel unless extended for good cause by theDirector of Human Resources. The failure of the empioyee toprocess the appeal in a timely manner to the next leVf~1 shallconstitute a withdrawai of the appeal. The failure of supervisoryor administrative personnel to timely respond to an appeal shallconstitute authorization for the employe~ to process the appealto the next step.

11.1 Step One. The emplQyee may present a written appealto the [title of administrative official] within five (5) workingdays from the date of the disciplinary action. The appeal

Pago 5 of 10


shall contain a clear and concise statement of why thedisciplinary action is inappropriate. Within ten (10)working days of the date of the appeal, a written decisionshall be maiied to the employee.

11.2 Step Two. The decision of the step one official may beappealed to the [title of administrative official] within five(5) working days of the date of the step one decision.The appeal must be In writing and shall state why thedecision of the step one official is incorrect. A writtendecision on the appeal shall be mailed to the employeewithin ten (10) working days of the date of the appeal.Institutions may exclude this step.

11.3 Step Three. If the employee is not satisfied with theresult of step one or two, the employee may present awritten request for a hearing before the vice president oradministrative equivalent for the employee's department.The request for a hearing must state with particularitywhy the disciplinary action was inappropriate and/or whythe decision of the step one or two official should bechanged. The request must be made within five (5)working days following the date of the appealed decision.The vice president or administrative equivalent shall, inhis or her discretion, either hear the appeal in person orappoint a delegate(s) to hear the appeal. The hearingshall be conducted pursuant to the procedure set out inSection 13 below.

11 A Step FOUL If the employee is not satisfied with the resultof step two or three, a written appeal may be made to thepresident of the institution within five (5) working days ofthe date of the step two or three decision and must statewhy such decision is incorrect. The review by thepresident shall be based solely upon the step two orthree record and shall not include any new issue orevidence. Within a reasonable period of time, not toexceed thirty (30) days following the date of the appeal, awritten decision shall be mailed to the employee. Thedecision of the president is final.

Sec. 12 Documentation. Copies of all documents pertaining todisciplinary actions shall be filed in the employee's personnelfile.

Page 6 of 10


, "--.

Sect 13 Hearing Procedures. The following procedures should beadhered to for a hearing conducted under Section 11.3 above.

13.1 Naming of Delegate. If the vice president oradministrative equivalent elects to appoint a delegate(s)to hear lhe appeal, the name or names will be furnishedto the employee as soon as practical after the selection ismade. If more than one person is appointed, one of suchpersons shall be designated in the notice to theemployee to seNe as chair.

13.2 Challenges as to Fairness. An employee may challengethe fairness and impartiality of the vice president oradministrative equivalent or an appointed delegate(s).The challenge must be in writing and must clearly statethe factual basis for the challenge A challenge of thevice president or administrative equivalent must be mndeWithin five (5) days of the date of the request for ahearing and a challenge of a delegate(s) must be madeWithin five (5) days after the date of the notice appointingthe delegate(s). It shall be up to the person challengedto determine whether he or she can serve with fairnessand impartiality. If the challenged vice president oradministrative equivalent determines that he or shecannot be fair and impartial in the consirleration of theappeal, he or she shall appoint a delegate(s) to hear theappeal. If a challenged delegate(s) determines that he orshe cannot be fair and impartial in the consideration ofthe appeal, the vice president or administrativeeqUivalent shall appoint another delegate(s).

13.3 Time Requirement. The hearing shall be conducted assoon as practical. but not later than twenty (20) workingdays following the date of the appeai or the appointmentof delegate(s).

13.4 Access to Records. The employee may requestinstitutional documents, records, or exhibits. Suchrequest must <'Icr.ompany the written nppeal requested irlSection 11.3 above. The requested records will befurnished if, in the opinion of the vice president oradministrative equivalent or the designated chair, theyare relevant to the appeal and arc not made confidenlialby law.

Page 7 of 10


13.5 Witness. At least five (5) days prior to the time set for thehearing, the institutional representative tor the appealand the employee shall furnish each other with thenames of the witnesses to be called, a summary of theirexpected testimony and a copy of each document, recordor exhibit to be introduced at the hearing.

13.6 Chair. The vice president or administrative equivalent orthe delegate designated as chair shall preside at thehearing and ensure the order of presentation as well asdecide on questions of relevancy. The chair shall alsohave the discretion to determine the form and scope ofcross-examination allowed during the hearing. Uponrequest. the chair may consult with and be advised bycounsel during the hearing.

13.7 Right to Representation. The employee has the right tobe represented at the hearing by an attorney or otherindividual representative. If the employee is representedby an attorney or an individual from an employeeorganization that does not claim the right to strike. theinstitution may be represented by an attorney from theOffice of General Counsel of The University of TexasSystem Administration.

13.8 Recordings and Transcripts. in all appeai hearingswhere the employee is represented by an attorney or anindividual from an employee organization, a courtreporter shail be furnished by the institution to transcribethe hearing and swear in witnesses. The partyrequesting a copy of the transcript of the proceedingsshall be responsible for its cost. In all other appealhearings the institution shall tape the hearing and make acopy of the tape available to the employee on request.The transcript of the court reporter or the tape of theproceedings shall be the official record of the hearing.

13.9 Burden of Proof. The institution has the burden ofprOVing by a preponderance of credible evidence thatgood cause exists for the disciplinary action and,therefore. shall have the right to open and close theproceedings.

13.10 Evidence. The hearing shall consist of openingslatements on behalf of the inslitution and the employee

Page 8 of 10


and testimony by witnesses called by the institution andthe employee, with both parties having the right to crossexamine witnesses and make closing statements.Relevant exhibits may be introduced by either party andthe chair shaH take notice of the employee's personnelrecord.

13.11 Witnesses. Any employee can be asked to appear as awitness for either party. It shall be the duty of anemployee requested to testify to do so as to any factswhich may be relevant to the appeal.

13.12 Notification to Vice President. The delegate(s) shalldeliberate, prepare, and forward written findings andrecommendations to the vice president or administrativeequivalent within ten (10) working days after the close ofthe hearing.

13.13 Employee Notification. The vice president oradministrative equivalent shall mail his or her decision tothe employee within ten (10) working days following thereceipt of the findings and recommendations from thedelegate(s).

13.14 Employee Notification. lithe vice president oradministrative equivalent has heard the appeal, he or sheshall mail a written decision to the employee within ten(10) working days after the close of the hearing.

3. Definitions

Financial EXigency - a state where financial demands call for urgentaction for bUdget cuts.

Work Performance - includes all aspects of an employee's work.


None


Regents' Rules and Regulations 5eries.30602 - Employee Grievance

Page 9 of 10


6. Who Should Know

Employees


Office of Human ResourcesOffice of General Counsel


December 10. 2004


Series: 30601



Page 10 of 10


1. Title

Employee Grievance


Series: 30602

Sec. 1 Policy. It is the policy of The University of Texas System or anyof its institutions to encourage fair, efficient, and equitablesolutions for problems arising out of the employmentrelationship and to meet the requirements of State and federallaw.

Sec. 2 Scope of Policy. This policy shall be applicable to complaintsconcerning wages, hours of work, working conditions,performance evaluations, merit raises, job assignments,reprimands, the interpretation or application of a rule, regulationor policy, unlawful discrimination on any basis, or allegationsthat the termination of a probationary or temporary employee oran hourly or per diem employee who works on an as neededbasis was for an unlawfully discriminatory reason. Suchcomplaints shall be processed through the Discipline andDismissal Appeal Procedure.

Sec. 3 Who is Covered. The complaint of all employees (exceptemployees subject to another approved grievance procedure),including probationary and temporary employees and thosehourly or per diem employees who work on an ~s needed basis,will be considered pursuant to the procedure provided below.

Sec. 4 Retaliation Prohibited. Texas Government Code SeGtion554.002 states that "a state or local governmental entity may notsuspend or terminate the employment of. or take other adversepersonnel action against, a public employee who in good faithreports a violation of law by the employing governmental entityor another public employee to an appropriate law enforcementauthority." Therefore, employees shall not be penalized,disciplined, or prejudiced for exercising the right to make acomplaint or for aiding another employee in the presentation ofthat complaint.

Sec. 5 Presentation to Supervisor. The employee shall informallypresent the complaint to his or her supervisor for discussion,consideration, anrl resolution within five (5) working days fromthe date of the action. which is subject of the complaint. If thesupervisor is the subject of the complaint. the employee may

Page 1 of 3


address the complaint to the appropriate department head oradministrative equivalent.

Sec. 6 Presentation to Department Head If the supetvisor does notsatisfactorily resolve the complaint within five (5) working days,the employee may present the complaint in writing within five (5)working days to the appropriate department head oradministrative equivalenl for consIderation and action. Thewritten complaint should be clearly identified as a grievance,contain a concise statement that explains the specific complaint,and contain the employee's recommendation for attaining asufficient remedy 01 the complaint. A wrillen decision shall bemailed to the employee within five (5) working days of receipt ofthe complaint.

Sec. 7 Presentation to Dean. If the employee is not satisfied with thedeciSIon of the department head Of administrative equivalent, awritten appeal stating why the appealed decision is incorrectmay be made to the appropriate dean, director or administrativeequivalent within five (5) working days of the date of theappealed decision. A written decision shall be mailed to theemployee wilhin ten (10) working days ollhe date of the appeal.

Sec. 8 Presentation to Appropnate Vice President. Complaints notsatisfactorily resolved by the dean, director or administrotiveequivalent may be appealed in writing to the appropriate vicepresident or administrative equivalent for the employee'sdepartment within live (5) working days of the date 01 theappealed decision. The appeal shall slate why the appealeddecision is not correct. Within a reasonable time, not to exceedthirty (30) calendar days following receipt of the appeal, awritten decision shall be mailed to the employee. This decisionis final.

Sec. 9 Employee's File. The written complaint and all decisions orresponses regarding such complaint shali be a part of theemployee·s personnei liie.

3. Definitions

Grievance - a statement of cornplaint arising from the employmentrelationship together with a recommendation for resolution of thecomplaint lhat is Identified as a grievance.

Page 2 of 3



Series: 30602

Texas Government Code Section 6.17.005 - Collective Bargaining andStnkes

Texas Government Code Cha{Jt~r_;;~4 - Protection for ReportingViolations of Law


U T. System Policy - ADA Grievance

6. Who Should Know

Employees

7. System Administration Office{s) Responsible for Rule

Office of Human ResourcesOffice of General Counsel


December 10,2004




Page 3 of 3


1. Title

Faculty Appointments and Titles


Series: 31001

Sec. 1 lntroduction_ Texas Education Code S~ction 51.943 outlinesthe steps institutions of The University of Texas System mustfollow in reappointing faculty. That statute specifies that facultymembers who are to be reappointed shall be offered a writtencontract at least 30 days prior to the beginning of the academicyear. The statute also outlines the steps an institutiun of theSystem must take if it is unable to provide a written contractwithin the specified time frame. It is important that the contentof such contracts appropriately reflect the rights of the institutionand the faculty. The terms and conditions of employment of allfaculty members shall be embodied in a Memorandum ofAppointment in the format and with the content specified in thestandard conlract§ found on the web site of the U. T. SystemAdministration's Office of General Counsel.

Sec. 2 Academic Titles. In order to achieve consistency in the use ofacademic titles among the institutions of the System thefolloWing subsections describe the use of titles to apply in allinstitutions.

2.1 Tenure Track Titles. Except for the title RegentalProfessor and, the additional technical titles of MasterTechnical Instructor, Associate Master Tr:chnicalInstructor, and Assistant Master Technical Instructor asauthorized in the U. T. Brownsville Handbook ofOperating Procedures the only titles to be usedhenceforth in which faculty members may hold tenure areas follows:

(a) Professor

(b) Associate Professor

(c) Assistant Professor

2.2 Non-tenure Track Titles_ The following academic titlesmay also be used by the institutions of the U. T. System.Tenure may not be awarded to a person appointed tothese titles. With the exception of the titles of Instructor

Page 1 of 6


and Technical Instructor academic service with thesetitles may not be counted toward the satisfaction of anymaximum probationary period. Appuintments to thesetitles shall be for a period of time not to exceed oneacademic year except in the case of Lecturer, SeniorLecturer, a clinical or research position with a titleauthorized by Section 2.2(c) and (d) beiow when anappointment may be for periods of time not to exceedthree academic years. With the exception of the titles ofinstructor and Technical Instructor, such appointmentsshall terminate at the expiration of the stated period ofappointment without notificatiun of non-renewaL If aninstitution determines that it is to the benefit of theinstitution, it may offer reappointments to these titles inaccordance with Texas Education Code §.ection 51.943

(a) instructor. This title denotes a probationaryappointment.

(b) Technical Instructor. This title denotes a probationaryappointment and is only used at U. T. Brownsville.

(c) Lecturer. This tille may be used for individuals whowill serve as Teachers and whose experience andqualifications are comparable to those of facultymembers in untenured, tenure-track positions. Uponapproval by the president, an institution may identifyup to three divisions within this rank to be designatedLecturer I, Lecturer II, and Lecturer III.

(d) Senior Lecturer. This title may be used for Teacherswho will augment and complement regular teachingfaculty and whose experienco and qualifications arecomparable to those in tenure positions.

(e) Assistant Instructor or Teaching Associate. Thesetilles may be used interchangeably for:

(1) certain graduate students teaching on a part-timeor full-time basis who are in the last phase of theirdoctoral programs and who are unconditionallyenrolled in graduate study, or

(2) persons who, because of the nature of their duties,such as in a laboratory or hospital, do not qualify

Page 2 of6


for one of the usual academic titles and do nothold the academic training or professionaldistinction usually required for attaining tenuredpositions.

(f) Teaching Assistant This title usualiy applies tograduate students who assist faculty and who areemployed on a part-time basis.

(g) Faculty Associate. This title may be applied to aperson assigned to a research or non-teachingcenter, institute, or other unit or interdisciplinaryprogram of an institution.

(h) Specialist This title may be used for professionalindividuals who will serve as practitioners in specificareas of instruction, training, or supervision. Inaccordance with institutional policy, the title may carryappropriate descriptive prefixes so as to indicate thespecific areas of proficiency, such as PracticeTeaching Specialist, Physical Activity Specialist, orSocial Work Field Training Specialist

(i) Patient Care or Research. Persons appointed to fulltime positions for the primary purpose of patient careand other service activities or to full-time or part-timepositions for the primary purpose of research activitiesshall be given one of the following titles, even thoughthe individuals may be assigned teachingresponsibilities:

(1) Professor of (title of specialty)

(2) Associate Professor of (title of specialty)

(3) Assistant Professor of (title of specialty)

(4) Instructor in (title of specialty)

2.3 Non-tenure Track Positions. Prefixes to academic andstaff positions in which tenure cannot be acquired:

Page 30f6


(a) Visiting Professor, Visiting Associate Professor, andVisiting Assistant Professor. These titles are usedonly for temporary appointments of persons eithervisiting from other institutions where they hold similarranks or who are brought to the institution on a trialbasis. Such appointments are limited to two years.

(b) Adjunct Professor, Adjunct Associate Professor, andAdjunct Assistant Professor, One of these titles maybe used when a qualified person from business,industry, government, private practice, or anotherinstitution of higher education may be teaching acourse or participating in the teaching of a course atone of the institutions, For the health institutions, thisprefix should be used only for those persons notinvoived in patient care who otherwise satisfy theabove criteria. Appointments to the faculty with anadjunct title may be with or without pay and shall befor a stated period of time not to exceed oneacademic year. Such appointments shall terminateupon expiration of the stated period of appointmentwithout notification of non-renewal. If an institutiondetermines that it is to the benefit of the institution, itmay offer reappointment to an adjunct facu~y memberin accordance with the Texas Education Code SectiQn51,943,

(c) Clinical Professor, Clinical Associate Professor,Clinical Assistant Professor, and ClinicallnstructoLThese titles may be used by the institutions of theU. T. System to designate regular part-time or full~

time service on the faculty while involved in aprofessional clinical experience program.Appointments to the faculty with a clinical title may bewith or without pay and shall be for a period of timenot to exceed three academic years. Suchappointments shall terminate upon expiration of thestated period of appointment without notification ofnon-renewal. If an institution determines that it is tothe benefit of the institution, it may offerreappointment to a clinical faCUlty member Inaccordance with the Texas Education Code, Section§j.943.

Page 4 of 6


(d) Adjoint Professor, Adjoint Associate Professor, andAdjoint Assistant Professor. These titles may be usedby the institutions of the U. T. System to designatefaculty who serve the institution in cooperative or jointprograms pursuant to a memorandum ofunderstanding, cooperative research anddevelopment agreement, or similar partnershipinstrument Persons holding these titles will heemployees of and compensated by the partnershiporganization. They wlil not be deemed employees ofthe institution. They will, however, have the sameobligations, responsibilities, and authonty as regularfaculty employed directiy by the institution whenperforming faculty functions pursuant to theagreement. Appointments will usually be part~time forthe purpose of supervising theses and dissertations orfor the teaching of highly specialized courses. Theterm of the appointment shall be specified in theagmement with the partner organiz.ation.

2.4 Honorific Titles

(a) Regental Professor. Any faculty member who isawarded the Nobei Prize or who has in the past beenawarded the Nobel Prize may, upon recommendationof the president of the institution, the appropriateExecutive Vice Chancellor, and the Chancellor, begiven the title Regental Professor. Because of thegreat honor associated with the award of a NobeiPrize, institutional tenure is awarded to RegentalProfessors by virtue of the appointment to this rank.

(b) Distinguished Teaching Professor. Members of theu. T. Austin Academy of Distinguished Teachers or asimilar approved academy may use the honorific titleDistinguished Teaching Professor to recognize facultymembers who have made significant contributions toeducation.

Sec. 3 Departure from an Administrative Position. Administrative andacademic (faculty) titles, duties, and pay rates for individualswho hold both administrative and academic appointments aredistinct and severable. Departure or removal from anadministrative position does not impair the individual's rightsand responsibilities as a faculty member.

Page 5 016


3. Definitions

Series: 31001

Faculty Member ~ a faculty member is any indiVidual holding an aCademictitle listed above, with the exception of Assistant Instructors or TeachingAssistants.


Texas Education Code SectiolL51.941- Renewal of Faculty EmploymentContracts


U.1. System, Office of General Counsel, Standard ContractsMemorandum of Appointment

6, Who Should Know

AdministratorsFaculty

7, System Administration Office(s) Responsible for Rule


8, Dates Approved or Amended

December 10, 2004


Questions or comrnp.nts regarding this rUle should be directed to:

• bor@ufsystenJedu

Page 60f6


1, Title

Notice of Non-Renewal to Non-Tenured Faculty Members


Series: 31002

Sec, 1 Notice of Non-tenured Faculty, In the event of decision nolloreappoint a non-tenured faculty member in an academic rankspecified in Series 31007, Number 2, Section 3 of the Regents'Rules and Regulations written notice will be given them not laterthan March 1 of the first academic year of probationary service ifthe appointment expires at the end of that academic year, or notlater than December 15 at the second academic year ofprobationary service if the appointment expires at the end ofthat academic year, After two or more academic years, writtennotice shall be given not later than 30 days prior to the end ofthe then current academic year that the subsequent year will bethe terminal academic year of appointment and a Memorandumof Appointment shall be provided to such faculty member inaccordance with Texas Education Code Section 51.943. Thenotice required by this Subsection is not applicable wheretermination of employment is for good cause under Series31008, Number 2, Section 1 of the Regents' Rules andRegulations.

Sec. 2 Notice of Faculty on Term Tenure. A faculty member serving aseven-year term appointment shall be given notice not later than30 days prior to the end of the sixth academic year of suchappointment period that the subsequent academic year will bethe terminal year of employment or that, subject to the approvalof the Board of Regents, at the conclusion of the subsequentacademic year he or she will be reappointed to a seven-yearterm appointment. A Memorandum of Appointment shall beprovided to such faculty member in accordance with TexasEducation Code Section 51.943.

Sec. 3 Notice Required. Reappointment of non-tenured members ofthe faculty to a succeeding academic year. reappointment ofmembers of the faculty who are serving a seven-year termappointment to a succeeding seven-year term appointment, orthe award of tenure or a seven~year term appointment, may beaccomplished only by notice by the president of an institution orhis or her delegate with the approval of the Board of Regents,Notwithstanding any provisions of Series 31007, Number 2,Section 5 of the Regents' Rules and Regulations, or Sections 1

Page 1 of 3

The University of Texas SystemRules and Regulations ofthe Board of Regents Series: 31002

and 2 of this Series to the contrary, no person shall be deemedto have been reappointed or to have been awarded tenure or aseven-year appointment because notice is not given or receivedby the time prescribed in Series 31007, Number 2, Section 5 ofthe Regents' Rules and Regulations, or Sections 1 and 2 of thisSeries or in the manner prescribed in Section 1 of Series x ofthe Regents' Rules and Regulations. Should it occur that nonotice is received by the time prescribed in Series 31007,Number 2, Section 5 of the Regents' Rules and Regulations, orSections 1 and 2 of this Series, it is the duty of the facultymember concerned to make inquiry to determine the decision ofthe president of an institution, who shall without delay givethe required notice to the faculty member.

Sec. 4 Current Mailing Address. Each faculty member shall keep thepresident of the institution or his or her delegate notified of his orher current mailing address. The written notice required by thisSeries and Series 31007, Number 2, Section 5 concerningtenure shall be sent by certified mail, return receipt requested,to the last address given by the faculty member.

3. Definitions

None


Texas Education Code Section 51.943 - Renewal of Faculty EmploymentContracts.


Regents' Rules and Regulations, Series 31001 - Faculty Appointmentsand Titles

Regents' Rules and Regulations, Series 31007 - Tenure

Regents' Rules and Regulations, Series 31008 - Termination of a FacultyMember

6. Who Should Know

AdministratorsFacuity

Page 2 of 3


7. System Administration Office(s) Responsible for Ruie

Office of Academic AffairsOffice of Health AffairsOffice of General CounselOffice of Human Resources


December 10, 2004


Series: 31002



Page 3 of 3



1. Title

Abandonment of Academic Positions or Programs


Series: 31003

Sec. 1 President's Responsibility. The president of an institution of TheUniversity of Texas System has the responsibility fordetermining when to eliminate occupied academic positions, thetitles of which are given in the Regents' Rules and RegulationsSeries 31001, or abandon academic programs or both, subjectto approvai by the appropriate Executive Vice Chancellor. Thedecision of the president and the implementation of thatdecision shall be subject to the following minimum procedurairequirements.

Sec. 2 Elimination for Academic Reasons. An academic programunder consideration for abandonment or an academic positionthat is under consideration for elimination for bona fideacademic reasons should be reviewed in depth through aprocedure determined by the president.

2.1 Notification. Tenured faculty in a program that is underconsideration for abandonment or in an academicposition that is under consideration for elimination will benotified and afforded an opportunity to contribute to thereview process and have those contributions fairlyconsidered.

2.2 Supporting Rationale. Upon completion of the reviewprocess, a recommendation with supporting rationaleshould be submitted to the chief academic officer forreview and recommendation to the president.

2.3 Review by Executive Vice Chancellor. If the presidentdetermines that an academic program should beabandoned, a request for approval with supportingdocumenlation should be forwarded to the appropriateExecutive Vice Chancellor.

2.4 Appeal Procedures. The president of an institution shallappoint a hearing committee to consider any appeals forreconsideration of termination decisions. Within 30 daysfrom the date of notice of termination, a person shallhave the right to C1ppe,q1 to the hearing committee for

Page 1 of 7


reconsideration of the termination decision. The appealfor reconsideration shall be in wrIting and addressed tothe president of the institution. A person to be terminatedwho appeals to the hearing committee shall be given areasonably adequate written statement of the basis forthe initial decision to reduce academic positions and,upon request of the person, shall be given any writtendata or information relied upon in arriving at suchdecision. The hearing committee shall conduct thehearing in accordance with the following conditions andprocedures:

(a) The hearing committee shall set the date, time, andplace for hearing the appeal for reconsideration.Such hearing shall be held within 30 days of the dateof the written request unless the person to beterminated waives such time reqUirement; however,such hearing shall be held within 90 days from thedate of the request.

(b) The hearing wiil be closed to the public unlessrequested to be open by the appealing person.

(c) The appealing person may be represented by legalcounsel at their expense.

(d) The appealing person and the institution may offerany written evidence or oral testimony that is materialto the issues.

(e) The burden shall be upon the appealing person toshow by a preponderance of the credible evidencethat the decision to terminate the appealingperson as compared to another individual inthe same discipline or teaching specialty wasarbitrary and unreasonable.

(f) No other issues shall be heard or considered by thehearing committee.

2.5 Establishment of Date. The date for abandoning orphasing out an academic program should take intoconsideration the time required for anticipated completionby students currently enrolled or to facilitate theirplacement in acceptable alternative programs.

Page 2 of7


2.6 Requests for Reassignment. The administration willnotify tenured faculty in the program to be abandonedand ask each faculty member to inform tl1e president ordesignee, ;n writing, of the faculty member's request forreassignment to other academic program(s) and toprovide details of their qU<lJifications to teach in suchacademic program(s).

2.7 Employment Alternatives. The president or designee wilimeet individually with tenured facLllty who respond todiscuss possible employment alternatives to termination.

2.8 Non-retention. If the decision is not to retain. thepresident or designee will send a written response statingreasons for non-retention.

2.9 Displacement. If retention of a tenured faculty memberresults in displacement of a tenured faculty member inanother area, the displaced faculty member is entttied tothe above procedures.

2.10 Benefit Information. Any faculty member whoseemployment is terminated pursuant to this Subsectionshall be informed of applicable benefits availabie upontermination, such as retirement, accrued leave, andopportunity to continue insurance coverage.

2.11 Employment Assistance. U. T. System institutions shallprovide appropriate assistance to affected facultymembers concerning available alternative employmentopportunities,

Sec. 3 Elimination Due to Financial Exigency. When such reductionsare necessary as a result of financial exigency, the procedurefor the selection and notification of those academic positionsthat are to be terminated shall be governed by this Section, andneither ttle procedures specified in Series 31008 of the Regents'Rules and Regulations concerning termination of a facultymember, nor the notice requirements of Series 31007, Number2, Section 5 concerning tenure, or Series 31002, Number 2,Sections 1 and 2, concerning notice of non-renewal to nontenured faculty members, of the Regents' Rules andRegulations shail be applicable.

Page 3 of7

The Universily of Texas SystemRules and ReguIali°ns oft"h",eC!B"",o"arud"-,,o,-f"R",e",g"e~n"ts,-- -,S"e"r.!.li'",5,,-:-"3,-,1,,0,,,,03

3.1 Committee Recommendations. Upon determining theexistence of a financial exigency and the need to reduceacademic positions or academic programs, or both, thepresident of an institution shall Clppoint a committeecomposed of faculty and administrative personnel tomake recommendations to the president as to whichacademic positions and/or academic programs should beeliminated as a result of the financial exigency.

3.2 Assessment of Academic Program. The committee willreview and assess the academic programs of theinstitution and identify those academic positions that maybe eliminated with minimum effect upon the degreeprograms that should be continued. The review willinclude, but not be limited to, an examination of thecourse offerings, degree programs, supporting degreeprograms, teaching specialties, and semester credit hourproduction.

3.3 Review Consideration. Upon determining that one ormore academic positions in a degree program orteaching specially should be eliminated, the committeewill recommend the particular position or positions to beterminated by reviewing the academic qualifications andtalents of holders of all academic positions in thosedegree programs or teaching specialties, the needs ofthe program they serve, past academic performance, andthe potential for future contributions to lhe developmentof the institution. Tenure status of a faculty member shallnot be a consideration in the determination of whether aparticular position should be eliminated except aspermitted in Section 3.4 below.

3.4 Tenure Preference. If, in the opinion oflhe commrttee,two or more faCUlty members are equally qualified andcapable of performing a particular teaching role, thefaculty member or members having tenure shall be givenpreference over non-tenured faCUlty. However, if suchfaCUlty member has the same tenure status,consideration will be given to other documented needs ofthe institution.

3.5 Recommendation. Upon completion of Its review, thecommittee shall promptly recommend to the presidentthose persons who may be terminated, ranked in order of

Page 4 of7


priority, with the reasons for their selection. Thepretjident shall, with such consultation with institutionaladministrative officers as they may deem appropriate,determIne which academic positions are to be terminatedbecause of the financial exigency and shaH give theholders of these position~ written notice of the decision.

3.6 Notification of Vacancies. Any person terminated due tofinancial exigency will be notified when a vacancy occursin the same component institution in their field of teachingwithin the next two academic years following thetermination. If such person makes timely application andis qualified for the position to be filled, they shaH beoffered employment in that position. If the vacancy is in afield of teaching in which two or more persons have beenterminated because of financial exigency, all will benotified of the vacancy and of those so notified andmaking timely application, employment will be offered tothe person who is the better qualified for the position tobe filled,

3,7 Hearing Committee, The president shall appoint ahearing committee to hear any appeals forreconsideration of termination decisions based uponfinancial exigency, Within 30 days from the date ot thenotice of termination, a person shall have the right toappeal to the hearing committee for reconsideration ofthe termination decision. The appeal for reconsiderationshall be in writing and addressed to the president Aperson to be terminated who appeals to the hearingcommittee shall be given a reasonably adequate writtenstatement of the basis for the initial der.ision to reduceacademic positions and, upon request of the person,shaH be given any written dato or information relied uronin arriving at such decision.

3,g Appeal Procedures, The hearing committee shail set thedate, time, and piace tor hearing the appeal forreconsideration, Such hearing shall be held within 30days of the date of the written request unless the lJersonto be terminated waives such time requirement; however,such hearing shall be held within 90 days from the dateof the request. The hearing committee shall conduct thehearing in accordance with the following conditions andprocedures.

Page 5 of7


(a) The hearing will be closed to the public unlessrequested to be open by the appealing person.

(b) The appealing person may be represented by legalcounsel at their expense.

(c) The appealing person and the institution may offerany written evidence or oral testimony that is materialto the issues.

(d) The burden shall be upon the appealing person toshow by a preponderance of the credible evidencethaI:

(1) Financial exigency was not in fact the reason forthe initial decision to reduce academic positions;Dr

(2) The decision to terminate the appeaiing person ascompared to another individual in the samediscipline or teaching specialty was arbitrary andunreasonable.

(e) No other issues shall be heard Dr considered by thehearing committee.

(I) The hearing committee shall make written findings offact and recommendations to the president of acomponent institution as soon as practical followingthe hearing. The president shall have the finaidecision to either accept or reject therecommendation of the hearing committee.

3. Definitions

None


None

5. Relevant System Policies. Procedures, and Forms

None

Page 6 of 7


6. Who Should Know


7. System Administration Office(sj Responsible for Rule



December 10.2004


Series: 31003


• bor((i)utsystem.edu

Page 7 of 7


1. Titl.

Rights and Responsibilities of Faculty Members


S.ries: 31004

Sec. 1 Freedom in Research. Faculty members are entitled to funfreedom in research and in the pUblication of the results.

Sec. 2 Freedom in the Classroom. Faculty members are entitled tofreedom in the classroom in disGussing his or her sUbject, butare expected not to introduce into their teachingcontroversial matter that has no relation to his or her sUbject.

Sec. 3 Clarification of Role. Faculty membors are citizens, members oflearned professions, and officers of an educational institutionsupported by the State of Texas. When the faculty memberspeaks or writes as a citizen, he or she should be free frominstitutional censorship or discipline, but should make it plainthat the faculty member is not an institutional spokesperson.

Sec. 4 Primary Duties. The primary dutias of s member of the facuityare to:

4.1 Teaching. Teach in the classroom, laboratory, seminar,or clinical setting.

4.2 Research. StudY, investigate, discover, create, anddevelop professionally.

4.3 Administration. Perform curricular tasks auxiliary toteaching and research, e.g., serving on facultycommittees, attending to administrative and disciplinarytasks, fostering intellectual curiosity and integrity in thestudent body.

4.4 Contribution to Society. Use their professional expertiseto benefit society.

Sec. 5 Compensation Restriction. Full~time faculty or staff of the rankof instructor or above on 12-month appointments may receiveadditional compensation for correspondence course and/orextension center teaching, but may not receive additionalcompensation for summer school teaching. Full-time faculty onnine-month appointments may receive additional compensation

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents SQrie.: 31004

for correspondence course and/or extension center teachingduring the nine-month period and also may be paid for summerschool teaching.

Sec, 6 Textbook and Course Materials, The policy of the Board ofRegents concerning textbooks and other materials prescribedfor the use of students is as follows:

6,1 Choice of Materials, Individual faculty members or thedepartment should have discretion in the choice ofmaterials to be used in the courses offered by thedepartment

Sec, 7 Matetials Authored by Faculty, Although the authorship ofbooks, outlines, manuals, and similar materials by members ofthe faculty and staff should be encouraged, the prescribed useof these for students is a responsibility that goes beyond that ofthe individual author. Whenever an approved fee includes acharge for such materials distributed through the classroom, theprices should be as low as possible, consistent with thepayment of any required royalty to the author or authors.

7.1 Required Approval. Textbooks, notebooks, manuals, orother materials for the use of students of an institution,written or prepared by a member of the faCUlty of thatinstitution, shall not be prescribed for the use of studentsin that institution or sold to such students until approvedby the dean, chief academic officer, and president of aninstitution, pursuant to policies included in the institutionalHandbook of Operating Procedures, At a minimum,these policies should provide for consultation withdepartmental faculty.

Sec. 8 Nonsectarian. In accordance with Texas Education CodeSection 65.38, no course of instruction of a sectarian charactershall be taught in the System.

Sec. 9 Fees, Faculty members without previous and special approvalof the Board of Regents, shall not collect from sludents any feesor charges to be expended for institutional purposes, and shallnot sell to students books, notes, or similar student suppiies.

9.1 Prohibited Fees. A member of the faculty may not acceptpay for extra instruction or teaching of studentsregistered in the institution where he or she is employed.

Page 2 of 3

The University of Texas SystemRules and Regulations of the Board of Reg9nts Series; 31004

9.2 Allowed Fees. With written approval. teaching assistantsand other like instructional employees below the rank ofan instructor may accept pay from students for extraclass instruction or coaching but only in courses orsections of courses with which they have no instructionalconnection. The Handbook of Operating Procedures ofthe institution shall specify the procedure for approval atthe Institutional level.

3. Definitions

None


Texas Education Code Section 65.38 - Nonsectarian

5. Relevant System Policies, Procedur9s, and Forms

None

6. Who Should Know

Faculty




December 10, 2004



• por@utsysternedu

Page 3 of3


1. Title

Faculty or Staff Absence


Series: 31005

Sec. 1 Statutory Requirement. In accordance with Texas EducationCode ~,~ction 51.108, the Board of Regents is required to issueregulations concerning the authorized and unauthorizedabsence from duty of faculty members. including teachingassistants and research assistants.

Sec. 2 Required Authorization. Authorization for any member of afaculty or staff to be absent from his or her usual and regularduties will be granted only, with permission from the Chancelloror president of the institution or their designee, under thefollowing conditions:

2.1 When such absence is on State business, and

2.2 When appropriate provisions are made to carry on theduties of the absent person without additional expense tothe institution; or

2.3 In the case of military leave, not to exceed 15 workingdays each year.

Sec. 3 Institutional Regulations. Permission to be absent from usualand regular duties shall be obtained as prescribed in institutionalregulations.

3. Definitions

None


Texas Education Code S~ctlon 51.108 - Regulations ConcerningAbsence.


None

Page 1 of 2


6. Who Should Know

Employees




December 10. 2004


Series: 31005


• bor(d.!utsystem.edu

Page 20f2


1. Title

Academic Workload Requirements


Series: 31006

Sec. 1 Statutory Requirement. State law requires the Board ofRegents to adopt rules concerning faculty academic workloads.Texas Education Code Section 51.402 recognizes thatimportant elements of workload include classroom teaching,basic and applied research, and professional development.Workload for the faculty members of the institutions of TheUniversity of Texas System is expressed in terms of classroomteaching, teaching equivalencies, and presidential credits forassigned activities

Sec. 2 Minimum Workload. Each person paid full time from theappropriations item "FaCUlty Salaries" shall be assigned aminimum workload equivalent to 1B semester credit hours ofinstruction in organized undergraduate classes each nine-monthacademic year, or fiscal year at an institution's option, inaccordance with guidelines listed below.

Sec. 3 Source of Funding. When a faculty member is paid partiallyfrom a source of funds other than the "Faculty Salaries" lineitem. the minimum workioad shali be proportioned to thepercentage of salary paid from the appropriations item "FaCUltySalaries."

Sec. 4 Supervision of Tenching Assistants. Teaching assistants shallbe used only when given proper guidance and supervision toensure quality instruction. The minimum faCUlty workloadestablished below does not apply to graduate leachingassistants or assistant instructors who are pursuing degrees.The institutional head is responsible for assuring that allteaching assistants are carefUlly supervised.

Sec. 5 Institutional Requirements. This polley sets the minimumworkload and eqUivalencies only; an institution may enact moreintensive and/or more detailed minimum requirements forinclUSion in the institutional Handbook of Operating Procedures,following appropriate approvals. For example, an institutionmay set individual minimum requirements, consistent with theseminimum guidelines, for a specific school or college.

Page 1 of 6


Sec. 6 Equivalencies. The following equivalencies are available tomeet workload requirements:

6.1 Graduate Instructions. One semester credit hour ofgraduate instruction will be considered the equivalent ofone and one-half semester credit hours of undergraduateinstruction.

6.2 Labs. One and one-half contact hours of instruction ofregularly scheduled laboratory and clinical courses,physical activity courses, studio art, studio musicinstruction, and primary music performanceorganizations, such as ensembles and marching bands,for each week of a long-term semester will be consideredthe equivalent of one semester credit hour ofundergraduate instruction.

6.3 Supervision. Supervision of student teachers, clinicalsupelVision, and intern supervision shall be credited suchthat 12 total student semester credit hours taught will beconsidered the equivalent of one semester credit hour.

6.4 Honors Program or Individual Research Projects.Supervision of student practicum and individualinstruction courses, sucll as honors programs andindividual research projects, shall provide equivalency atthe rate of one-tenth semester credit hour for eachstudent semester hour of undergraduate instruction andone-fifth semester hour for each student semester hourof graduate instruction per long-term semester. In nocase will individual instruction in a single course generatemore semester credit hour equivalence than jf the coursewere taught as a regularly scheduled, organized course.

6.5 Thesis or Dissertation Supervision. Graduate thesis ordissertation supervision shall provide equivalent credithours only to the chairperson of the thesis or dissp.rtationcommittee at the rate of one semester credit hour foreach six total student semester hours of thesis researchcredit and at the rate of one semester credit hour foreach three total student semester hours of dissertationcredit.

6.6 Coordination of Courses. A f8culty member whocoordinates several sections of a single course shall be

Page 2 of 6


given one semester hour of workload credit for each sixsections coordinated up to a maximum of three semesterhours of credit per semester.

6.7 Large Classes. Workload credit may be proportionallyincreased for teaching a large class that requiresextensive grading or evaluation of students' work by thefaculty member according to the following weighingfactors:

WeighingClass Size59 or less60 - 6970 - 79RO - R990 - 99100-124125 - 149150-174175 - 199200 - 249250 or more

Factor1.01.11.21.31.41.51.61.71.81.92.0

6.8 Proportional Credit. When more than one teacherparticipates in the instruction of a single course, the creditis proportioned according to the effort expended.

6.9 Insufficient Enrollment. A reduced workload may begranted temporarily if assigned classes do not materializebecause of insufficient enrollment and when additionalclasses or other academic duties cannot be assigned tothe faculty member. This exception may be granted fortwo consecutive long-term semesters only for anyparticular faculty member.

6.10 Administrative Services. Workload credit may be grantedfor a faculty member who is head of a department orhead of a comparable administrative unit up to amaximum of six semester hours of workload credit persemester. When justified by the department/unit headand approved by the institutional head, three hours ofcredit may be given to faculty members who provide nonteaching academic services to the department/unit head.In no case will the total for departmental administration,

Page 3 of6


including the head, exceed nine workload credits persemester unless the institution's organizational structureincludes academic units composed of more than oneacademic discipline.

6.11 New Faculty Members. At the recommendation of thehead of the department or comparable unit and uponapproval of the institutional head, up to three semesterhours of workload credit for each of two semesters maybe given to a neWly-appointed faculty member during thefirst year of employment for the purpose of developinginstructional materials for the courses he or she willteach.

6.12 Course Development. At the recommendation of thedepartmental chair and upon approval of the institutionalhead, workload credit may be granted to a facultymember involved in the creation of a new course, newcourse format, or new course materials.

6.13 Credit Granted by Institution Head. Academic workloadcredit granted by the head of the institution for all otherpurposes is limited to 1% of the total semester credithours taught at the institution during the comparable (failor spring) semester in the previous year. With theapproval of the institutional head, limited faculty workloadcredit (within the 1% limit above) may be granted formajor academic advising responsibilities, for basic andapplied research follOWing a research work planapproved pursuant to institutional policy, for preparingmajor documents in the fulfillment of programmatic needsor accreditation requirements, or for duties performed inthe best interest of the institution's instructional programsas determined by the head of the institution.

6.14 Clock-hour Basis. Instructional workload equivalents forfaculty members hoiding technicai rank may bedetermined on a clock-hour basis where full-timeemployment is eqUivalent to nolless than 30 hours ofinstructionally related activities each week for contacthour courses taught on a quarterly basis.

Sec 7 Monitoring of Workloads. The president of an institution shalldesignate the officer of the institution who will monitorworkloads, review workload reports, and submit the reports to

Page 4 016


the institutional head for approval and comment, as appropriate,prior to submitting the reports to the Board of Regents throughthe Systp.m Administration following the standard reportingformat and deadlines as provided by the Texas HigherEducation Coordinating Board in accordance with TexasEducation Code §ection 51.402 and any applicable riders in thecurrent General Appropriations AG!.

Sec. 8 Compliance Assessment. Every faculty member's compliancewith these minimum academic workload requirements shall beassessed each academic year. If a faculty member is found tobe Qut of compliance, the institution shaH take appropriate stepsto address the noncompliance and to prevent suchnoncompliance in the future.

3. Definitions

None


Texas Education Code ;;lactian 51.402 - Report of Institutional andAcademic Duties


None

6. Who Should Know





December 10, 2004

Page 5 of 6



Series: 31006



Page 6 of6


1. Title

Tenure


Series: 31007

Sec. 1 Granting of Tenure. Tenure denotes a status of continuingappointment as a member of the faculty at an institution of TheUniversity of Texas System. Academic titles in which facultymembers can hold tenure are listed in Series 31001, Number 2,Section 2.1 of the Regents' Rules and Regulations. Tenuremay be granted at the time of appointment to any of suchacademic ranks, or tenure may be withheld pending satisfactorycompletion of a probationary period offaculty service. Suchtenure status shall not be applicable to the faculty of TheUniversity of Texas M. D. Anderson Cancer Center.

Sec. 2 Seven·Year Term Appointment. The University of Texas M. D.Anderson Cancer Center is authorized to award a seven-yearterm appointment that will denote a status of continuingappointment at that institution as a member of the faculty for aperiod of seven years. Only members of the faculty withacademic titles of Professor, Associate Professor, or AssistantProfessor may be granted a seven-year term appointment. Aseven-year term appointment may be granted at the time ofappointment to any of such academic rank or may be withheldpending satisfactory completion of a probationary period offaculty service. No component institution may adopt orimplement a seven-year term appointment policy except TheUniversity of Texas M. D. Anderson Cancer Center.

Sec. 3 Full-time Service Requirement. Only full-time service in theacademic ranks of Professor, Associate Professor, AssistantProfessor, and Instructor, or any combination thereof, or in theacademic ranks of Master Technical Instructor, AssociateMaster Technical Instructor, Assistant Master Technical orTechnical Instructor, or any combination thereof, shall becounted toward fulfillment of a required probationary periodrelated to the award of tenure or a seven-year termappointment. Periods during which a faculty member is onleave of absence shall not be counted toward fulfillment of arequired probationary period.

Sec. 4 Prior Service. Prior service at other academic institutions,whether inside or outside the U. T. System, shall not be counted

Page 1 of 6


toward fulfillment of the required probationary period unlessspecifically permitted under the provisions of an institution'sHandbook of Operating Procedures.

Sec. 5 Probationary Service. The maximum period of probationaryfaculty service in non-tenured status with any academic titleor combination of academic titles specified in Section 3 of thisSeries shall not be more than seven years affull-time academicservice at the general academic institutions of the U. T. Systemand not more than nine years of full-time academic service atthe health-related institutions of the U. T. System. In the eventthat an institution falls to specify the maximum length ofprobationary service in its Handbook of Operating Procedures,such period shall be seven years at the general academicinstitutions of the U. T. System and nine years at the healthrelated institutions of the U. T. System. No later than 30 daysprior to the beginning of the next to the last academic year ofthe maximum probationary period in effect at any institution, allnon-tenured faculty appointed to a title that accrues time towardsatisfaction of a probationary period shall be given notice thatthe subsequent academic year will be the terminal year ofempioyment or that, subject to the approval of the Board ofRegents, beginning with the SUbsequent academic year tenureor a seven-year term appointment will be granted according tolocal institutional policy. A Memorandum of Appointment shallbe provided to such faculty member in accordance with Series31001, Number 2, Section 1 of the Regents' Rules andRegulations concerning faculty appointments and titles. In theevent that the employment of a non-tenured faculty member inany academic rank specified in Series 31001, Number 2,Section 2.2 is to be terminated prior to the end of the maximumprobationary period, notice shall be given in accordance withSeries 31002, Number 2, Section 1 of the Regents' Rules andRegulations concerning the notice of non-renewal to nontenured faculty members..

5.1 Calculation of Service. For purposes of calculating theperiod of probationary service, an "academic year" shallbe the period from September 1 through the followingAugust 31.

(a) If a faculty member is initially appointed during anacademic year, the period of service from the date ofappointment until the following September 1 shall notbe counted as academic service toward fulfillment of

Page 2 of6

The University of Texas SystemRules and Regulations of the Board of aegents Series; 31007

the maximum probationary period. One year ofprobationary service is accrued by at least ninemonths full-time academic s.ervice during anyacademic year. A faculty member shali beconsidered to be on full-time academic satvies whenin fuli compliance with Regental standards pertainingto minimum faculty workloads or when in compliancewith the academic service standard of any healthrelated institution. All institutional requirements shallbe contained in the Handbook of OperatingProcedures.

(b) Each institution with tenured faculty will establish andappropriately communicate a policy for tho extensionof the maximum probationary period and include thepolicy in the institutionai Handbook of OperatingProcedures fallowing the s.tandard review andapproval process. In the case of the University ofTexas M. D. Anderson Cancer Center, the institutionmay establish a policy that allows the extension of aterm-tenure appointment consistent with theseguidelines and the tenm·tenure policy. Institutionalpolicies are to be consistent with the followinggUidelines:

(1) A faculty member who determines that certainpersonal circumstances may impede his or herprogress toward achieving demonstration ofeligibility for recommendation of award of tenuremay make a written request for extensionspecifying the reason(s) for the requestedextension. Personal circumstances that mayjustify the extension include, but are not restrictedto, disability or illness of the facuity member;status of the faculty member as a principalcaregiver of a preschool child; or status of thefaculty member as a principal caregiver of adisabled, elderly, or iii member of the family of thefaculty member. It is the responsibility of thefaculty member to provide appropriatedocumentation to adequately demonstrate Why therequest should be granted.

(2) The request for extension shall be limited to oneaGademic year. A request for an additional

Page 3 of6


academic year's extension will follow theestablished request process, with the maximumduration of extension, whether consecutive ornonconsecutive, to be two academic yonrs.

(3) Normally, requests for extension must be made inadvance of the academic year or semester forwhich the extension is desired and may be madeno later than three months prior to the deadline forinitiation of the mandatory review process todetermine recommended award of tenure or noticeas provided under Series 31002, Number 2,Section 1 of the Regents' Rules and Regulations,concerning notice of non-renewal, that the nextyear will be the faCUlty member's terminal year ofappointment.

(4) The decision regarding the request shall be madeby the chief academic officer of the institution,upon recommendation of the department chair andthe dean, within a reasonable period of time and ina manner specified by institutional policy.

Sec. 6 Board Approval. Ail faCUlty appointments are subject to theapproval of the Board of Regents. No non-tenured member ofthe faculty shall expect continued employment beyond theperiod of his or her current appointment as approved by theBoard. Any commitment to employ a non-tenured member ofthe faCUlty beyond the period of his or her current appointmentshall have no force and effect untH approved by the Board.

Sec. 7 Prohibition. A person appointed to a faculty position with thetitle of Instructor, Assistant Professor, Associate Professor, orProfessor or with the title of Technical Instructor, AssistantMaster Technical Instructor, Associate Master TechnicalInstructor, or Master Technical Instructor at a componentinstitution of the System may not, during the term of suchappointment, hold a tenured position on the faCUlty of anothereducational institution outside the U. T. System or any of itsinstitutions unless the institutional Handbook of OperatingProcedures specifically authorizes the holding of such positionas a part of the initial appointment.

7.1 Resignation of Outside Tenure. Unless an exception isapproved as aulhorized above, appointments within the

Page 4 of6


U. T. System to the above-specified titles shall beconditioned upon the appointee having resigned anytenured position that the appointee may then hold on thefaculty of an educational instjtution outside theU. T. System or any of its institutions. Such resignationmust be completed and effective prior to the effectivedate of the appointment at the U. T. System institution;otherwise, such appointment shall be void and of noeffect.

7.2 Acceptance Considered Resignation. The acceptance ofan appointment to a tenured position on the faculty of aneducational institution outside the U. T. System or any ofits institutions shall be considered as a resignation of anyfaculty position with the title of Instructor, AssistantProfessor, Associate Professor, Professor TechnicalInstructor, Assistant Master Technical Instructor,Associate Master Technical Instructor, or MasterTechnical Instructor that such appointee may hold at aSystem component institution.

3. Definitions

None


Texas Education Code Section 65.32 - Removal of Officers, Etc.


None

6. Who Should Know




Page 5 of 6



December 10,2004


Series: 31007



Page 6 of6


1. Title

Termination of a Faculty Member


Series: 31008

Sec. 1 Termination for Good Cause. Termination by an institution ofthe employment of a faculty member, who has been grantedtenure and of all other faculty members who hold an academictitle as listed in Series 31001, Number 2, Section 2, before theexpiration of the st<'lted period of appointment, except as isotherwise provided in Series 31007. Number 2. Section 5, andthe Texas Education Code section 51.943, or by resignation orretirement. will be only for good cause shown. Faculty member,as used in this section, includes a professional librarian with anacademic title. In each case the issue of good cause will bedetermined according to the equitable procedures provided inthis section.

Sec. 2 Review of Allegation. The president of the institution shaHassure that all allegations against a faculty member that involvethe potential for termination are reviewed under the direction ofthe chief academic officer unless another officer is designatedby the president. The faculty member who is the subject of theallegations shall be given an opportunity to be interviewed andshall have the right to present a grievance, in person or througha representative, to the chief academic officer on an issue orsubject related to the allegations under review. The chiefacademic officer or another individual designated by thepresIdent it the allegations pertain to the chief academic officershall take the grievance, if any, into consideration prior tomaking a determination whether the allegations are supportedby evidence that constitutes good cause for termination. Uponmaking that determination, the chief academic officer or otherappropriate designee will recommend to the president whetherto proceed with charges fortermination. Failure to present agrievance to the chief academic officer or other appropriatedesignee prior to his or her recommendation shall not precludea faculty member from presenting an issue or subject to thespecial hearing tribunal in defense of charges for terminationthat may result from the review. A tenured faculty member whois recommended for termination on the basis of periodicevaluation must be given the opportunity for referral of thematter to non-binding alternative dispute resolution, as requiredby Texas Education Code Sectiun 51.942 and in compliance

Page 1 of 6


with applicable policies and procedures for alternative disputeresolution within The University of Texas System or any of itsinstitutions, prior to referral of the charges to a hearing tribunalunder Section 4 of this series.

Sec. 3 Response to Allegation. If the president of the institutiondetermines that the allegations are supported by evidence thatconstitutes good cause for termination, the president will meetwith the faculty member, explain the allegations and supportingevidence, and give the faculty member a reasonable amount oftime, as detenmined by the president, to respond either orally Drin writing. In cases of in-competency or gross immorality, wherethe facts are admitted, or in cases of felony conviction, thehearing procedures of Section 4 of this series shall not apply,and dismissal by the president will follow.

Sec. 4 Hearings Tribunal. In cases where other offenses are charged,and in all cases where the facts are in dispute, the accusedfaculty member will be informed in writing of the charges. If thepresident of the institution determines that the nature of thecharges and the evidence are such that it is in the best interestof the institution, the accused faculty member may besuspended with pay pending the completion of the hearing andfinal decision by the Board of Regents. A special hearingtribunal of at least three faculty members will hear the charges.The academic rank of each member of the tribunal must be atleast equal to that of the accused faculty member. The accusedfaculty member will be notified of the names of the facultymembers selected for the tribunal and of the date, time, andplace for the hearing. Such notification shall be made at leasteight working days prior to the hearing. The hearing tribunalmembers are appointed by the president from a standing panel(pool) of members of the faculty. At least 50% of the panelmembers from which the hearing tribunal members areappointed shall be selected by a procedure established by thefaculty governance organization, an existing faculty committeewith oversight for university-wide faculty committee selection.The president of an institution shall appoint the remainingmembers of the panel. A minimum of one member of a hearingtribunal appointed by a president is to be from among panelmembers selected by the faculty input, existent facultycommittee or faculty governance procedure.

4.1 Right to Cross-examine. In every such hearing theaccused faculty member will have the right to appear in

Page 2 of6


person and by counsel of the accused's selection and toconfront and cross-examine witnesses who may appear.If counsel represents the accused faculty member, theinstitution is entitled to be represented by counsel fromSystem Administration's Office of General Counsel.

4.2 Right to Testify. The accused faculty member shall havethe right to testify, but may not be required to do so. Heor she may introduce in his or her behalf all eVidence,written or oral, which may be relevant and material to thecharges.

4.3 Record of Proceeding. A stenographic or electronicrecord of the proceedings will be taken and filed with theBoard of Regents, and such record shall be madeaccessible to the accused.

4.4 Burden to Prove Good Cause. A representalive of theinstitution may appear before the hearing tribunai topresent witnesses and evidence in support of the chargeagainst such faculty member, and such institutionalrepresentatives shall have the right to cross-examine theaccused faculty member (if the faculty member testifies)and the witnesses offered in behalf of the facultymember. The institution has the burden to prove goodcause for termination by the greater weight of thecredible evidence.

4.5 Make-up of Hearing Tribunal. The hearing tribunal shallnot include any accuser of the faculty member. If theaccused faculty member is not satisfied with the fairnessor objectiVity of any member or members of the hearingtribunal, the faculty member may challenge the allegedlack of fairness or objectivity, but any such challengemust be made in writing to the hearing tribunal at leastthree workdays prior to the date for the hearing. Theaccused faculty member shall have no right to disqualifyany member or members from serving on the tribunal. Itshall be up to each challenged member to determinewhether he or she can serve with fairness and objectivityin the matter, and if any challenged member shouldvoluntarily disqualify himself or herself, the president ofan institution shall appoint a substitute member of thetribunal from the panel described in Section 4 of thisseries.

Page 3 of6


4.6 Findings and Recommendations. The hearing tribunal,by a majority of the total membership, will make writtenfindings on the material facts and will make arecommendation of the continuance or termination of theaccused faculty member. The hearing tribunal, by amajority of its total membership, may make anysupplementary suggestions it deems proper concerningthe disposal of the case. The original of such findingsand the recommendation, with any supplementarysuggestions, shall be delivered to the Board of Regentsand a copy to the accused. If minority findings,recommendations, or suggestions are made, they shallbe similarly treated. The original transcript of thetestimony and the exhibits shall also be forwarded to theBoard.

Sec. 5 Board Review. The Board of Regents, by a majority of the totalmembership, will approve, reject, or amend such findings,recommendations, and suggestions, if any, or will recommit thereport to the same tribunal for hearing additional evidence andreconsidering its findings, recommendations, and suggestions, ifany. Reasons for approval, rejection, or amendment of suchfindings, recommendations, or suggestions will be stated inwriting and communicated to the accused,

Sec. 6. Reasons for Termination Not Required. Full-time facultymembers who are notified in accordance with Series 31002,Number 2, Section 1 of the Regents' Rules and Regulations,concerning notice of non-renewal, that they will not bereappointed or who are notified in accordance with Series31007, Number 2, Section 5 and Series 31002, Number 2,Sections 1 and 2 that the sUbsequent academic year will be theterminal year of appointment shall not be entitled to a statementof the reasons upon which the decision for such action is based,Such a decision shall only be subject to review pursuant to thefollowing procedures:

6,1 Grievance. The affected faculty member may present agrievance, in person or through a representative, to thechief academic officer or another individual designated bythe president if the allegations pertain to chief academicofficer on an issue or subject related to the non-renewaldecision. The chief academic officer shall meet with thefaculty member_ Unless a review by a hearing tribunal is

Page 4 of 6


requested and granted, pursuant to Series 31008,Number 2, Section 6.2, of the Regents' Rules andRegulations the non-renewal decision shall not besubject to further review.

6,2 Hearing Tribunal to Hear Grievance. A review by ahearing tribunal shall be granted only in those caseswhere the affected faculty member submits a writtenrequest for review by a hearing tribunal to the presidentof an institution and describes in detail the facts reliedupon to prove that the decision was made for reasonsthat are unlawful under the Constitution or laws or TexClsor the United States. If the president determines that thealleged facts, if proven by credible evidence, support aconclusion that the decision was made for unlawfulreasons, such allegations shall be heard by a hearingtribunal under the procedures in Series 31008, Number2, Section 1 as in the case of dismissal for cause, withthe following exceptions:

(a) The burden of proof is upon the affected facultymember to establish by the greater weight of thecredible evidence that the decision in question wasmade for reasons that are unlawful under theConstitution or laws of Texas or the United States.

(b) The administration of the institution need not state thereasons for the questioned decision or offer evidencein support thereof unless the affected faculty memberpresents credible evidence that, if unchallenged,proves the decision was made for unlawful reasons.

(c) The hearing tribunai shall make written findings andrecommendations based on the evidence presentedat the hearing and shall forward such findings andrecommendations with the transcript and exhibits fromthe hearing to the president.

(d) The president may approve, reject, or amend therecommendations of the hearing tribunal or mayreach different conclusions based upon the record ofthe hearing. The decision of the president shall befinal.

Page 5 of 6


3. Definitions

None


Series: 31008

Texas Education Code Section 51.942 - Performance Evaluation ofTenured Faculty.

Texas Education Code Section 51.943 - Renewal of Faculty EmploymentContracts


None

6. Who Should Know





December 10. 2004




Page 6 of 6


1. Title

Evaluation of Administrators


Series: 31101

Sec. 1 Presldent"s Evaluation. Evaluation of the president ot eachinstitution is primarily the responsibility of the appropriateExecutive Vice Chancellor.

Sec. 2 President's Responsibility. Subject to the requirements ofSeries 31102 of the Regents' Rules and Regulations concerningthe evaluation of tenured faculty and Section 3 of this Series,the evaluation of the vice presidents and deans is primarily theresponsibility of the president or delegate.

Sec. 3 Administrative Evaluations. Each academic administrator belowthe level of president of a component institution should bereviewed at least every six years. A written report will containthe substance of the review.

3.1 Development Policies. The institutional AcademicSenate or other representalive faculty body should beconsulted in the development of the review policies andprocedures.

3.2 Faculty Input. A summary of faculty input, to be providedto the administrator under review and to theadministrator's supervisor, should constitute a significantcomponent of the evaluation report.

3.3 Involvement by Staff and Students. The U. T. SystemAdministration also recognizes and supports comparableinvolvement by staff members and students, as is nowthe practice for evaluation of academic administrators atseveral U. T. System component institutions.

3. Definitions

Administrator ~ unless othelWise defined by approved institutional policy,administrator is intended to refer to chief academic officer (Vice Presidentfor Academic Affairs or Provost); deans, department chairs, and directorsof academic units.

Page 1 of 2



None


Series: 31101

Regents' Rules and Regulations Series}Q501 - Employee Evaluations

6. Who Should Know





December 10, 2004


Questions or comment regarding this rule should be directed to:

• bor@utsYE>J~m.ed!:!

Page 2 of 2

mailto:bor@utsYE>J~m.ed

,-,-,


1. Title

Evaluation ofTenured Facuity


Series: 31102

Sec. 1 Statutory Requirements. In accordance with the TexasEducation Code Seelign 51.942, the Board of Regents isrequired to adopt rUles and procedures providing for a periodicpelformance evaluation process for all tenured faculty. TheBoard is required to seek advice and comment from the facultybefore adopting any rules pursuant to that seclion. The adviceand comment from the faculty on the performance evaluation oftenured faculty shall be given the utmost consideration by theBoard.

Sec. 2 Importance of Tenure. The Board of Regents recognizes thetime-honored practice of tenure for university faculty as animportant protection of free inquiry, open intellectual andsCientific debate, and unfettered criticism of the accepted bodyof knowledge. Academic institutions have a special need forpractices that protect freedom of expression, since the core ofthe academic enterprise involves a continual reexamination ofideas. Academic disciplines thrive and grow through criticalanalysis of conventions and theories. Throughout history, theprocess of exploring and expanding the frontiers of learning hasnecessarily challenged the established order. That is whytenure is so valuable, not merely for the protection of individualfaculty members but also as an assurance to society thlj! thepursuit of truth and knowledge commands our first priority.Without freedom to question, there can be no freedom to Jearn.

Sec. 3 Purpose of Evaluation. The Board of Regents supports asystem of periodic evaluation of all tenured faculty. Periodicevaluation is intended to enhance and protect, not diminish, theimportant guarantees of tenure and academic freedom. Thepurpose of periodic evaluation is to proVide guidance forcontinuinq and meaningful faculty development; to assist facultyto enhance professional skills and goals; to refocus academicand professional efforts, when appropriate; and to assure thatfaculty members are meeting their responsibilities to theUniversity and the State of Texas. The Board is pledged toregular monitoring of this system to make sure that it is servingits intended purposes and does not in any way threaten tenureas a concept and practice. In implementing the plan,

Page 1 of 5


component institutions shall maintain an appropriate balance ofemphasis on teaching, research, service, and other duties offaculty.

Sec. 4 Institutional Policies. Each institution of The University of TexasSystem shall have an institutional policy and plan consistentwith the following guidelines for the periodic performanceevaluation of tenured faculty. Institutional policies shall bedeveloped with appropriate faculty input, including consultationwith and guidance from faculty governance organizations, andshall be included in each institutional Handbook of OperatingProcedures after review and appropriate administrative approvaland submission to the Board of Regents for review and finalapproval. Periodic evaluations, while distinct from the annualevaluation process required of a\l employees, may be integratedwith the annual evaluation process to form a singlecomprehensive faculty development and evaluation process.Nothing in these guidelines or the application of institutionalevaluation policies shall be interpreted or applied to infringe onthe tenure system, academic freedom, due process, or otherprotected rights nor to establish new term-tenure systems or torequire facully to reestablish their credentials for tenure.

Sec. 5 Minimum Elements. Institutional Handbook of OperatingProcedures policies should include the folloWing minimumelements for periodic evaluation:

5.1 Scheduled Reviews. Evaluation of tenured faculty will beperformed annually with a comprehensive periodicevaluation of all tenured faculty performed every sixyears. The evaluation may not be waived for any tenuredfaculty member but may be deferred in rarecircumstances when the review period will coincide withapproved leave, comprehensive review for tenure orpromotion, or appointment to an endowed position. Nodeferral of review of an active faculty member mayextend beyond one year from the scheduled review.Institutional policy may specify that periods when afaculty member is on leave need not be counted incalculating when the comprehensive evaluation isrequired. The requirement of periodic review does notimply that individuals with unsatisfactory annualevaluations may not be subject to further review and/orappropriate administrative action.

Page 2 of 5


5.2 Responsibilities Reviewed. The evaluation shall includereview of the faculty member's professionalresponsibilities in teaching, research, service, patientcare, dnd administration.

5.3 Notice of Evaluation. Reasonable individual notice of atleast six months of intent to review will be provided to afaculty member.

5.4 Material Submitted. The faculty member being evaluatedshall submit a resume, including a summary statement ofprofe::;sional accomplishments, and shall submit orarrange for the submission of annual reports andteaching evaluations. The faculty member may providecopies of a statement of professional goals, a proposedprofessional development plan, and any other additionalmaterials the faculty member deems appropriate.

5.5 Review of Evaluation. In accordance with institutionalpolley, initial evaluation of the faculty member'sperformance may be carried out by the department,department chair (or equivalent), dean, or peer reviewpanel, but in any event must be reported to the chair (orequivalent) and dean for review. Evaluation shall includereview of the current resume, stUdent evaluations ofteaching for the review period, annual reports for thereview period, and all materials submitted by the fF.lcultymember.

5.6 Peer Review. If peer review is not required byinstitutional policy. the peer review process may beInitiated by the faculty member, department chair (orequivalent), or dean. If peer committees are involved,the members shall be representative of thecollege/school and will be appointed, on the basIs of theirobjectivity and academic strength, by the dean Inconsultation with the tenured faculty in the college/schoolor pursuant to other process as defined in institutionalpolicies. If peer review is involved, the faculty memberwill be provided with an opportunity to meet with thecommittee or committees.

5.7 Communication of Results_ Results of the evnluation willbe communicated ;n writing to the faculty member, thedepartment chair/dean, the chief academic officer, and

Page 3 of 5


the president for review and appropriate action. Possibleuses of the information contained in the report shouldinclude the following:

(a) For individuals found to be performing well, theevaluation may be used to determine salaryrecommendations, nomination for awards, or otherforms of performance recognition.

(b) For individuals whose performance indicates theywould benefit from additional institutional support, theevaluation may be used to provide such support (e.g ..teaching effectiveness assistance, counseling, ormentoring in research issues/service expectations).

(c) For individuals found to be performing unsatisfactorily,review to determine if good cause exists fortermination under the current Regents' Rules andRegulations may be considered. All proceedings fortermination of tenured faculty on the basis of periodicperformance evaluation shall be only for incompetency, neglect of duty, or other good caliseshown and must be conducted in accordance with thedue process procedllres of the Regents' Rules andRegulations Series 31008, including an opportunityfor referral of the matter to alternative disputeresolution. Such proceedings must also include a listof specific charges by the president and anopportunity for a hearing before a faculty tribunal. Inall sllch cases, the burden of proof shall be on theinstitution, and the rights of a faculty member to dueprocess and academic freedom shall be protected.

Sec. 6 Follow-up Review. The acceptance and success of periodicevaluation for tenured faculty will be dependent upon a wellexecuted, critical process and an institutional commitment toassist and support faculty development. Thus, remediation andfollow-up review for faculty, who would benefit from sllchsupport, as well as the designation of an academic administratorwith primary responsibility for monitoring such needed follow-upactivities, are essential.

3. Definitions

None

Page 4 of 5



Series: 31102

Texas Education Code Section 51.94~ - Periormance Evaluation ofTenured Faculty


None

6. Who Should Know


7. System Administration Office(s) R9sponsible for Rule



December 10,2004



• Q9r@utsystem,edu

Page 5 of 5


1. Title

Faculty Role in Educational Policy Formulation


Series: 40101

Sec. 1 Board Commitment. The Board of Regents will devote its bestefforts to making all of the institutions of The University of TexasSystem of the "first class," as the Texas Constitution directs inArti,le VII, Section 10 The Board will be guided In general bythe best practices of the top universities in the United Statesand abroad, especially by the best practices of state universitiesin the United States.

Sec. 2 Advice on Board Policies. The Board of Regents will ordinarilyseek the advice of the faculty on important matters of academicpolicy.

Sec. 3 General Authority. Subject to the authority of the Board ofRegents and subject further to the authority that the Board hasvested in the various administrative officers and subdivisions ofthe System, the faculties of the institutions regularly offeringinstruction shall have a major role in the governance of theirrespective institutions in the following areas:

3.1 General academic policies and welfare.3.2 Student life and activities.3.3 ReqUirements of admission and graduation.3.4 Honors and scholastic pertormance.3.5 Approval of candidates for degrees.3.6 Faculty rules of procedure.

Sec 4 Necessity of Approval by Regents, Legislation recommendedhy an institutional faculty, or legislative body thereof, requiringapproval of the Board of Regents, shall not be effective unlessand until approved by the BO:Jrct. Such legislation by a collegeor school faculty shall not be presented to the Board and untilit has been approved by the institutional faculty, either directly orthrough its legislative body, and has received the considerationand recommendation of the institutional president, theappropriate Executive Vice Chancellor. and the Chancellor, Thefaculty affected will be notified by the Board. throughadministrative channels, of its action on recommended facultylegislation,

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents Series: 4Q101

Sec. 5 Approval of Degree Candidates. It shall be tho duty of theseveral institutional faculties to recommend approval ordisapproval of all candidates for degrees. This duty rnay bedelegated by affirmative vote of the institutional faculty, or itslegislative body, to the. respective deems or other appropriateofficial. Should this duty not be delegated, the institutionalregistrar, or his or her equivalent, shall furnish to the membersof the institutional laculty a complete list of the degreecandidates for recommendation.

Sec. 6 List of Degree Candidates. The institutional registrar, as soonas possible after each commencement, shall provide thesecretary of his or her institutional faculty, or its legislative body,with a complete list of <')11 successful degree candidates.

3. Definitions

None


Texas Constitution Article VII, Section 10 - Establishment of University


None

6. Who Should Know





December 10, 2004

Page 2 ofJ



Series: 40101


• bor@utsystel11~edu

Page 3 of~


1. Title

Registered Organizations


Series: 40201

Sec. 1 Procedures for Registration. Each institution shall adoptprocedures for the registration of faculty, staff, and studentorganizations at that institution. The period of registered statusof an organization shall not exceed one academic year andsuch status shall automatically terminate at the end of eachacademic year; provided, however, an organization previouslyregistered as a faculty, staff, or student organization may applyfor and be granted registration for subsequent periods of oneacademic year if it meets all applicable criteria in effect for theperiod for which registration is sought.

Sec. 2 Suspension of Registered Status. A registered facully, staff, orstudent organization shall be subject to all applicable rules andregulations of the institution and The University of TexasSystem. Action taken by or on behalf of a registered faculty,staff, or student organization that results in a violation of suchrules and regulations is subject to disciplinary action that mayresult in the suspension or revocation of the registered status ofthe organization.

Sec. 3 Membership Restricted. No organization may becomeregistered or remain registered at a component institution as afaculty, staff, or student organization unless the membership ofthe organization is restricted to the faculty, staff or students ofthat component institution.

3.1 At the time of application for registration and at thebeginning of each semester that an organization isregistered as a faculty. staff, or student organization,each such organization shall file with the appropriateofficer at the institution a statement that the organizationdoes not presently have, nor during any period ofregistration will it have, as a member any person who isnot a student. faculty or staff member at the institution.

3.2 If the president of the institution, or his or her designee,determines that the statement filed above is false,registration shall be denied. If the president, or his or herdesignee, later determines that statements made by anorganization in its application for registration have

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents Series: 40Z01

become false during a registration period, theorganization's registration shall be cancelled.

Sec. 4 Required Contact Information. Each application for registrationas a faculty, staff, or student organization shall bo accompaniedby a complete list of the names and addresses of all officers ofthe organization as well CIS all person(s) authorized to speak for,represent, or receive official notices, directives, or instructionsfrom the institution on behalf of the organization. Thisinformation shall be updated by the organization as necessaryduring any period of registration. If at any time during a periodof registration it is determined that the organization's requiredcontact information is not current, the organization shall benotified of the deficiency. If the organization fails to update itsinformation within 10 days of notification, the organization'sregistration shall be cancelled unless good cause is shown foran extension of deadline.

Sec. 5 Prohibition. A registered faculty, staff, or student organizationmay state that its membership is composed of the faculty, staffor students of an institution, but it shall not suggest or imply thatit is acting with the authority or as an agency of the institution. Afaculty, staff or student organization shall not use the name ofan institution or the name of The University of Texas System asa part of the name of the organization, and it shall neitherdisplay the seal of either an institution or The University ofTexas System in connection with any activity of the organizationnor use such seal or seals as part of any lellerhead, sign,banner, pamphlet, or other printed material that bears the nameof the organization.

3. Definitions

None


None


None

Page 2 of 3


6. Who Should Know

FacultyStaffStudents




December 10,2004


Series: 40201



Page 3 of 3


1. Title

General Admission Policy


Series: 40301

Sec. 1 Policy. The institutions of The University 01 Texas System willmake maximum use of resources, consistent with standards ofappropriate accrediting bodies and enrollment and admissionspolicies approved by the Board of Regents, to admit andeducate as many qualified students as possible.

3. Definitions

None


Texas Education Code Sectip!1 51,352 - ResponsibHlty of GoverningBoards


None

6. Who Should Know

AdministratorsSludents


Office of Academic AffairsOffice 01 Health Affairs


December 10. 2004




Page 1 of 1


1. Title

Provisional Admission Policy


Series: 40302

Sec. 1 Institutions Covered by Policy. The Provisional AdmissionProgram for freshmen shall apply to all of The University ofTexas System four-year general academic components, withthe exception of The University of Texas at Austin. Prospectivestudents interested in admission to U. T. Austin should refer toU. T. Austin's Coordinated Admission Program Policy inRegents' Rules and Regulations Series 40305 andU. T. Austin's Summer Enrollment Plan Policy in Series 40307

Sec. 2 Prospective Enrollees. Any Texas resident may enter anyU. T. System institution regardless of hIs or her high schoolrecord or score on the Scholastic Aptitude Test (SAT) orAmerican College Test (ACT) provided that he or she hasgraduated from an accredited high school with the required unitsand SUbjects as prescribed by the institution.

Sec, 3 Semesters to Enroll. Generally, provisional admission studentsmay enroll initially in the summer session (both summer terms)or the spring semester folloWing the student's graduation fromhigh school provided the student has not previously enrolled incredit courses in any other institution of higher educationfollowing high school graduation. However. The University ofTexas at EI Paso has, with concurrence of the Board ofRegents, admitted provisional students in the fall semestersince 1973. Also, a fall semester program, called the AcademicEnhancement Program, was approved for The University ofTexas at Arlington in 1981.

Sec. 4 Minimum GPA The student who demonstrates an ability toperform college level work by achieving a GPA of 2.0 or aboveduring the entire summer session (both summer terms) orduring the spring semester may be admitted as a regularuniversity student in subsequent semesters. Students whoachieve a GPA of at least a 1.5 in their first semester or summersession (both summer terms) may be allowed to continue for thenex.t semester or summer session. At the conclusion of thesecond period of enrollment, the student must have achieved acumulative GPA of 2.0 or above to continue in the institution. Acomponent institution may establish higher grade point average

Page 1 of 3


requirements or adopt provisional admission enrollment limitsbased on institutional enrollment management needs orcapacity by including such provisions in the institulional GeneralArlmissions Policies for approval by the Board at Regents.

Sec. 5 Acarlemic Advisement. Each institution will provide somemeans of academic advisement or counseling for provisionalstudents to enhance their chances of success.

Sec. 6 Adequate Record Keeping. Each institution will maintain anadequate system of record keeping on provisional students forthe purpose of evaluating their academic performance,

Sec. 7 Deviations from Guidelines. Any deviations from these basicguidelines will require approval by the Board of Regents as apart of general campus admission~policy statements.

3. Definitions

None


Texas l:::ducation CodfJ §t;lctlon 51.352 - Responsibility of GoverningBoards


Regents' Rules and Regulafions S~riBs 40306 - Summer Enrollment Plan.

Regents' Rules and Regulations Serle,S 40305 • Coordinated AdmissionProgram

6. Who Should Know

AdministratorsStudents


Office of Academic AffairsOffice at Health Affairs

Page 2 013

The University of Texas System~.ules and Reaulations of the Board of Regents


December 10. 2004


Series: 40302


• bor@utsystem,edu

Page3013


1. Title

Series: 40303

Establishing Both Admission Policies and Criteria for Award ofScholarships and Fellowships


Sec. 1 Establishing Admission Policies. Texas Education CodeSgglioll 51d52 assigns responsibility to governing boards to"set campus admission standards consistent with the role andmission of the institution and considering the admissionstandards of similar institutions...." In addition, Chapter 51(Subchapter S) establishes guidelines for admission offreshman students and requires that institutions of highereducation adopt guidelines for admission of students to otherprograms. The policies governing admission to academicprograms shall be designed to maximize opportunity and accessfor all Texans, within parameters established by applicable laws.

1.1 Automatic Admission. Each covered institution shalladopt a policy for admission of first-time freshmanstudents that incorporates criteria consistent with theTexas Education Code Sections 51.803,51.804, and51.805. The admissions policy must provide, in keepingwith regulations promulgated by the Texas HigherEducation Coordinating Board, for automatic admissionfor students who have graduated in the top ten percent ofthe graduating class from an accredited Texas highschool. For students who do not qualify for automaticadmission, the policy shall specify the criteria, which willbe considered in making the admission decision.

1.2 Graduate and Professional School Admissions. Eachcovered institution shall also adopt policies for admissionof transfer students and for admission to graduate,postgraduate, and/or professional programs. The factorsto be considered in graduate and professional schaaladmissions decisions must be consistent with TexasEducation Code Section 51.822.

1.3 Delegation to President. In keeping with the requirementof the Texas Education Code Section 51.804, thatgoverning boards determine for each academic yearwhether automatic admission to a general academiccomponent shall be granted to students who graduate in

Page 1 uf J


the top 25 percent of their graduating class, theresponsibility for this annual determination is delegated tothe president of each institution covered by this policy. Ifa change in the admissions policy were proposed, Boardof Regents' approval would follow establishedprocedures for administrative approval and inclusion inthe institutional docket.

Sec. 2 Establishing Scholarship Award Policies. The Texas EducationCode Qjlapter 51 (Subchapter SI requires that institutions ofhigher education adopt guidelines for awarding of competitivescholarships and fellowships. For the award of institutionalcompetitive scholarships and fellowships, each coveredinstitution shall adopt policies that identify the criteria to beconsidered in making the awards. The policies governing theaward of institutional competitive scholarships and fellowshipsshall be designed to maximize opportunity and access for allTexans, within parameters established by applicable laws.

Sec. 3 Inclusion in Catalog. The admissions policies and criteria foraward of scholarships and fellowships shall be included in theinstitutional catalog(s) and shall otherwise be available to thepublic on request. Changes in admission policies must bemade and publicized a year prior to the beginning of thesemester or term for which persons are being admitted.Changes in policies for award of competitivescholarships/fellowships must be adopted and publicized priorto the deadline for which the applications are received.

Sec. 4 Board Approval. Regental approval of the initial policies andsubsequent amendments, if any, shall be made Via the docketfollowing administrative review and approval by the appropriateExecutive Vice Chancellor for inclusion in the institutionalcatalog(s).

3. Definitions

None


Texas Education Code Section 51.352 - Responsibility of GoverningBoards

Page 2 of3


Texas Education Code Section 51.803 - Automatic Admissions AllPrograms

Texas Education Code Sec(i~~j,804 - Graduates of Certain SpeciaiHigh School Programs

Texas Education Code Se:c.JiQn 51.805 - Other Admissions

Texas Education Code Sectioo.51 Sul:>chapter S


None

6. Who Should Know



Office of Academic AffairsOffice of Heahh Affairs


December 10, 2004




Page 3 of3


1. Title

Affirmative Action Plans

2, Rule and Regulation

Series: 40304

Sec. 1 Authorization to Develop Plans. Each institution is authorized todevelop and propose plans regarding whether to consider anapplicant's race and ethnicity, as part of the institution'sadmissions or financial assistance policies, in accordance withthe standards enunciated in the United States Supreme Courtcases of Grutter v. Bollinger and Gratz v. Bollinger. Initialresponsibility for developing and proposing such admissionsand financial assistance policies may be further delegated withineach institution to colleges, departments, or other programs.

Sec. 2 Inadequacy of Race--Neutral Alternatives. No institution orprogram shall propose to consider race or ethnicity unless itfinds, after serious and good faith consideration, that raceneutral alternatives are inadequate. This consideration mayinclude the degree of diversity attainable with race-neutralmethods and the impact on other academic objectives ofexclusive reliance on those race-neutral methods.

Sec. 3 Development of a Plan. Any institution or program thatproposes to consider race or ethnicity shall develop a writtenplan. Any such plan must provide for individualized and holisticreview of applicant files, in which race and ethnicity are amonga broader array of qualifications and characteristics considered.Any such plan must also provide for periodic review of whether,and to what extent, the plan is still needed or needs revisions.

Sec. 4 Approval of Plan. Any proposal for admissions or financialassistance policies that considers race and ethnicity among anarray of qualifications and characteristics, and any subsequentrevisions to such policies, must be reviewed and approved bySystem Administration's Office of General Counsel, and by theappropriate Executive Vice Chancellor, prior to implementation.

Sec. 5 Review of Plans. The Board of Regents shall review the policyexpressed herein every five years. The next review shall beperformed no later than August 2008, which is five years fromdate this rule was first adopted.

Pagetof2


3. Definitions

None


None


None

6. Who Should Know

AdministratorsAdmission OfficersStudents




December 10, 2004


Series: 40304



Page 2 of2


1. Title

Coordinated Admission Program


Series: 40305

Sec. 1 Applicability. The Coordinated Admission Program applies onlyto The University of Texas at Austin and is effective summer2001.

Sec. 2 Program. Fall freshman applicants for U. T. Austin, who are notoffered fall admission or admission to the newly proposedSummer Enrollment Plan will be offered admission through theCoordinated Admission Program. Upon completion of arequired 3D-credit sequence of courses and the maintenance ofat least a 3.0 GPA at another institution of The University ofTexas System, these students will be accepted unconditionallyinto the College of Liberal Arts or the College of NaturalSciences at U. T. Austin. They may also compete for admissioninto the major of their choice once they arrive on campus.Should they fail to attain the required credits and GPA withintheir first year at another component institution of theU. T. System, they would no longer be eligible for automaticadmission and would compete for admission to U. 1. Austin asregular transfer students.

Sec. 3 Review of Program. On November 16, 2000, the Board ofRegents approved a revision to the Provisional AdmissionPolicy for U. T. Austin, which allows for the CoordinaledAdmission Program. The revised Program will be evaluated atthe end of the third year.

3. Definitions

None


Texas Education Code Section 51.352 - Responsibility of GoverningBoards


None

Page 1 of.2


6. Who Should Know

AdministratorsAdmission OfficersStudentsProspective Students

7. System Administration Offiee(s) Responsible for Rule



December 10, 2004

9. Conlaellnformation

Series: 40305


• por(CDutsvstem.edu

Page 2 of2


1. Title

Summer Enrollment Plan


Series, 40306

Sec. 1 Applicability. This rule applies only to The University of Texasat Austin. Summer enrollment is covered for other componentinstitutions under the Regents' Rules and Rogulations, Series40302, which pertains to provisional admission.

Sec. 2 Background. To better control overall student enrollment whileadmitting quality students, the Board of Regents approved aSummer Enrollment Plan for U. T. Austin. The Plan, effectiveSummer 2001, is designed to yield aPlJroximately 600 regularlyadmitted students, as set out below. The top students who arenot offered regular Fall Admission would be offered the SummerEnrollment Plan. The revised Program will be evaluated at thecnd of the third year.

Sec. 3 Program. Students will enroll in typical first-semester freshmancourses and be held to the same GPA requirements placed onstudents entering in the fall.

3. Definitions

None


Texas Education Code Segtion 51.3?2 - Responsibility of GoverningBoards


Regents' Rules and Regulations Serie:s 40302 - Provisional Admission.

6. Who Should Know


Page 1 of 2



Office of Academic AffairsOffice of Health Affelrs

8. Dates Approved or Amend9d

December 10, 2004


Series: 40306



Page 2 of 2


1. Tille

Academic Program Approval Standards


Series: 40307

Sec. 1 Overarching Principles. The standards used for review andapproval of academic program proposals are derived from threeQverarching principles that guide decisions about programgoals, design, and implementation at The University of TexasSystem institutions. These principles are:

1.1 Mission. New university degree and certificate programsshould be consistent with the higher education goals andmission of the State of Texas, The U T. System, and theoffering institution. This principle has implications notonly for which programs should be offered byU. T. System institutions, but also for how they aredesigned and delivered so as to be responsive to theneeds of students, parents, and the private and publicsectors.

1.2 Quality. U. T. System degree and certificate programsshould be of excellent quality. Program design,resources, and implementation plan, judged critically inview of the stated goals for a particular program, shouldcompare favorably with State, national and internationalstandards and competing programs. In general, theyshould exceed minimum standards of the Texas HigherEducation Coordinating Board or appropriate accreditingbodies.

1.3 Efficient Use of Resources. Academic programs atinstitutions of the U. T. System should represent goodinvestments and efficient use of public and privateresources. Program choice, design, and implementationplans should reflect wise use of institutional and interinstitutional or shared resources.

Sec. 2 Standards. Applying these principles of excellence to review ofproposed new academic degree or certificate programs, theAcademic or Health Affairs Committee approves proposals thatprovide good evidence of meeting the following standards:

2.1 Standards Reiating to Goals, Need, Fit

Page 1 ofS


(a) Program goals and educational objectives are clear.

(b) Connections between proposed program goals andState and U. T. System goals and mission are strongand convincing.

(c) Program goals advance institutional mission andstmtegic plan. Program is on the approved Table ofProQrams.

(d) Program would meet a well-documented unmet needrelated to present or future manpower or social needsor regional priorities.

(e) Program complements and builds upon existinguniversity programs, strengths, and resources.

2.2 Standards for Quality of Implementation

(8) Design of the degree or certificate program reflectsunderstanding of state-of~the-artin the discipline.

(b) Resources, including facully, faciiities, specialequipment, field placement sites for internships,library and information access, and others asnecessary, Clfe adequate to deliver R program ofexcellent quality, meeting or exceeding SouthernAssociation of Coileges and Schools (SACS)standards and those of other professional accreditingbodies wbere applicable.

(c) Faculty responsible for program design and deliveryhave appropriate, relevant content expertise,scholarship records, and other professionalexperience and credentials.

(d) New graduate programs are built upon demonslratedcompetence in related areas at the undergraduate 0',where appropriate, master's leveL

(e} Program implementation and delivery plans areresponsive to student needs and supportive ofstudent retention and graduation, in light of programgoals and resource availability.

Pago 2 of5


(f) The program proposal includes a plan for periodicprogram evaluation focusing on the programobjectives, productivity, faculty and resources,changes in environment such as competition anddelivery modes, student outcomes, retention. andgraduation.

(9) An efficient administration plan for the program isdescribed with clear accountability and appropriateroles for faculty committees and unit administrators.

(h) Interdisciplinary, cross-departmental, or cross-collegeprograms are supported by administrative reportingstructures likely to preserve jntp.rdi~ciplinary

cooperation.

2.3 Standards for Costs and Revenues

(a) Program proposal presents clear, logically consistentestimates of program costs and revenues.

(b) Prospective student demand adequate for an efficientprogram is convincingly demonstrated, with specificattention to competing programs, other providers, andother delivery systems.

(c) Proposal establishes growth potential to generateadequate resources to support program costs fromState formula funding sources after the first threeyears and, where appropriate, from non~State

sources.

(d) Available inter-institutional, shared resources areutilized where appropriate.

(e) Overall program costs are justifiable in light ofpotential progmm benefits and impact.

2.4 Compliance Standard

(a) Program proposal complies in content and format withthe Texas Higher Education Coordinating Board rulesand instructions for program authorization.

Page 3 01'5


2.5 Additional Standards for Doctoral Programs

(a) There is a sufficient base of sponsored researchprograms in place to support student and faCUltyresearch.

(b) Proposal presents convincing plans for recruitment ofa critical mass of very talented students, carefullyscreened in accord with the goals of the program.

<c) Proposed program addresses preparation forgraduates' future roles of teaching, research orcreative endeavor, and work in nonacademicprofessional settings as appropriate.

(d) Appropriate student support is available andlor thereis a convincing plan for development of futuresupport.

<eJ Because of the high level of resource reqUirementsfor doctoral programs, particularly rigorous attentionmust be applied to almost all approval standards inthis document.

Sec. 3 Changes in Degree Requirements. Changes in degreereqUirements shall not become effective until approved by theBoard of Regents and published in the appropriate catalog;prOVided, however, that students may be given the benefit ofany action reducing or modifying the reqUirements for theirdegree immediately upon Board approval.

3. Definitions

None


None


None

Page 4 of5


6. Who Should Know


7. System Administration Office(s} Responsible for Rule



December 10, 2004


Series: 40307


• bor@ut§Y§tem.edl,J

Page 5 015

mailto:bor@ut�Y�tem.edl,J

The University of Texas SystemRules and Regulations of the Board of Re·~g-"e,-,n~ts~ -,S",e"-r"ie",s"-:-,,4,,,O,,,3=08

1. Title

Review of Excess Core Curricula


Sec. 1

Sec. 2

Background. In July 1998. the Texas Higher EducationCoordinating Board adopted new rules requiring that corecurricula in excess of 42 semester credit hours have priorapproval uf an institution's governing board before submissionto them. The rules further require that the institution provide anarrative justifying the need for a larger COfe curriculum, that thelarger core curriculum be consistent with the institution's roleand mIssion, and thClt ct proposed upper-division core coursp. notcompare sUbstantially in content or depth of study to a lowerdivision course listed in the "Texas Common Course NumberingSystem."

Authorization. To streamline this submission process, theBoard of Regents delegate to the appropriate Executive ViceChancellor:

2.1 Authorization to review and approve on behalf of theBoard of Regents, all institutional core curricula in excessof 42 semester credit hours for The University of TexasSystem institutions; and

2.2 Authorization to submit. on behalf of the institutions andthe Board of Regents, such core curricula to the TexasHigher Education Coordinating Board for review andapproval.

3. Definitions

None


None


None

Page 1 of 2


6. Who Should Know

Administrators




December 20, 2004


Series: 40308


bor@utsystem,edu

Page 2 of 2


1, Title

Administration of Courses Offered in Shortened Format


Series:403@

St::C. 1 Purpose, To delegate to the president of an institution theresponsibility for developing policies and procedures that ensurecour~es offered in a shortened format are of the same qualityand rigor as courses offered during a normal semester orsummer session.

Sec. 2 Delegated Responsibility. The president of each institution shallcause to be developed such additional policies and proceduresas are necessary to assure compliance with the intent and spiritof this rule far the administration of courses offered in shortenedformats These additional requirements should address specificstandards such as minimum class contact hours per credit hourand the minimum duration per credit hour among others. Suchrequirements will be published in the institution's Handbook ofOperating Procedures following normal approval procedures,

Sec. 3 Oversight of Courses, The president of each institution shalldesignate an individual or individuals who shall have theauthority to approve the scheduling of courses offered inshortened formats. Those so designated shall also l:>eresponsible for monitoring academic expectations and for thescheduling of all such courses and shall maintain records ofcompliance with institutional standards for all such courserequests considered and approved.

3. Definitions

Course Offered in Shortened Format. A course offered in a shortenedformat is any course for which academic credit is given and for which theelapsed time from the first class meeting until the last class meeting orexamination period is less than a normal semester or summer sessionterm.


None

Page 1 of2



None

6. Who Should Know





December 10, 2004


Series: 40309


bor(cv.utsyslen l.edu

Page 2 of2


1. Title

Accessibility of Teacher Certification Courses


Series: 40310

Sec. 1 Pion. Pursuant to Texas Education Code Section 54.214(g) theBoard of Regents directs the Executive Vice Chancelior forAcademic Affairs to work with each af the teacher preparationprograms at The University of Texas System general academicinstitutions to develop and monitor a plan, which includesimplementation of timelines and strategies, to make teachercertification courses more accessible to students seekingteacher certification. The plans will consider evening classes,internet classes, or other means approved by the Texas HigherEducation Coordinating Board.

3. Definitions

None


Texas Education Code Section 54.214(gJ - Educational Aides

S. Relevant System Policies, Procedures, and Forms

None

6. Who Should Know

Executive Vice Chance!!or for Academic Affairs

7, System Administration Officers) Responsible for Rule

Office of Academic Affairs


December 10, 2004

Page 1 of2



Series: 40310



Page 2 of2


1. Title

Graduate Education


Series: 40311

Sec. 1 Responsibility for Graduate Programs. The institutions of theU. T. System authorized to offer graduate degrees shall provideand maintain an appropriate faculty and administrativeorganization for such graduate degrees. The president of eachinstitution of the U. T. System shall be responsible through theappropriate Executive Vice Chancellor to the Chancellor, andthrough him or her, to the Board of Regents for policies andadministration of the graduate programs.

Sec. 2 Program Requirements. Within the general academicinstitutions, the designation "Graduale School" will be used if (a)there is a minimum of three distinct programs approved fordoctoral degrees and 30 such doctoral degrees have beenawarded; or, (b) there is a minimum of 10 distinct programsapproved for master's degrees and 50 master's degrees havebeen awarded. In institutions that do not meet theserequirements, graduate study will be in a "Division of GraduateStudies."

Sec. 3 Health Institutions. Graduale programs in the health institutionsshall be administered as follows:

3.1 Biomedical Sciences. In the Ilealth-related institutions atDallas, Galveston, Houston, and San Antonio, thegraduate programs will be administered through aGraduate School of Biomedical Sciences

3.2 Nursing Schools. In the Nursing Schools of institutions,graduate education will be administered as specificgraduate programs coordinated by an administrativeofficer designated by the president of the institution.

3.3 U. T. M. D. Anderson Cancer Center. In the U. T. M. D.Anderson Cancer Center, research and graduateinstruction will be offered in cooperation with otherinstitutions that are authorized to award graduatedegrees.

Page 1 of3


Sec. 4 Exceptions. Institutions which offer graduate degrees and electan administrative organization and designations different fromthose authorized above may do so only upon therecommendation of the president, the concurrence of theappropriate Executive Vice Chancellor, and the Chancellor, andthe approval of the Board of Regents.

Sec. 5 Establishment of Policies and Procedures. The policies andprocedures for staffing and administering the graduateprograms at all institutions shall be set forth in the institutionalHandbook of Operating Procedures. These policies andprocedures shall include qualifications for faculty membersassigned to teach graduate courses. supervise graduateprograms, and advise graduate students.

Sec. 6 Joint or Cooperative Degree Programs. Where two or moreinstitutions of the U. T. System are authorized to conduct joint orcooperative degree programs, the presidents of the cooperatinginstitutions shall be authorized to establish, subject to theapproval of the appropriate Executive Vice Chancellor, specialprocedures and organizations for the administration of suchprograms.

3. Definitions

Graduate Programs - as the term is used in these Rules, does not includethe programs that lead to the M.D., D.D.S., M.P.H., Dr. P.H., J.D., LL.M.,and M.C.J. degrees, or others that may be excluded uponrecommendation by the president of the institution and concurrence by theappropriate Executive Vice Chancellor and the Chancellor.


None


None

6. Who Should Know

Executive Vice Chancellor for Academic Affairs

Page 2 of3





December 10, 2004


Series: 40311



Page 3 of3


1. Title

Assessment, Collection, and Waiver of Tuition and Fees


Series: 40401

Sec. 1 Published Fees. Tuition, fees, and other charges will be fixedas prescribed or authorized by statute and will be published inthe institutional catalog with a description of the criteria for anyauthorized exemptions and waivers.

Sec. 2 Exemptions and Waivers. The authority of the Board ofRegents to grant exemptions and waivers from tuition, fees, andother charges in accordance with statute, is delegated to thepresidents of the institutions.

Sec. 3 Approval of Certain Fee Changes. The Board of Regentsdelegates to the presidents of the institutions the authority toapprove changes in the amounts of other fees or chargesauthorized by Texas Education Code Sections 54.504,54.007,54.501(al, 54051(1), or 55.1fi that have previously beenapproved by the Board. As a condition for approval of anyincrease in such fees and charges. the institutional presidentmust find that such increase IS required in order for the fee orcharge to reasonably reflect the actual cost to the institution ofthe materials or services to be provided.

Sec. 4 Approval to Collect Payment. The Board of Regents delegatesto the presidents of the institutions the authority to collect thepayment of tuition, fees, and other charges in accordance withthose methods prescribed or authorized by statute.

3. Definitions

None


Texas Education Code Sec~)Qn b4.504 - Incidental Fees

Toxas Education Code Sec1iqfI54.00I - Option to Pay Tuition ByInstallment

Texas Education Code Section 54.501(a) - Laboratory Fees

Page 1 of 2


Texas Education Code Section 54.051 (1) - Tuition Rates

Series: 40401

Texas Education Code Section 55.16 - Board Responsibility


None

6. Who Should Know

Administratofl::)Students




December 10, 2004




Page 2 of2


1. Title

Emergency Student Loan Program for Tuitions and Fees

2. Rule and RQgulation

Series: 40402

Sec. 1

Sec. 2

Introduction. Pursuant to Texas Education Code Section56.05~ the Board of Regents is required to adopt rules providingthe terms of an emergency student 10;;ln program.

Eligibility Rules. The eligibility rules for a student emergencyloan program are as follows:

2.1 To be eligible for emergency loans, a student must havebeen accepted for enrollment and be enrolled un at leasta half4ime basis at the institution.

2.2 To be eligible for the emergency loan program a studentmust face an emergency situation and must not havereceived loan or grant funds from the Finanr:ial AideOffice to pay tuition and fees for the current semester.

2.3 Loans to eligible students shall be granted on the basis ofthe order in which the institution receives applications.

Sec. 3 Terms. The terms for a student emergency loan program are asfollows:

3.1 As long as funds are available in the emergency loanprogram, an eligible student must be allowed to receive aloan in an amount equal to tuition and required fee~ forthe courses in which the student is enrolling.

3.2 The maximum loan amount per student may not exceedcharges for tuition, mandatory fees, and optional fees fortha courses in which the student is enrolling, unless theinstitution determines that a lower amount would be In

the best interest of the student.

3.3 Th~ loan must be evidenced by a promissory notecontaining terms approved by The University of TexasSystem Administration's Office of General Counsel andbearing interest at a rate of not Jess than three percent ormore than five percent per year.

Page 1 of2


34 The loan must be repaid within 90 days or five daysbefore the last class day of the semester, in which thestudent is enrolled, whichever period is shorter. Studentsenrolled in programs not on a semester basis must repaythe loan prior to 30 days before the last class day of theannual academic term in which the loan is made.

3. Definitions

None


Texas Education Code Section 56.053 - Terms


None

6, Who Should Know

AdministratorsFinancial Aid OfficersStudents


Office of Academic AffairsOffice of Health AffairsOffice of General Counsel


December 10. 2004




Page 2 012


1. Title

Fees for Continuing Education Courses


Series: 40403

Sec. 1 Authorization. Institutions are authorized by the Board ofRegents in accordance with Sectiol1_94.545 of the TexasEducation Code to charge a reasonable fee to each personregistered in an extension, correspondence or other selfsupporting course at the institution and to set the fee in anamount sufficient to recover the costs for providing the course.Such courses may not include any course for which theinstitution collects tuition or receives formula funding.

Sec 2 Delegation. The Board of Regents delegates to the president ofthe respective institutions the authority and responsibility forapproving the amount of the fee to be charged for each course.

Sec. 3 Handbook of Operating Procedures. Each institution shall adoptprovisions in the institutional Handbook of OperatingProcedures to reflect this policy and to incorporate institutionalprocedures for the approval process.

3. Definitions

None


Texas Education Code Section 54.545 - Fees for Continuing EducationCourses


None

6. Who Should Know

Administrators



Page 1 of 2



December 10, 2004


Series: 40403

Questions or comments regarding this rule should be directed to'


Page 2 of 2


1. Tille

Series: 40404

Tuition Rates for Students Residing in Certain Counties and States


Sec. 1

Sec. 2

Background, Pursuant to Texas Education Code Sectiun54.09JKgj the Board of Regents may agree to admit nonresidentstudents at resident tuition rates as allowed under TexasEducation Code Section 54.06Q. That statute provides that astudent who resjdes in a county or parish of Arkansas,Louisiana, New Mexico, or Oklahoma, that is adjacent to Texas,is eligible for such a tuition concession provided the adjoiningstate allows a Texas resident of a county adjoining that stateenrolled at a public institution in that state to pay the tuition ratecharged for residents of that state. Pursuant to TexasEducation Code Section 54.061. the Board may also requestpermission from the Texas Higher Education CoordinatingBoard to set;:) nonresident tuition rate that is lower than theregular nonresident tuition rate for a general academic teachinginstitution located not more than 100 miles from the boundariesof Texas with another state.

Authorizations. As a result, the Board of Regents authorizedthe following:

2.1 The University of Texas at El Paso was authorized toestabli~h resident tuition rates for students residing incounties in New Mexico that are adjacent to Texas,effective with the Fali Semester 1995.

2.2 The Board of Regents authorized The University ofTexas at Dallas, The University ofTexas of the PermianBasin, and The University of Texas at Tyler, respectively,to charge, effective with the Spring Semester 1996, areduced tuition rate equal to the statutory rate for Texasresidents, plus $30 per semester credit hour, for citizensof states within 100 miles of each institution as indicatedbelow:

Institution

U. T. DallasU. T. Permian BasinU. T. Tyler

State(s) within 100 Miles

OKNMAR, LA, OK

Page 10f2


3. Definitions

Series: 40404

Student - the Texas Higher Education Coordinating Board has defined astudent for the purposes of this Rule as applying only to an undergraduatestudent.


Texas Education Code Sectlon.54.060 - Resident of Bordering States orNation

Texas Education Code 5ection§4.061 - Penalty for Noncompliance withRules

5. Relevant System Policies, Procedures. and Forms

None

6. Who Should Know


7. System Administration Office(sl Responsible for Rule

Ottice ot Academic AffairsOffice of Health Affairs


December 10. 2004



• bor@utsystem_edu

Page 2 of2


1. Title

Series: 40405

Tuition Rates for Undergraduate Students with Excessive Semester CreditHours


Sec. 1

Sec. 2

Background. Pursuant to Texas Education Code Sectior]54.068, institutions of higher education may charge a residentstudent a tuition rate that IS higher than the regular residenttuition, but does not exceed the nonresident tuition rate, if thestudent has previously attempted 170 or more semester credithours without earning a baccalaureate degree. Sp.ction 61 ..0595of the Texas Education Code directs the Texas HigherEducation Coordinating Board to withhold formula funding forstudents who have previously attempted 170 or more semestercredit hours for courses taken at any institution of highereducation while classified as a resident of Texas for tuitionpurposes.

Delegation. The Board of Regents delegates to the presidentsof institutions authority to charge a tuition rate that is higher thanthe regUlar tuition rate but that does not exceed the statutorynonresident tuition rate to resident undergraduate students whoaccumulate excessive hours.

3. Definitions

Excessive Semester Credit Hours - An undergraduate student who haspreviouslyatlempted 170 or more semester credit hours without earning abaccalaureate degree.


Texas Education Code §ection 54.068 - Tuition for ExcessiveUndergraduate Hours

Texas Education Code Section 6.1..0595 - Funding for Certain ExcessUndergraduate Hours


None

Page 1 of 2


6. Who Should Know





December 10, 2004


Series: 40405



Page 2 of2


1. Title

Administration of Scholarships


Series: 40406

Sec. 1 Background. The General AppropriaCions Act calls for theadoption of rules and regulations by the Board of Regentsrelating to the administration of scholarships.

Sec. 2 Eligible Students. Scholarships from said fund may be awardedonly to students who have been accepted for enrollment andwho actually enroll on at least a half-time basis in the term orterms for which the scholarship is awarded.

Sec. 3 Fincmci<'lJ Need. Scholarships are to be awarded based on thefinancial need of the applicant as determined by the institutionand based on accepted need analysis procedures generally inuse in other "need-based" financial assistance programs.

Sec. 4 Use of Other Grants. Each student shall first use any othergrant funds for support of educational expenses for which thestudent may reasonably be eligible before receiving statescholarship funds.

Sec. 5 Amount of Award. The amount of the scholarship award, whencombined with all other grant or gift funds awarded to thestudent, shall not exceed 70% of the reasonable expenses to beincurred by the student in the semester or term for which thescholarship is awarded.

Sec. 6 Demonstrated Need. No student shall receive an amount inexcess of demonstrated need.

Sec. 7 Non-Resident Students. No more ihan 10% of tolal scholarshipfunds awarded through the program in a fiscal year shall beawarded to nonresident students.

Sec. 8 College Work-Study Program. Any or all of lhe scholarshipfunds appropriated may be used for the institutional matchingshare of earnings in the College Work-Study Program. Fundsused in this manner will not be subject to the restrictiongoverning the scholarships.

Page 1 of 2

The University of Texas SystemRules and Regulations of the Board of Regents §eries: 40406

Sec 9 Prohibition. No funds "ppropriated In this Act for scholarships toinstitutions of higher education may be used to provide athleticscholarships.

3. Definitions

None


General Appropriations Act 78~ Legislatiye SessiQn Article:,) Sectiot1.11


None

6. Who Should Know

AdministratorsFinancial Aid OfficersStudents




December 10. 2004




Page 2 of 2


1. Title

Texas Public Education Grants/Loan Program


Series: 40407

Sec. 1 Establishment of Percentage. The Board of Regents authorizeseach degree-granting component institution to set aside fromeach resident student's tuition charge the percentage specifiedby the {?f?oeral AppropriationsA9.{ for the applicable academicyear as provided by gection 56033{a}j2) of the TexasEducation Code and 3% of each nonresident's tuition charge foruse as Texas Public Educational Grants and Emergency Loans.In allocating the set-aside funds, the allocation shall reflect thelegislatively mandated parameter that "not less than 90 percent[of the set-aside funds] shall be used for Texas PublicEducational Grants (TPEG) and not more than 10 percent [ofthe set-aside funds] shall be use for emergency loans...." Withinthis parameter, each institution may adjust the allocation inaccordance with its needs after consultation with the appropriateExecutive Vice Chancellor. Each institution shall establishadministrative procedures to insure that Texas PublicEducational Grants and Emergency Loans are awarded on thebasis of projected set-aside revenues for each semester orannual academic term.

Sec. 2 Criteria for Awarding Grants. The following criteria shail beused in awarding Texas Public Education Grants.

2.1 Enrolled Students. Grants are to be made only tostudents who have been accepted for enrollment andwho actually enroll in the term or terms for which thegrant is awarded.

2.2 Financial Need. Grants are to be awarded based uponthe financial need of the applicant.

2.3 Method for Determining Need. Financial need is to bedetermined by use of accepted needs analysisprocedures generally in use in other "needs based"financial assistance programs. Deviation from suchprocedures shall be properly documented.

2.4 Restrictions on Awards. Awards to residents may onlybe funded through funds set aside from resident student

Page 1 of 3


tuition revenues. Awards to nonresident and foreignstudents may only come from funds set aside from thetuition revenues of such students. After the end of thesixth class week of each semester, an institution maytransfer any excess funds set aside from tuition paid byresident or nonresident students to the funds set asidefor grants awarded to the other class of students. Priorityfor awarding grants from any excess funds set aside fromtUition paid by resident students shall be given to residentstudents,

2.5 Use of Interest Earned. Interest earned from the fundsset aside for Texas Public Educational Grants may bespent only for grants to students under the Texas PublicEducational Grants Program.

2.6 Transfer of Funds. Any or all of the funds set aside formaking Texas Public Educational Grants may betransferred to the Texas Higher Education CoordimltingBoard to be used for matching federal or other grantfunds for awarding to students at each U. T. Systeminstitution. Generally only such amounts as can beequally matched by funds heid by the Coordinating Boardshall be transferred to the Coordinating Board and anyunmatched funds transferred to the Coordinating Boardshail be returned to each institution upon request of thepresident

2.7 Excess Funds. At the end of a fiscal year, if the totalamount of unencumbered funds that has been set asideunder this program by each U. T. System institution,together with the total amount of unencumbered fundstransferred to the Texas Higher Education CoordinatingBoard, exceeds 150 percent of the amount of funds setaside by that institution in the fiscal year, each institutionwithin the U. T. System shall transfer the excess amountto the Coordinating Board for Ihe purpose of awardingscholarships as prOVided by law to students at institutionsother than the institution that transferred funds.

3. Definitions

None

Page 2 of 3



Series: 40407

Texas Education Code Section 56.033 - Source of Program Funding

Texas Education Code Section 56.034 - Guidelines for DeterminingEligibility and Awarding of Grants


None

6. Who Should Know

Administrators


Office of Academic AffairsOffice of Heallh Affairs


December 10.2004




Page 3 of 3



1. Title

Speech and Assembly


Series: 40501

Sec. 1 Time, Place, and Manner. The freedoms of speech andassembly are basic and essential to intellectual development.However, these activities are subject to the well-establishedright of colleges and universities to regulate time, place, andmanner so that the activities do not intrude upon or Interferewith the academic programs and administrative processes ofThe University of Texas System or any of its institutions. Eachinstitution may designate one or more appropriate areas on thecampus where students, faculty. and staff may engage in rallies,group demonstrations, or public oratory without prioradministrative approval. All rallies, group demonstrations,and public oratory must be conducted in accordance withthe provisions uf this Series and the reasonable andnondiscriminatory rules and regulations of the componentinstitution.

Sec. 2 Campaign for Public Office. Students, faculty, or staff who arecandidates for public office, or who wish to campaign on behalfof a particular candidate or candidates, may engage in conductin behalf of such candidacy in the areas designated pursuant tothis Section or in accordance with the provisions of Section 3below relating to off-campus speakers. A person who is not astudent, a faCUlty member, or a staff member may speak onbehalf of such a candidacy only in accordance with theprovisions of Section 3 below relating to off-campus speakers.

Sec. 3 Regulation of Off-Campus Speakers. The Board of Regentshas, and reserves the right to, regulate the presentation of guestspeakers on the campus who are unaffiliated with theU. T. System or any of its Institutions thereof (hereafter referredto as off-campus speakers).

3.1 Only registered student organizations, facully or stafforganizations, System-owned dormitories, and StudentGovernment may present off-campus speakers onthe campus.

3.2 The organization sponsoring an off-campus speaker hasthe responsibility of making clear the fact that the

Page 1 00


organization, not the institution, is extending theinvitation to speak and that any views the speaker mayexpress are his or her own and n01 necessarily those ofthe System or of any component institution.

3.3 An off-campus speaker is subject to all provisions offederal, State, and local laws.

3.4 Registered student organizations, faculty or stafforganizations, University-owned dormitories, and thestudents' association may be permitted the use ofSystem-owned facilities to present off-campus speakerson campus pursuant to the facilities use regulations ofthe System and the institution.

3.5 An application for the use of any facility of the System orany of its institutions must be made to the Chanceliar ofthe U. T. System or the president of an institution, or hisor her delegate, at leasl48 hours before the time theevent is scheduled to take place.

3.6 No person shali be permitted on any campus of theSystem to engage in speech, either oraliy or in writing,which is directed to inciting or producing imminentlawless action and is likely to incite or produce suchaction.

3.7 No off-campus speaker who is to be paid from Statefunds as consideration for his or her speech shall bepermitted to speak on the campus of any institution of theSystem unless the university facility in which the speechis to be delivered will be open to the publiC, includingmembers of the news media, who will be entitled torecord, videotape, or telecast live portions of the speech.The provisions of this Subdivision do not apply toclasses, seminars, symposia, and conferences intendedfor the use and benefit of students, faCUlty, staff, andinvited guests. No person may in any way obstruct orlessen in any way the opportunity for the audience totake the fullest advantage of the speech, inciuding theopportunity to see and hear the speaker during the entirespeech.

Page 20f3


3. Definitions

None

4. Relevant Federal and State StatutQs

None

5. RQlevant System Policies, Procedures, and Forms

None

6. Who Should Know

AdministratorsStudentsFacultyStaff


Office of Academic AffairsOffice of Heaith Affairs


December 10. 2004


Series: 40501

Questions or comments regarding this rule shouid be directed to:

• bor@ulsystem,edu

Page 3 of3


1, Title

Negotiations Related to Disruptive Activities Prohibited


Series: 40502

Sec. 1 Prohibition, Neither the Chancellor of The University of TexasSy~lern, the president of an institution, any officer in the SystemAdministration, nor any representative of either of them whendealing with disruptive activities, shall negotiate or attempt tonegotiate with any person or persons engaged in any disruptiveactivity on the campus of any institution of the U, T, System,

Sec. 2 Discretion. When such a siluation arises, the Chancellor of theU. T. System, the president of an institution, any officer in theSystem Administration, or any representative of either of them,shall take immediate action to utilize all lawful measures to haltand eliminate any and all such disruptive activities that come totheir attention: provided, however, the Chief of Poiice of theU. T, System or any of its institutions and those peopledesignated by any such Chief of Police are authorized to usetheir sound discmtion under the attendant circumstances inaddressing any such disruptive behavior.

3. Definitions

None


None


None

6. Who Should Know




Page 1 of 2

The University 01 Texas SystemRules and Regulations of the Board of Regents


December 10, 2004


Series: 40502

Questions or comments regarding this rule should be directed lo:


Page 2 012


1. Title

Anonymous Publications


Series: 40503

Sec. 1 Prohibition. Anonymous publications are prohibited, and anyindividual or orQanization pUblishing, aiding in publishing, orcirculating or aiding in circulating any anonymou~publicationWill be :subject to disciplinary action.

3. Definitions

None


None


None

6. Who Should Know


7. System Administration Olfice(s) Responsible for Rule


a. Dates Approved or Amended

December 10, 2004

9, Contact Information


• bor@utsystem_p.du

Page 1 of 1

mailto:bor@utsystem_p.du


1. Tille

Institutions Comprising The University of Texas System


Series: 40601

Sec. 1 Official Titles. The U. 1. System is composed of the institutionsand entities set forth below. To insure uniformity andconsistence of usage throughout the U. 1. System, theinstitutions and their respective entities shall be listed in thefollowing order and the tollowing titles (short form of title follows)shall be used:

1.1 The University of Texas System Board of Regents(U. T. Board of Regents)

1.2 The University of Texas System Administration(U. T. System Administration)

(0) The University of Texas System Bauer House(U. T. Bauer House)

1.3 The University of Texas at Arlington (U. 1. Arlington)

(C::I) The University of Texas at Arlington School ofArchitecture

(b) The University of Texas at Arlington College ofBusiness Administration

(c) The University of Texas at Arlington College ofEducation

(d) The University of Texas at Arlington College ofEngineering

(e) The University of Texas at Arlington Graduate School

(f) The University of Texas at Arlington Honors College

(g) The University of Texas at Arlington College of LiberalArts

(h) The University of Texas at Arlington School ofNursing

Page lof9


(i) The University of Texas at Arlington College ofScience

U) The University of Texas at Arlington School of SocialWork

(k) The University of Texas at Arlington School of Urbanand Public Affairs

1.4 The University of Texas at Austin (U. T. Austin)

(a) The University of Texas at Austin School ofArchitecture

(b) The University of Texas at Austin McCombs School ofBusiness

(c) The University of Texas at Austin College ofCommunication

(d) The University of Texas at Austin Division ofContinuing and Extended Education

(e) The University of Texas at Austin College ofEducation

(I) The University of Texas at Austin College ofEngineering

(g) The University of Texas at Austin College of Fine Arts

(h) The University of Texas at Austin Graduate School

(i) The University of Texas at Austin School ofInformation

(j) The University ofTexas at Austin School of Law

(k) The University of Texas at Austin LBJ School ofPublic Affairs

(I) The University of Texas at Austin College of LiberalArts

Page 2 of9


(m)Tlle University of Texas at Austin McDonaldObservatory at Mount Locke (U. T. Austin McDonaldObservatory)

(n) The University of Texas at Austin College of NaturalSciences

(0) The University of Texas at Austin School of Nursing

(p) The University of Texas at Austin College ofPharmacy

(q) The University of Texas at Austin School of SocialWork

1.5 The University of Texas at Brownsville (U. T. Brownsville)

(a) The University of Texas at Brownsville School ofBusiness

(b) The University of Texas at Brownsville Division ofContinuing Education

(c) The University of Texas at Brownsville School ofEducation

(d) The University of Texas at Brownsville School ofHealth Sciences

(e) The University of Texas at Brownsville College ofLiberal Arts

(I) The University of Texas at Brownsville College ofScience, Mathematics and Technology

1.6 The University of Texas at Dallas (U. T. Dallas)

(a) The University of Texas at Dallas School of Arts andHumanities

(b) The University of Texas at Dallas School ofBehavioral and Brain Sciences

(c) The University ofTexas at Dallas Callier Center forCommunication Disorders

Page 3 of9


(d) The University of Texas at Dallas Erik JonssonSchool of Engineering and Computer Science

(e) The University of Texas at Dallas School of GeneralStudies

(I) The University of Texas at Dallas School ofManagement

(g) The University of Texas at Dallas School of NaturalSciences and Mathematics

(h) The University of Texas at Dallas School of SocialSciences

1.7 The University of Texas at EI Paso (U. T. Ei Paso)

(a) The University of Texas at EI Paso College ofBusiness Administration

(b) The University of Texas at EI Paso College ofEducation

(c) The University of Texas at EI Paso College ofEngineering

(d) The University of Texas at EI Paso Graduate School

(e) The University ofTexas at EI Paso College of HealthScience

(f) The University of Texas at EI Paso College of LiberalArts

(g) The University of Texas at EI Paso College of NaturalSciences

(h) The University of Texas at EI Paso College of Science

(i) The University of Texas at EI Paso University College

1.8 The University of Texas - Pan American (U. T. PanAmerican)

Page 4 of9


(a) The University of Texas - Pan American College ofArts and Humanities

(b) The University of Texas - Pan American College ofBusiness Administration

(c) The University of Texas - Pan American College ofEducation

(d) The University of Texas - Pan American College ofHealth Sciences and Human Services

(e) The University of Texas - Pan American College ofScience and Engineering

(f) The University of Texas - Pan American College ofSocial and Behavioral Sciences

1.9 The University of Texas of the Permian Basin(U. T. Permian Basin)

(a) The University of Texas of the Permian Basin Collegeof Arts and Sciences

(b) Ti,e University of Texas of the Permian Basin Schoolof Business

(C) The University of Texas of the Permian Basin Schoolof Education

1.10 The University of Texas at San Antonio (U. 1. SanAntonio)

(a) The University of Texas at San Antonio School ofArchitecture

(b) The University of Texas at San Antonio College ofBusiness

(e) The University of Texas at San Antonio College ofEducation and Human Development

(d) The University of Texas at San Antonio College ofEngineering

Page 5 of9

The University of Texas SystemRules and Regulations of the Board of Regents Series; 40601

(e) The University of Texas al San Antonio HonorsCollege

(f) The University of Texas at San Antonio College ofLiberal and Fine Arts

(g) The University of Texas at San Antonio College ofPublic Policy

(h) The University of Texas at San Antonio College ofSciences

(i) The University of Texas Institute of Texan Cultures atSan Antonio (U. T. Institute ofTexas Cultures - SanAntonio)

(j) The University of Texas at San Antonio DowntownCampus (U. T. San Antonio Downtown Campus)

1.11 The University of TAxas atTyler (U. T. Tyler)

(a) The University of Texas at Tyler College of Arts andSciences

(b) The University of Texas at Tyler College of Businessand Technology

(c) The University of Texas at Tyler College of Educationand Psychology

(d) The University of Texas at Tyler College ofEngineering and Computer Science

(e) The University of Texas at Tyler College of LiberalArts

(f) The University of Texas at Tyler College of Nursingand Health Sciences

(g) The University of Texas at Tyler College of Scienceand Mathematics

1.12 The University of Texas Southwestern Medical Center atDallas (U. T. Southwestern Medical Center - Dallas)

Page 6 of9


(a) The University of Texas Southwestern Ailled HealthSciences School at Dailas (U. T. SouthwesternAHS.S. - Dallas)

(b) The University of Texas Southwestern GraduateSchool of Biomedical Sciences at Dallas(U. T. Southwestern G.S.B.S. - Dallas)

(c) The University of Texas Southwestern Medical Schoolat Dallas (U. T. Southwestern Medical SchoolDallas)

1.13 The University of Texas Medical Branch at Galveston(U. T. Medical Branch - Galveston)

(a) The University of Texas School of Ailied HealthSciences at Galveston (U. T. Ailied Heaith SciencesSchool - Galveston)

(b) The University ofTexas Graduate School ofBiomedicai Sciences at Galveston (U. T. G.S. BS. Galveston)

(c) The University of Texas Hospitals at Galveston(U. T. Hospitals - Galveston)

(d) The University of Texas School of Nursing atGalveston (U. T. Nursing School- Gaiveslon)

(e) The University of Texas Marine Biomedicai Inslltute atGalveston (U. T. Marine Biomedical InstituteGalveston)

(f) The University of Texas Institute for the MedicalHumanities at Galveston (U. T. Medicai HumanitiesInstitute - Galveston)

1.14 The University of Texas Health Science Center atHouston (U. T. Health Science Center - Houston)

(a) The University of Texas Dental Branch at Houston(U. T. Dental Branch - Houston)

Page 7 of9


(b) The University of Texas Graduate School ofBiomedical Sciences at Houston (U. T. G.S.B.S. Houston)

(c) The University of Texas School of Health InformationSciences at Houston (U. T. Health InformationSciences - Houston)

(d) The University of Texas Medical School at Houston(U. T. Medical School- Houston)

(e) The University of Texas School of Nursing at Houston(U. T. Nursing School- Houston)

(f) The University of Texas School of Public Health atHouston (U. T. Public Health School- Houston)

1.15 The University of Texas Health Science Center at SanAntonio (U. T. Health Science Center - San Antonio)

(a) The University of Texas School of Allied HealthSciences at San Antonio (U. T. Allied Health SciencesSchool - San Antonio)

(b) The University of Texas Graduate School ofBiomedical Sciences at San Antonio (U. T. G.SB.S.San Antonio)

(c) The University of Texas Dental School at San Antonio(U. T. Dental School- San Antonio)

(d) The University of Texas Medical School at SanAntonio (U. T. Medical School- San Antonio)

(e) The University ofTexas School of Nursing at SanAntonio - (U. T. Nursing School- San Antonio)

1.16 The University of Texas M. D. Anderson Cancer Center(U. T. M. D. Anderson Cancer Center)

(a) The University of Texas M. D. Anderson Hospital(U. T. M. D. Anderson Hospital)

(b) The University ofTexas M. D. Anderson Science Park(U. T. M. D. Anderson Science Park)

Page R 019


(c) The University of Texas M. O. Anderson TumorInstitute (U. T. M. D. Anderson Tumor Institute)

(d) The University of Texas M. D. Anderson School ofHealth Sciences

1.17 The University of Texas Health Center at Tyler(U. T. Health Center - Tyler)

3. Definitions

None


Texas Education Code SectionJi§,JJ - Board of Regents


None

6. Who Should Know

Administrators




December 10, 2004



• bor@1,J1~ystem.edlJ

Page 9 of9

,. _.


1. Title

Medical and Hospital Services


Series: 40701

Sec. 1 Compensation for Service. With exceptions rlS outlined below,no health care services shall be provided by any institution ofThe University of Texas System to any person withoutcompensation or reimbursement to the U. T. System. In thecase of heaith care facilities operated by the U. T. System,which under the law are open to the general public, free orpartly free health care services may be rendered to personswho are indigent and who are able to offer proof that they arenot financially abie tD pay either all or any part of their healthcare expenses. In the case of health care services provided byfaculty of a general academic institution in the conduct of aneducational program, persons recejving such services need notbe charged for such services.

Sec. 2 Acceptance of Patients. Health institutions may accept patientsfor acute or continuing, or both, care without referral by anotherphysician Dr agency. The patients are accepted for totMI andcontinuing care including the obligation to obtain the services ofother physicians when indicated.

3. Definitions

None


None


None

6. Who Should Know

Administrators


Office of Health Affairs

Page 1 of2



December 10, 2004


Series: 40701



Page 2 of2


1. Title

Healthcare Risk Management


Series: 40703

Sec. 1

Sec. 2

Focus of Risk Management. All risks of loss should beminimized by risk management and prevention programs,including risks associated with the provision of heailhcare.Health components shall establish and maintain programswhose purpose is to promote the quality of care provided topatients, Wherever possible, the focus of these programs is toprevent ioss or injury through:

1.1 Striving for quality in all aspects of patient care.

1.2 Education of all levels of ~taff and employees.

1.3 Providing basic elements for each component's qualityand risk management program.

1.4 Monitoring of activities resulting in loss of time,eqUipment and resources.

1.5 Compliance With federal, state and local codes, rules andregulations.

1.6 Coordination and integration of programs in risKmanagement and in quality improvement.

1.7 Timely reporting of quality Issues and adverseoccurrences Within component organizations and fromcomponents to U. T. System Administration.

Responsibility for Implementation, By this policy, eachcomponent is hereby delegated the operational responsibility toImplement a health risk management and risk preventionprogram which will reflect the principies stated above. Eachprogram should reflect the principle that an effective riskmanagement program is the responsibility of alllp.vels ofmanagement and all personnel.

Page 1 on

The University of Texas SystemRules and Regulations of the Board of R,,,,e,,,g,,,e!.!n""ts~ -,,S,,e".,,..·e",s,,-:.:!4",O.'-70",3~

3. DQfinitions

RiSk Management/Risk Prevention - as used in this rule includesprograms dealing with medical liability and quality management.


None


None

6. Who Should Know

Administrators


Office of Health Affairs


December 1U, 2004



• bQr@utsystem,erlu

Page 2 of2

..


1. Title

Official Seal. Colors, Logo. and Mascot


Series: 40801

Sec. 1 Official Seal. The official seal of The University of TexasSystem shall be the seal held In the custody of the Counsel andSecretary to the Board of Regents on which shall be inscribed,"Seal of The University of Texas." The official seal of eachinstitution shall consist of the System seal with such heraldicvariations as may be approved by the Board of Regents uponrecommendation of the president of the institution, theappropriate Executive Vice Chancellor, and the Chancellor.This official seal shall be used for the purpose of certifyingdiplomas, official transcripts for students, and for such otherofficial purposes as may be approved by the Board of Regents,by System Administration, or by the president of an institution.Provided, however, that if any institution has previously adoptedand presently uses an institutional seal, such institution maycontinue to use such seal in lieu of the seal hereby provided for.Provided further, however, no institution shall use as its officialseal that seal approved herein as the official seal of the System,unless the full title of the institution as designated in theRegents' Rules and RegulatIOns Series 40601 is also used asan integral part of the seal.

Sec. 2 Official Colors. The official colors for the U. T. System shall beorange and white; provided, however, that an institution mayadopt one additional color to be used in connection with athleticand other activities of the institution when approved by theBoard of Regents upon recommendation of the president of theinstitution, the appropriate Executive Vice Chancellor, and theChancellor.

Sec. 3 Themes, Logos, and Mascots. Each institution may adopt atheme, a logo, and a mascot, proVided same are approved bythe Board of Regents via the Docket following recommendationof the president of the institution, the appropriate Executive ViceChancellor, and the Chancellor.

3. Definitions

None

Page 10f2



None


Series: 40801

Regents' Rules and Regulations Series 40601 -Institutions ComprisingThe University of Texas System.

6. Who Should Know

Administrators




December 10, 2004


Questions or comments regarding thiS rule should be directed to:

• [email protected]~

Page 2 of2


The University of Texas SystemRules and Regulations ofthe Board of Regents

1. Title

Charter Schools


Series: 40901

Sec. 1 Conditions for Starting a Charter School. Upon a finding by theChancellor and the Executive Vice Chancellor for AcademicAffairs that a proposed application to operate a charter schoolas authorized by Texas Education Code Chapter 12 meetsrequirements of State law and furthers the institutional mission,an institution may apply to the State Board of Education tooperate a charter school. Charter school operations will adhereto all applicable provisions of State law including the TexasPublic Information Act.

Sec. 2 Oversight. The oversight and supervision of the charter schoolis delegated to the institutional president, with a report to theBoard each year, detailing activities and performance of thecharter schooL

Sec. 3 Advisory Council. A board or council may be appointed by thepresident to advise him or her on operation of the charterschool. The board or council will comply with all provisions ofthe Texas Open Meetings Act applicable to the Board ofRegents.

3. Definilions

None


Texas Education Code Section 12.101 - Authorization

Texas Government Code Chapter !55~ - Open Meetings

Texas Government Code Chapter 552 - Public Information


None

Page I of2


6. Who Should Know

Administrators




December 10, 2004


Series: 40901


• bor@utsysJ~J1l.edu

Page 2 0(2


1. Title

Series: 40902

Guidelines for Cooperative Use of Courses and Facilities with Texas A&MUniversity


Sec. 1 Purpose. Establishment of a simplified procedure for thecooperative use of courses and facilities in graduate educationto allow graduate students from The University of Texas Systemor Texas A&M University to benefit from the laboratory facilitiesand/or graduate course offerings unique to each institution.

Sec. 2 Background. The following guidelines were developed withrepresentatives from The Texas A&M University System and theconcept was approved by the offices of General Counsel in bothsystems for transmission to the Texas Higher EducationCoordinating Board. Participation in the program will bevoluntary and operating details will be written by the graduatedeans and approved by the presidents of the institutionsconcerned.

Sec. 3 Cooperative Use. A graduate student from one institution maystudy at a cooperating institution with its sister System whenthere exists a unique educational opportunity related to thestudent's program and interest (laboratory or course), but onlywith the consent of the instructor or director of the laboratoryand when all concerned recognize that it is in the best interest ofall partjes. Such arrangements are contingent on space beingreadily available in the laboratory or course.

Sec. 4 Registration. The graduate student will maintain registrationonly at the home Institution. Credit for any course or work takenat an institution with its sister System will be through studentregistration in an appropriate course at the home institution(such as graduate special probtems). The graduate dean of thesister institution will certify the course grade to the graduatedean of the home institution by letter or on a form adopted forthis purpose.

Sec. 5 Compliance, Graduate students doing work at a sister Systeminstitution will comply with all appropriate rules of the sisterinstitution.

Page 1 of 3


Sec. 6 Fees. Graduate students will pay all applicable fees at thehome institution, but none at the cooperating sister systeminstitution. It is anticipated that the number of studentsparticipating in this program will be small and that the paperworkassociated with money exchanges will not justify such apractice.

Sec. 7 Financial Assistance. Students on a fellowship or receivingfinancial assistance at the home institution may continuereceiving such assistance, if otherwise appropriate, while doingresearch in a laboratory or taking courses with its sister systeminstitution, but will not at the same time receive financial supportfrom the sister system institution. The cooperating sister systeminstitution assumes no financial responsIbility for the student.

Sec. 8 Operating Details. Other operating details which may beneeded will be worked out within these guidelines by thegraduate deans of the individual cooperating institutions with theapproval of the presidents of the institutions concerned.

3. Definitions

None


None

5. Relevant Systom Policies, Procedures, and Forms

Regents' Rules and Regulations !;i.eries 50701 - Visiting StudentsProgram

6. Who Should Know

AdrninistratorsStudents




December 10, 2004

Page 2 of 3



Series: 40902



Page 3 of 3

The University of Texas SystemRules and Regulations ofthe Board of Regents

1. Title

Student Conduct and Discipline


Series: 50101

Sec. 1 Institutional Rules. The institutions shall adopt rules andregulations concerning student conduct and discipline. Suchrules shail be in compliance with the Regents' Rules andRegulations and shall become effective upon review andapproval by the Executive Vice Chancellor for Health Affairs orthe Executive Vice Chancellor for Academic Affairs. Eachstudent is responsible for notice of and compliance with theprovisions of the Regents' Rules and Regulations and the rulesof the institution.

........

Sec. 2 Standards of Conduct. All students are expected and requiredto obey federal. State, and local laws, to comply with theRegents' Rules and Regulations, with The University of TexasSystem and institutional rules and regulations, with directivesissued by an administrative official aftha U. T. System orinstitution in the course of his or her authorized duties, and toobserve standards of conduct appropriate for an academicinstitution.

2.1 Who is Subject to Discipline. Any student who engagesin conduct that violates the Regents' Rules andRegulations, the U. T. System or institutional rules andregulations, specific instructions issued by anadministrative officiai of the institution or the U. T. Systemacting in the course of his or her authorized duties, orfederal, State, or local laws is subject to disciplinewhether such conduct takes place on or off campus orwhether civil or criminal penalties are also imposed forsuch conduct.

2.2 Scholastic Dishonesty. Any student who commits an actof schoiastic dishonesty is subject to discipline.Scholastic dishonesty includes but is not limited tocheating, plagiarism, collusion, the submission for creditof any work or materials that are attributable in whole orin part to another person, taking an examination foranother person, any act designed to give unfairadvantage to a student or the attempt to commit suchacts.

Page 1 of 11


2.3 Drugs. Any student who is gUilty of the illegal use,possession and/or sale of a drug or narcotic on thecampus of an institution (s sUbject to discipline. If astudent is found guilty of the illegal use, possession,and/or sale of a drug or narcotic on campus, therecommended penalty shall be suspension from theinstitution for a specified period of time and/orsuspension of rights and privileges.

2.4 Health or Safety. Any student who engages in conductthat endangers the health or safety of any person on thecampus of an institution or on any property, or in anybuilding or facility owned or controlled by the U. T.System or institution is subject to discipline.

2.5 Disruptions. Any student who, acting singly or in concertwith others, obstructs, disrupts, or interferes with anyteaching, educational, research, administrative,disciplinary, public service, or other activity or publicperformance authorized to be held or conducted oncampus or on property or in a building or facility owned orcontrolled by the U. T. System or institution is subject todiscipline. Obstruction or disruption includes but is notlimited to any act that interrupts, modifies, or damagesutility service or equipment, communication service orequipment, university computers, computer programs,computer records or computer networks accessiblethrough the universIty's computer resources.

2.6 Inciting Lawless Action. Any student who engages inspeech, either orally or in writing, which is directed toinciting or producing imminent lawless action and is likelyto incite or produce such action is subject to discipline.

2.7 Unauthorized Use of Property. Any student whoengages in the unauthorized use of property, equipment,supplies, bUildings, or facilities owned or controlled by theU. T. System or institution is subject to discipline.

2.8 Hazing. Any student who, acting singly or in concert withothers, engages in hazing is sUbject to discipline. Hazingin State educational institutions is prohibited by State law(Texas Education Code Section 51.936). Hazing with orwithout the consent of a student whether on or off

Page 2 of 11

_.The University of Texas SystemRules and Regulations of the Board of Regents Series: 50101

campus is prohibited. and a violation of that prohibitionrenders both the person inflicting the hazing and theperson submitting to the hazing subject to discipline.Initiations or activities of organizations may include nofeature that is dangerous, harmful, or degrading to thestudent, and a violatiun of this prohibition renders boththe organization and participating individuals subject todiscipline.

2.9 Altering of Official Documents. A student who alters orassists in lhe altering of any official record of the U. T.System or institution or who submits false information oromits requested information that is required for or relatedto an application for admission, the award of a degree, orany official record of the U. T. System or institution issubject to discipline. A former student who engages insuch conduct is subject to har against readmiSSion,revocation of degree, and withdrawal of diploma.

2.10 Vandalism. Any student who defaces, mutilates,destroys, or takes unauthorized possession of anyproperty, equipment, supplies, bUildings, or facilitiesowned or controlled by an institution or the U. T. Systemis subject to discipline.

2.11 Prohibited Conduct. A student is subject to discipline forprohibited conduct that occurs while participating in offcampus actiVities sponsored by a component institutionor the U. T. System including field tnps, inlernships,rotations, or clinical assignments.

2.12 Use of Explosives, Weapons or Hazardous Chemicals.Unless authorized by federal, State, or local laws, astudent who possesses or uses any type of explosive,firearm, imitation firearm, ammunition, hazardouschemicai, or weapon as defined by State or federal law,while on campus or on any property or in any building orfacility owned or controlled by the U. T. System orinstitution, is subject to discipline.

2.13 Prohibited Conduct Dunng Suspension. A student whoreceives a period of suspension ;JS a disciplinary penaltyis subject to further disciplinary action for prohibitedconduct that lakes place on campus during the period ofsuspension.

Page 3 of 11


Sec 3 Bar from Campus. A former student who has been suspendedor expelled for disciplinary reasons is prohibited from being onthe campus of any institution during the period of suchsuspension or expulsion without prior written approval of thechief student affairs officer of the institutIon at which thesuspended or expelled student wishes to be present.

Sec. 4 Disciplinary Process. A student may be summoned by writtenrequest of the Dean for a meeting to discuss the allegations.The written request shail specify a place for the meeting and atime at least three weekdays after the date of the writtenrequest. The written request may be mailed to the addressappearing In the records of the registrar or may be handdelivered to the student If a student fails to eppear withoutgood cause, as determined by the Dean, the Dean may bar orcancel the student's enrollment or otherwise alter the status ofthe student until the student complies With the summons, or theDean may proceed to implement the disciplinary proceduresprovided for in Number 2, Section 5 of this Series. The refusalof a student to accept delivery of the notice or the failure tomaintain a current address with the registrar shall not be goodcause for the failure to respond to a summons.

4.1 Interim Discipllnary Action. Pending a hearing or otherdisposition of the allegations against a student, the Deanmay take such immediate interim disciplinary action as isappropriate to the circumstances, including:(al suspension and bar from the campus when itreasonably appears to the Dean from the circumstancesthat the continuing presence of the student poses apotential danger to persons or property or a potentialthreat for disrupting any activity authorized by theinstitution; or (b) the withhoiding of grades, degree, orofficial transcript when such action is in the best interestof Ihe institution.

4.2 Timeliness of Hearing. When interim disciplinary actionhas been taken by the De<'ln under Section 4.1immediately above, a hearing of the charges against thestudent will be heid under the procedures specified inSection 5 immediately below, but will be held within10 days after the interim disciplinary action was takenunless the student agrees in writing to a hearing at a latertime or unless the student waives a hearing and accepts

Page 4 of 11


.-

Sec. 5

the decision of the Dean in accordance with Section 4.3immediately below.

4.3 Assessment of Penalty. In any case where the accusedstudent does not dispute the facts upon which thecharges are based and executes a written waiver of thehearing procedures specified in Section 5 immediatelybelow. the Dean shall assess one or more of thepenalties specified in Section 6 immediately below that isappropriate to the charges and inform the student of suchaction in writing. The recommended penally that theDean may assess when a student 1:ldmits illegal use,possession, and/or sale of a drug or narcotic on campusis the penalty prescribed in Section 2.3 immediatelyabove. The decision of the Dean on penalty only may beappealed to the president of an institution,

Hearing Process. In those Cl.ises in which the accused studentdisputes the facts upon which the charges are based, suchcharges shall be heard and determined by a fair and impartialHearing Officer.

5.1 Notice of Hearing Except in those cases whereimmedIate interim dIsciplinary action has been taken, theaccused student shall be given at least 10 days writtennotice of the date time, and place for such hearing andthe name of the Hearing Officer. The notice shall includea statement of the chargers) and a summary statement ofthe eVidence supporting such chargers). The notice shallbe delivered in person to the student or mailed to thestudent at the address appearing in the registrar'srecords. A notice sent by mail will be considered to havebeen received on the third day after tho date of mailing,excluding any intervening Sunday. The date for ahearing may be postponed by the Hearing Officer forgood cause or by agreement of the student and Dean.

52 Impartiality of the Hearing Officer. The accused studentmay challenge the impartiality of the Hearing Officer.The challenge must be in writing, state the reasons forthe chailenge, and be submitted to the Hearing Officerthrough the Office of the Dean at least three days prior tothe hearing. The Hearing Officer shall be the sale judgeof whether he or she can serve with fairness andobjectivity. In tho event the Hearing Officer disqu<llifies

Page 5 of 11


himself or herself, a substitute will be chosen inaccordance with procedures of the institution.

5.3 Burden of Proof. Upon a hearing of the charges, theDean or other institutional representative has the burdenof going forward with the evidence and has the burden ofproving the charges by the greater weight of the credibleevidence.

5.4 Duties of Hearing Officer. The Hearing Officer isresponsible for conducting the hearing in an orderlymanner and controlling the conduct of the witnesses andparticipants in the hearing. The Hearing Officer shall ruleon all procedural matters and on objections regardingexhibits and testimony of witnesses, may questionwitnesses, and is entitled to have the advice andassistance of legal counsel from the Office of GeneralCounsel of the System. The Hearing Officer shall renderand send to the Dean and the accused student a writtendecision that contains findings of fact and a conclusion asto the guilt or innocence of the accused student. Upon aconclusion of guilt the Hearing Officer shall assess apenalty or penalties specified in Section 6 immediatelybelow. Guilt of the illegal use, possession, or sale of adrug or narcotic on campus requires the assessment of aminimum penalty provided in Section 2.3 immediatelyabove.

5.5 Minimal Rights. The hearing shall be conducted inaccordance with procedures adopted by the institutionthat assure the institutional representative and theaccused student the following minimal rights:

(a) Each party shall provide the other party a list ofwitnesses, a brief summary of the testimony to begiven by each, and a copy of documents to beintroduced at the hearing at least five days prior to thehearing.

(b) Each party shall have the right to appear, presenttestimony of witnesses and documentary evidence,cross-examine witnesses, and be assisted by anadvisor of choice. The advisor may be an attorney. Ifthe accused student's advisor is an attorney, theDean's advisor may be an attorney from the Office of

Page 6 of 11


General Counsel of the System. An advisor mayconfer with and advise thl1 Dean or accused student.but shall not be permitted to question witnesses,introduce evidence, make objections, or presentargument to the Hearing Officer.

(c) The Dean may recommend a penalty to be assessedby the Hearing Officer. The recommendation may bebased upon past practice of the component institutionfor violations of a similar nature, the past disciplinaryrecord of the student, or other factors deemedrelevant by the Dean. The accused student shall beentitled to respond to the recommendation of theDean.

(d) The hearing will be recorded. If either party desires toappeal the decision of the Hearing Officer, the officialrecord will consist of the recording of the hearing. thedocuments received in evidence, and the decision ofthe Hearing Officer. At the request of the president ofan institution the recording of the hearing will betranscribed and both parties will be furnished a copyof the transcript.

Sec. 6 Penalties. The following penalties may be assessed by theDean pursuant to Section 4.3 immediately above or by theHearing Officer after a hearing in accordance With theprocedures specified in Section 5.5 immediately above:

6.1 Disciplinary probation.

6.2 Withholding of grades, official transcript, and/or degree.

6.3 Bar against readmission.

6.4 Restitution or reimbursement for damage to ormisappropriation of institutional or U. T. System property.

6.5 Suspension of rights and priVileges, includingparticipation in athletic or extracurricular activities.

6.6 Failing grade for an examination or assignment or for acourse and/or cancellation of all or any portion of priorcourse credit.

Page 7 of 11


6.7 Denial of degree.

Series: 50101

6.8 Suspension from the institution for a specified period oftime.

6.9 Expulsion (permanent separation from the institution).

6.10 Revocation of degree and wIThdrawal of diploma.

6.11 Other penalty as deemed appropriate under thecircumstances.

Sec. 7 Appeal. A student may appeal a disciplinary penalty assessedby the Dean in accordance with Section 4.3 immediately above.Either the Dean or the student may appeal the decision of theHearing Officer. An appeal shall be in accordance with thefollowing procedures:

7.1 Appeal Procedures. Written notice of appeal must bedelivered to the president of the institution within 14 daysafter the appealing party has been notified of the penaltyassessed by the Dean or the decision of the HearingOfficer. if the notice of penaity assessed by the Dean orthe decision of the Hearing Officer is sent by mail, thedate the notice or decision is mailed initiates the 14-dayperiod for giVing notice of appeal. An appeai of thepenalty assessed by the Dean in accordance withSection 4.3 immediately above will be reviewed solely onthe basis of the written argument of the student and theDean. The appeal of the decision of the Hearing Officerwill be reviewed solely on the basis of the record from thehRar\ng. In order for the appeal to be considered, all thenecessary documentation to be fiied by the appeaiingparty, including written argument must be filed with thepresident within 14 days after nolice of appeal is given.At the discretion of the president. both parties maypresent oral argument in an appeal from the decision ofthe Hearing Officer.

7.2 President's Authority. The president may approve. reject,or modify the decision in question or may require that theoriginal hearing be reopened for the presentation ofadditiunal evIdence and reconsideration of the decision.It is provided, however, that if the finding as to guilt isupheld in a case involving the illegal use, possession,

Page 8 of 11


and/or sale of a drug or narcotic on campus, the penaltymay not be reduced below the recommended penaltyprescribed by Section 23 immediately above.

7.3 Communication of Decision. The action of the presidentshall be communicated in writing to the student and theDean within 30 days after the appeal and relateddocuments have been received. The decision of thepresident is the final appellate review.

Sec. 8 Disciplinary Record_ Each institution shall maintain apermanent written disciplinary record for every studentassessed a penalty of suspension, expulsion, denial orrevocation of degree, and/or withdrawal of diploma. A record ofscholastic dishonesty shall be maintained for at ieast five yearsunless the record is permanent in conjunction with the abovestated penalties. A disciplinary record shall reflect the nature ofthe charge, the disposition of the charge, the penalty assessed,and any other pertinent information. This disciplinary recordshall be maintained separately from the student's academicrecord, shall be tn~ated as confidential, and shall not beaccessible to or used by anyone other than the Dean, exceptupon written authorization of the student or in accordance withapplicable State or federal laws or court order or subpoena.

3. Definitions

Chief Student Affairs Officer - the administrative officer primarilyresponsible for the development and administration of policies relating tostudents, for the development and implementation of services to students,and for the initial preparation of institutional regulations that will implementthe policies and regulations set forth in this rule,

Dean or Dean of Students - refers to the administrative officer or officersresponsible for the administration of the disciplinary process at eachinstitution.

Hearing Officer - An individual or individuals selected in accordance withprocedures adopted by the Institution to hear disciplinary charges, makefindings of facl, and, upon a finding of gUilt, impose an appropriatesanction(s).

Page 9 of 11


Student - The following persons shall be considered students forpurposes of these policies and regulations:

1. A person currently enrolled at an institution of the U. T. System.

2. A person accepted for admission or readmission to an institution ofthe U. 1. System.

3. A person who has been enrolled at an institution of the U. T.System in a prior semester or summer session and is eligible tocontinue enrollment in the semester or summer session thatimmediately follows.

4. A person who engaged in prohibited conduct at a time when he orshe met the criteria of 1, 2, and 3 immediately above.

Campus - consists of all real property, buildings, or facilities owned orcontrolled by the component institution.

Weekday - Monday through Friday, excluding any day that is an officialholiday of the component institution.

Day - a calendar day.


Texas Education Code Section 51.~3§ - Hazing


None

6. Who Should Know

AdministratorsDean of StudentsHearing OfficersStudentsOffice of General Counsel



Page 10 of 11



December 10, 2004


Series: 50101



Page 11 of 11


1. Title

Student Advisory Council


Series: 50201

Sec. 1 Formation of Council. A Student Advisory Council, representinginstitutions in the University of Texas System, shall be formed tofacilitate the flow of ideas and information between and amongthe Board of Regents, the System Administration, and theinstitutions. The Executive Vice Chancellor for Academic Affairswill serve as U. T. System liaison to the Council.Representatives of the Student Advisory Council may from timeto time address the Board of Regents at meetings of the Boardand may recommend action to the Board through theChancellor. At least once each year, a meeting will be arrangedbetween the Student Advisory Council Executive Committeeand the Board.

3. Definitions

None


None


None

6. Who Should Know





December 10, 2004

Page 1 of 2



Series: 50201



Page 2 of2


1. Title

Student Organizations


Series: 50202

Sec. 1 Registration Procedures. An organization in which membershipis limited to students (recognizing that faculty and staff may alsobe members) of an institution may become a registered studentorganization at that institution by complying with the registrationprocedures established by the chief student affairs officer or hisor her designee.

Sec. 2 Advisors. The chief student affairs officer. with the approvai ofthe president of an institution, may establish regulationsrequiring faculty or staff advisers for registered studentorganizations.

Sec. 3 Limitation on Representations. A registered studentorganization may state that its membership is composed ofstudents, or of students, facuity, and/or staff, of an institution,but il shall not suggest or imply that it i~ acting with the authorityor as an agency of that institution. A student organization shallnot use the name of an ins.titution or the name of The Universityof Texas System as a part of the name of the organization, andit shall neither display the seal of either an institution orthe U. T. System in connection with any activity of theorganization nor use such seal or seals as a part of anyletterhead, sign, banner, pamphlet, or other printed material thatbears the name of the organization.

Sec. 4 Eligibility. The chief student affairs officer, with the approval ofthe president of an institution, may issue regulations governingthe eligibility of students for participation in organized activities.

Sec. 5 Disciplinary Action. Any student organization is subject todisciplinary action or revocation of registration as a studentorganization for violation of a rule or regulation of theU. T. System and/or of the institution at which the organizationis registered.

Sec. 6 Coordination of Registration. The president of each institutionof the System shall require and enforce the follOWing:

Page 1 of 4

The University of Texas SystemR"u"le"-s"...a",n",d...,R",e",g",u",'",a",li",o",n",s",o"f",t",h.><e..B,..o,..a,,,r-"d...,o"'f"R"'e"g"'e"'n"'t"'s'- -"S"'e"'ri"'es: 50202

6.1 List of Officers 3nd Members. As a conditiun to being aregistered student organization or group during asemester, every registered student organi7ation or groupshall furnish to the appropriate institutional officer at thebeginning of each such semester a complete list ofofficers or other members of the organization or groupwho are authorized to speak for or represent theorganization or group in its relations with the institutionand who are authorized to receive for the organization orgroup official notices, directives, or information from theinstitution. Each such list shall be kept current andaccurate throughout the semester by the organization orgroup, and it shall be conclusively pre~umed that theofficers or members whose names are on the list mostrecently filed by the organization or group are authorizedto speak for and represent the organization or group in itsrelations with the institution and are authorized to receivefor the oryanization or group official notices, directives, orinformation from the institution.

6.2 Restrictions on Membership. No registered studentorganization or group may have any person as a memberWho is not either a student or a member of the faculty orstaff of the institution. Except pursuant to the provisionsof the Regents' Rules and RegUlations Series 80106. noorganization or group, whether registered or not, may useany facility of any institution of the System if it has as amember any person who is not either a student or amember of the faculty or staff of the institution.

6.3 Staternent as to Make-up of Members. At the beginningof each samester, each registered student organizationor group must file with the appropriate institutional officera written statement that the organization or group doesnot, and will not during the semester. have as a memberany person who is not either a student or a member ofthe faCUlty or staff of the institution. If an organization orgroup fails or refuses to file the required statement, or ifthe Dean of Students determines that the statement is orhas become false, ihe Dean of Students, after providingnotice, shall begin disciplinary proceedings. The Dean orHearing Officer may cancel the registered status of theorganization or group or impose other appropriatepenrtlties

Page 2 of 4


Sec. 7

Sec. 8

6.4 Debts to the Institution. No organization or group,whether registered or not, may use the facilities of anyinstitution as long as it owes a monetary debt to theinstitution and the debt is considered delinquent by thecrediting institutional agency_

Limit on Registration. Any institution may require studentorganizations or groups to sign an agreement to comply withinstitutional rules and may refuse to register any organizationthat refuses to sign such an agreement.

Application for Re-registration. A registered studentorganization whose registered status has been cancelled by theDean of Students pursuant to Section 7.3 immediatelyabove or Series 80103 Number 2, Section 4 of the Regents'Rules and Regulations may apply for re-registration not lessthan six months following the date of such cancellation.

3. Definitions

Chief Student Affairs Officer - the administrative officer or officers directlyresponsible for student affairs at each institution

Dean or Dean of Students - refers to the administrative officer or officersresponsible for the administration of the disciplinary process at eachinstitution.

Hearing Officer - An individual selected in accordance with proceduresadopted by the institution to hear disciplinary charges, make findings offact, and, upon a finding of gUilt, imposes an appropriate sanction(s).

Student - The following persons shall be considered students for purposesof these policies and regulations:

1. A person currently enrolled at an institution of the System.

2. A person accepted for admission or readmission to an institution ofthe System.

3. A person who has been enrolled at an institution of the System in aprior semester or summer session and is eligible to continueenrollment in the semester or summer session that immediatelyfollows.

Page 3 of 4


4. A person who engaged in prohibited conduct at a time when he orshe met the criteria of 1, 2, and 3 immediately above.


None


None

6. Who Should Know

AdministratorsDea n of StudentsChief Student Affairs OfficerStudents

7. System Administration Olfiee(s) Responsible for Rule


8. Dales Approved or Amended

December 10. 2004




Page 4 of4

The Universlly of Texas SyslemRules andReguIali0 ns of-,l,-,h"e-,B",o"a"r"d,-,o",f..!R""e",g",e",n,-,t=s__~ S=e,-,ri"es2.'~·5",0",2",0",3

1. Title

Participation in Student Government

2. Rule and Regulalion

Sec. 1 Student Associations. Students' associations currentlyauthorized a1 the institutions of The University of Texas Systemare hereby approved. They shall have such jurisdiclions andshall exercise such powers as the Board of Regents may now orhereafter delegate to them.

1.1 Associations in Force. The constitutions and bylaws ofthe several associations in force at the date of adoptionof these Rules and Regulaflons are hereby approved.

1.2 Approval of Changes. An amendment to the constitutionor bylaws ot a sludents' association may be adopted byan association, in accordance with its constitution andbylaws, but the change shall not become effective untiltransmitted to and approved by the chief student affairsofficer, the president, and the appropriate Executive ViceChancellor.

1.3 Amendment or Repeal of Provisions. The chief studentaffairs officer shall have the power, when in his or herjUdgment the interests of the institution require it, toamend or repeal any provision in the constitution orbylaws of the particular association, but such action shallnot be effectIVe until approved by the president and theappropriate Executive Vice Chancellor.

1.4 IIpproval of Employees. All persons officially employedon salary by or under the direct supervision of a students'association shall be subject to approval by the chiefstudent affairs officer and the president.

1.5 Required Financial Reports. Every officially recognizedstudents association shall make annually a completefinancial report to the institutional chief business officerand shall make SllCh special rsporl:::; as may be called forby such business officer. A duplicate copy of each reportshall be filed with the chief student affairs officer.Committees and administrative units of a students'association shall make such interim reports of financial

Page 1 of 3

The University of Texas System.,R"u"le"s,-,a",n,"d"-"R",e",g",u,"la",t",io"n"s'-.o"-f'-.t,,-h,,,e~B=oa,,r"d'-.o"-f!..!.>R"e"ge"n"-t"s,-~_~__,,S,,e!..!.!ries: 50203

condition ;lS may be required by the chief student affairsofficer.

Sec. 2 Student Opinion. The students' association on each campusshall be a recognized forum of student opinion.

2.1 Recommendations to the Board of Regents. When"students' association takes a position with reference toissues directly related to a component institution and itsoperations, its recommendations to the Board of Regentsshall go through the chief student affairs officer, thepresident, the appropriate Executive Vice Chancellor,and the Chancellor.

2.2 Position on Non-University Issues. When a studentsassociation takes a position on non-University is~ues, itshall make clear the fact that it does not speak for theinstitution.

2.3 Conditions for Getting Feedback. A students' association"rmy conduct polls, injtiate petitions, and/or establishforums for debate or discussion under conditionsapproved by the chief student affairs officer.

2.4 Personal Views of Officers. Officer~ of a studentsassociation may so identify themselves when theyexpress their personal views, but they shall then make itclear that they are not spp.<'lking for the institution, or forthe student body, and they shall make it clear they arenot speaking for the students' association unless thele~islatlve body of that association has authorized thestatement in advance.

3. Definitions

Chief Student Affairs Officer - the administrative officer or officers directlyresponsible for student affairs at each component institution


None

5. Relovant System Policies, Procedures, and Forms

None

Page 2 of 3


6. Who Should Know

AdministratorsDean of StudentsChief Student Affairs OfficerStudents




December 10, 2004

9. Contacllnformalion

Series: 50203



Page 3 of 3


1. Title

Off-Campus Student Housing


Series: 50301

Sec. 1 Approved Housing Status. The institutions of The University ofTexas System will not extend Approved Housing status to anystudent residential units except those directly operated by theSystem. Each student at an institution will have free choice inthe selection of his or her residential accommodations notoperated by the University. subject to parietal rules.

3. Definitions

None


None


None

6. Who Should Know





December 10, 2004




Page 1 of 1

The University of Texas SystemRules and Regulations of the'--"B"'o"'au.rd"'-'o"f2-R"e"g"e"n"ts<>- -'S"'e.,r"'ie"'s"':"5",0"3",0,,,2

-'"

1. Title

Student Participation in Selection and Monitoring of Food ServiceContractors


Sec. 1 Establishment of Policies. As required by the Texas EducationCode Section 51.945. each U. T. System general academicinstitution and each health institution which offers degreeprograms sllall include as part of the respective institutionalHandbook of Operating Procedures. a policy and procedure forstudent participation in the selection and monitoring of foodservice vendors which contract to provide regular and ongoingfood or beverage services for students. The policies, at aminimum, shall provide for:

1.1 Input on Initial Selection or Renewal. Meaningful inputfrom student patrons in the initial selection or the renewalof a contract of a food service vendor, inciudinQ input inthe development of desired qualifications of food serviceproviders.

1.2 Continued Input. Inclusion in a food service contract of acommitment by the vendor 10 hold periodic meetings orforums for student patrons to discuss the performance ofthe food service provider.

Sec. 2 Services Covered. The policies are intended to cover contractsfor food and beverage services located in or in conjunction withstudent unions, residence halls, or campus-wide cafeterias, andcontracts for vending machine food and beverage services.Contracts with vendors for concessions at athletic facilities, foodservices for special events, hospital food services, orfaculty/staff dining facilities do not require policies for studentinvolvement.

Sec. 3 Required Approval. The institutional poiicies and procedures.which implement this requirement, are SUbject to approval bythe appropriate Executive Vice Chancellor for inclusion in theinstitutional Handbook of Operating Procedures.

3. Definitions

.--None

Page 1 of 2



Series: 50302

Texas Education Code Section 51.945 - Student Participation in Selectionof Food Service Contracts


None

6. Who Should Know


7. System Administration Olfice(s) Responsible for Rule



December 10, 2004


Questions or commp.nts regarding this rule should be directed to:


Page 2 of 2


1. Title

Debts of Students


Series: 50303

Sec. 1 Student Responsibilities. The University of Texas System is notresponsible for debts contracted by individual students or bystudent organizations. However, students and studentorganizations are expected to conduct themselves honorably inall commercial transactions. The U. T. System will not assumethe role of a collection agency except for monies owed to theSystem, nor will the System adjudicate disputes betweenstudents and creditors over the existence or the amounts ofdebts.

Sec. 2 Penalties for Nonpayment. In the event of nonpayment to theU. T. System, one or more at the following actions may betaken: (aJ a bar against readmission tor the student;(b) withholding of the student's grades and official transcript;(c) withholding at a degree to which the student otherwise wouldbe entitled.

3. Definitions

None


None


None

6. Who Should Know




Page 1 of 2



December 10, 2004


Series: 50303



Page 2 of 2

"


1. Title

Student Debit Cards


Series: 50304

Sec. 1 Delegation. The Board of Regents delegates to eachinstitution·s president the authority to establish a program toprovide students enrolled at the institution with a debit card.The debit card program must comply with applicable State andfederal law. Before implementing a debit card program at theinstitution, the president must obtain the prior approval of theExecutive Vice Chancellor for Business Affairs. In addition, thepresident shall comply with applicable guidelines issued by theOffice of General Counsel.

3. Definitions

None

4. Relevant Federal and State Slalutes

None


None

6. Who Should Know

Administrators




December 10. 2004




Page 1 of 1


1. Title

Employment of a Student's Attorney


Series; 50305

.'-

Sec. 1

Sec. 2

l.imitation on Representation. If an attorney is retained in anymanner by an institution or by a Students' Association or otheragency of student government or other agency of an institutionafThe University of Texas System to serve as a students'attorney, said attorney shall not ~ct as counsel of record norrepresent any student, faculty member, or staff member; anygroup or combination of students, faculty members. or staffmembers; or System Administration or any institution of theSystem:

1 1 In any matter that requires an admlnistralive decision tohe made by any officer. committee, board, or agency ofan institution of the U. T. System, the System, or theSoard of Regents.

1.2 At any stage of any felony criminal proceedinQ in anycourt, or if a student suspect is attending the samecampus as the victim of the alleged crime. Further. norepresentation is to be provided at trial if the detention orarrest involved university lJolice.

1.3 At any stage of any civil proceeding in any federal, State,county, or local court where such proceeding is directly orindirectly against or antagonistic to the interests of theU. T. System or any institution thereof, or against orantagonistic to the interests of any person who is sued inhis or her official capacity as an officer of the System orany institution thereof.

Contracts Subject to Rules. Any contract or agreement for iegaiservices entered into by a stUdents' association or other agencyof student government or other agency of an institution with anattorney whose remuneration will be paid from funds under thecontrol and management of the Board of Regents, indudingfunds from student fees whether compulsory or voluntary, isexpressly subject to the applicable provisions of the Regents'Rules and Regulations.

Page 1 of 2


3. Definitions

None


None


None

6. Who Should Know





December 10. 2004


Series: 50305



Page 2 of 2


1. Title

Immunization of Students Against Hepatitis B


Series: 50401

Sec. 1 Legislative Requirement. Pursuant to Texas Education CodeSe"tioll 51.933J.Q} the Texas Board of Health may requireimmunizations against diseases for students at any institution ofhigher education who are pursuing a course of study in a humanor animal health profession. Texas Department of HealthAdministrative Rules, found in the Texas Administrative CodeTitle 25, Part 1 ~ectiQ~97.63 requires all students enrolled inhealth-related courses which will involve direct patient contact inmedical or direct care facilities to receive a complete series ofhepatitis B vaccine prior to the start of direct patient care orshow serologic confirmation of immunity to hepatitis B virus.

3. Definitions

None


Texas Education Code Se:ctjon 51.933(b) -Immunization Requirements

Texas Administrative Code lULE;: 25 Part 1 SectioD..97.63 - RequiredImmunizations


University of Texas System Policy on AIDS, HI',L"Od Hepatitis B Virus

6. Who Should Know



Office of Academic AffairsOffice of Heaith Affairs

Page 1 of 2



December 10, 2004


Series: 50401



Page Z of Z

The University of Texas SystemRules and Reg uIali0 ns o..f",t"he"--,B"o"a""r",d-,o"f-,R.>:e,"g.,e,-,n-"t",s~ S=e,,ri,,es,,":~5",O",4"O,-,,2

1. Title

International Student Health Insurance Requirement

2. Rule and RegUlation

Sec. 1 Requirement. International students holding nonimmigrantvisas and living in the United States are required to maintainapproved comprehensive health insurance or coverage whileenrolled at institutions of The University of Texas System,except as provided in item d. below

Sec. 2 Assessment of Fee. Each institution of the U. T. System isauthorized to assess each such intemational student a healthinsurance fee (as an incidental fee authorized by TexasEducation Code Se.ction 54.504) in the amount of the premiumapproved for the U. T. System Student Health Insurance Pianfor the actual cost of the insurance provided where there is noevidence of continuing coverage under the U. T. SystemEmployee Health Plan or a comparable mandatory employeeplan, continuing mandatory coverage through a governmentsponsored health plan (which covers health care ;n the UnitedStates and complies with the federai Civil Rights Restoration Actof 1987) or continuing coverage that satisfies the requirementsof the Department of State (DOS) regulations with regard to J·1and J-2 visa holders. Further, authorized th~ assessment of anincidental fee in the amount of the appropriate premium fordependents of J-1 visa holders as required by these federalregUlations and required international students to immediatelynotify the institution should there be a lapse in approvedalternative coverage

Sec. 3 Participation Encouraged. All international students areencouraged to participale in the U. T. System Student HealthInsurance Plan

Sec. 4 Exceptions. Excepted from the insurance requirement arestudents from a bordering nation atlending a componentinstitution in a county adjacent to the nation in which the studentlegally resides

Page 1 of 2


3. Definitions

Series: 50402

U. T. System Student Health Insurance Plan - more information on thehealth insurance plan and its coverage can be found athUI2J/WWIfI.'.,?tudefl!-resourcas.netl


Texas Education Code SectiQn5A.504 - Incidental Fees

Civil Rights Restoration Act of 1987 20 USC Section 168Z. 29 U.S.C.Section 794. 42 USC Section 2QQOd-4a, and 42 U.SC. Section 6101

United States Information Agency (USIA) re9ulations with regard to J-1and J-2 visa holders - 8 CFR Part 214,-Secjion 214.2(i)


None

6. Who Should Know

AdministratorsInternational Students


Office of Academlc AffairsOffice of Health Affairs


December 10, 2004




Page 2 of 2

The University of Texas SystemRUles and Regulations ofthe Board of Regents

1. Title

Student Health Insurance Requirement


Series: 50403

Sec. 1 Delegation. In accordance with 1exas Education Code Section51.952, the Board of Regents authorizes The University ofTexas System health institutions to require enrolled students tohave health insurance coverage and further delegated policyauthority to the Chancellor.

Sec. 2 Satisfaction of Requirement This requirement may be satisfiedby either the student's enrollmen! in the U. T. System endorsedstUdent health insurance plan or by the student presentingevidence of comparable health insurance from a source otherthan the University, following policy guidelines to be issued bythe Chancellor.

Sec. 3 Notification or Requirement. Catalog supplements will bepublished by the health institutions regarding this requirement

3. Definitions

None


Texas Education Code Section §1.952 - Student Health Insurance


None

6. Who Should Know

AdministratorsStudents at Health Institutions



Page 1 of 2



December 10, 2004


Series: 50403



Page 2 of 2

The University of Texas SystemRules and Regulations of the Board of "R"eldg"e!!nt"s'--- ~_..S"'e"_ri"'e"'s'_:"5,,0,,,50,,-,1

1. Title

Liability Insurance for Students


Sec. 1 Students in Field Experience Courses. The institutions of TheUniversity of Texas System may require students enrolled infield experience courses to show evidence of student liabilityinsurance when enrolled in field experience courses, whichutilize off-campus facilities, if such facilities require theinsurance. The requiremont shall be included in eachinstitution's catalog.

Sec. 2 Students in Allied Health and Nursing. Allied health and nursingstudents shaH, prior to official registration provide eVidence ofprofessional liability (malpractice) insurance coverage in aminimum amount determined by the president of the institution.Nursing students receiving stipends may be reimbursed for thisfee through that source. The requirement shall be Included Ineach institution's catalog.

Sec. 3 Students in Pharmacy. All pharmacy students enrolling in fifthyear clinical and/or pharmacy internship courses shall provideevidence of professional liability insurance coverage paid for theduration of the course or courses as Cl prerequisite toenrollment. The effective date of tl1e policy shall be on or beforethe first regular ciass period of the clinical andior pharmacyInternship course for which the student is enrolling. Therequirement shall be included in each institution's catalog.

Sec. 4 Students Enrolled in Health Components. All students enrolledin a health institution of the U. T. System in a program thatinvolves direct patient care activities shall be required topurchase professional liability insurance as a prerequisite toenrollment. Such GQverage shall be for at least $5,000 perincldenV$15.000 per year. however, the chief administrativeofficer of the institution may set higher minimum amounts forspocific programs that involve greater risk. This policy does noteliminate the requirement for nursing students enrolled in ageneral academic institution. The requirement shall be includedin each institution's catalog.

Page 1 of 2


3. Definitions

None


Texas Education Code Section 54.504 - Incidental Fees


None

6. Who Should Know





December 10. 2004


Series: 50501



Page 2 of2


1. Title

Student Travel


Series: 50601

--

Sec. 1 Establishment of Policies. Consistent with the requirements ofTexas Education Code Section 51.950. each institution of TheUniversity of Texas System shall adopt a policy governingstudent Iravel. Such a policy, at a minimum, shall comply withthe guidelines below and become effective upon approval by theappropriate Executive Vice Chancellor. Approved policies shallbe published in the institutional Handbook of OperatingProcedures and catalogs and filed with lhe Texas HigherEducation Coordinating Board.

Sec. 2 Activities Governed. This Policy is applicable to student travelundertaken by one or more currently enrolled students to reachan activity or event that meets all of the following criteria:

2.1 An activity or event organized and sponsored by thecomponent institution. An activity or event is consideredto be organized and sponsored if it has been plannedand funded by the institution and approved by anadministrator designated by the institution.

2.2 The activity or event is located more than 25 miles fromthe institution; and:

(8) Travel to the activity or event is funded andundertaken using a vehicle owned or leased by theinstitution; or

(b) Attendance at the activity or event is required by aregistered student organization and approved inaccordance with Section 3 of this Policy

Sec. 3 Required Approval. Registered student organizations thatrequire their members to travel 25 miles or more from theinstitution to attend an activity or event covered by this Policymust obtain prior written approval for the proposed travel by theinstitutional officer designated by the insti1ution.

Page 1 of 4


Sec. 4 Required Provisions. The policy adopted by an institution shallincorporate the following provisions concerning safety andmodes of travel likely to be used by students:

4.1 Seat Belts. Occupants of motor vehicles shall use seatbelts or other approved safety restraint devices reqUiredby law or regulation at all times when the vehicle is inoperation.

4.2 Alcohol and Illegal Substances. Occupants of motorvehicles shall not consume, possess, or transport anyalcoholic beverages or illegal substances.

4.3 Passenger Capacity. The total number of passengers inany vehicle at any time it is in operation shall not exceedthe manufacturer's recommended capacity or the numberspecified in applicable federal or State law or regulations,or applicable requirements of The University of TexasSystem Business Procedures Memoranda No. 16,whichever is lower.

4.4 License and Training. Each operator of a motor vehicleshall have a valid operator's license and be trained asrequired by law to drive the vehicle that will be used, andcomply with applicable requirements of The University ofTexas System Business Procedures Memoranda NQ,.J6.

4.5 Insurance, Inspection, and Safety Devices. Each motorvehicle must have a current proof of liability insurancecard and State inspection certification, be equipped withall safety devices or equipment required by federal orState law or regulation, and comply with all otherapplicable requirements of federal or State law orregulations and The University of Texas SystemBusiness Procedures Memoranda No. 16.

4.6 Legal Operation. Operators of motor vehicles shallcomply with all laws, regulations, and posted signsregarding speed and traffic control and shall not operatethe vehicle for a continuous period that is longer than themaximum provided by guidelines promulgated by federalor State law or regulations or guidelines promulgated bythe component institution, whichever is lower, withoutscheduled rest stops or overnight stops.

Page 2 of 4

The University 01 Texas SystemRules and Regulations o"I.!lh"'e!L!iB"o"a"rd"-'-o"-I.!R"'e"'g"e"n"l=.s e-:S"e"'r!.!ie'"s-.:,,5,,-,O!!6!!O!..!.1

4.7 Service and Maintenance. Each vehicle owned or leasedby an institution must he subject to scheduled periodicservice and maintenance by qualified persons andcomply with all applicable requirements of The Universityof Texas System Business Procedures Memoranda No.

112·

4.8 Operators of Vehicle. All operators of vehicles owned orleased by an inslitution shall be employees of theinstitution and shaH have a valid Oflerator's license for theoperation of the particular vehicle. In addition, operatorsof vehicles owned or leased by an institution shall only beoperated by persons authorized to operate such vehiclesin accordance with The University of TexFls SystemBusiness Procedures Memoranda No. 16.,

4.9 Rented Vehicles. Each institution shall adopt ruiesconcerning the use of rental vehicles for travel coveredby this Policy. The rules shall comply, where applicable,with the State contracts for rental cars and all applicablerequirements of The University of Texas SystemBusiness Procedures Memoranda No. :19..

4.10 Common Carrier. When a common carrier is used forsludent travel covered by this policy, each componentinstitution shall take reasonable steps to assure the travelis undertaken in conformance with this Policy.

3. Definitions

None


Texas Education Code Section 51.949 - Policy Regulating Student Travel


Business Procedures Memoranda No. 10 - Automoblle InsuranceCoverage for Officers and Employees and General Requirements for Useof Vehicles

6. Who Should Know

Page 3 014

The University of Texas SystemRules and Regulations of the BO'ta",r,-,d!..o"-f,-R=e",g",e!!nt"s,-~ "S",e"-r,,ie,,,s,,-:.~5"O,,-60!,-!1

AdministratorsStudentsStudent Organizations




December 10, 2004




Page 40f4


1. Title

Visiting Students Program


Series: 50701

Sec 1 Purpose. The visiting students program is designed to aliowupper-level and graduate or professional students enrolled in aninstitution of The University of Texas System to take courses orengage in research at another institution within the Systemduring a regular semester or summer session.

Sec. 2 Qualifying Students. The U. T. System visiting studentsprogram is limited to upper-level students (students with morethan 60 semester credit hours of degree-related college ievelwork.) and graduate or professional students.

Sec. 3 Establishment of Requirements. Each U T. System institutionwith degree programs wili establish reqUirements for eligibilityfor participation such as a minimum grade point average andcompletion of a minimum number of semester credit hours atthe home institution. The requirements may vary amongprograms at an instItution.

Sec. 4 Designation of Coordinators. Each institution will designateindividuals to coordinate visiting student programs at home andhost institutions. Coordinators will facilitate communicationbetween the student and appropriate major advisors at bothinstitutions. The advisor at the home institution will have finalauthority on courses, which may receive credit under thevisitation program.

Sec. 5 Coordinator Approval. A student's proposed visitation shouldclearly relate to the student's program and academic interestand be approved by the designated program coordinator(undergraduate or graduate/professional) at both the homeinstitution and the proposed host institution.

Sec. 6 Course Availability. Approval for a student's proposed visitationwill be contingent on 511ace and desired courses being readilyavailable in the proposed Visitation program and, forparticipation in a research laboratory, on approval of the directorof the iaboratory.

Page 1 of 4


Sec. 7 Home Institution. For continuity of financial aid, the visitingstudent should be registered at the home institution, with gradesfor any course taken at the cooperating host institution reportedto the home institution.

7.1 Identification of Courses. The home institution willidentify at the time of registration the course title/numberunder which the visitation course credit would berecorded.

7.2 Reporting of Grades. The designated visitation programcoordinator at the host institution will report the student'sgrade(s) to the coordinator at the home institution at theend of each semester or summer session.

7.3 How Grade will be Used. The home institution willdetermine whether the grade earned at a host institutionis to be treated as regular course credit for determiningacademic standing and grade point averages or astransfer credit.

Sec. 8 Compliance with Rules. The visiting student will be SUbject tothe rules and regulations of the host institution as weli as thehome institution.

Sec. 9 Payment of Tuition and Fees. To maintain consistency and toassure the integrity of student financial aid requirements,charges for tuition and required fees (inclUding course-specificfees and other reqUired fees associated with enrollment at thehost institution) are to be paid to the home Institution. The hostinstitution must provide the home institution with the list of feesto be charged and the home institution will transfer the amountscoliected to the host institution.

Sec. 10 Financial Assistance. A student awarded a fellOWShip, stipend,or other financiai assistance by the home institution will beeligible to receive such assistance while visiting the hostinstitution.

10.1 Approvai of Financial Support. Acceptance of financialsupport from the visited institution will necessitate priorapproval by the home institution.

Page 2 of 4


102 Eligibility for Financial Aid. The usual eligibilityrequiremAnts for financial aid at the home institution willapply to a visiting student.

Sec. 11 Regutar Admission. The host institution for the period of thevisitation will not regularly admit a visiting student and a studentshould not assume that he or she would be eligible for transferto that institution.

11.1 Transfers. if a visiting student desires to transfer to thecooperating institution, the student must comply with theregular transfer admission requirements and procedures.

11.2 Length of Visitation. Normally, a visitation may last nolonger than one long session semester or a long sessionsemester and a summer session; otherwise, the studentshould apply for and be admitted to the cooperatinginstitution.

Sec. 12 Notification of Program. Each institution shall include in theappropriate catalog(s) information, which describes IheU. T. System visiting students program, specifies eligibilityrequirements, and identifies the designated visiting studentsprogram coordlnator(s) at that institution.

3. Definitions

None


None


Regents' Rules and Regulations Series 40904. - Guidelines forCooperative Use of Courses and Facilities with Texas A&M University

6. Who Should Know


Page 3 of 4



Office of Academic AffairsOffice of Hea~h Allairs


December 10, 2004


Series: 50701



Page 40f4


1. Title

Athletics Policy


Series: 50801

Sec. 1 President's Responsibility. The president of each generalacademic Institution of The University of Texas System, whichengages in intercollegiate athletic activities shall ensure thatnecessary rules and regulations are made so as to comply withArticle III, Section 9, G_eneral Apnmpria(ions Act, 78th LegislativeSession.

3. Definitions

None


General APpropriations Act (78 th Legislative Session) Articie III Section 9


None

6. Who Should Know

Administrators




December 10. 2004




Page 1 of 1



1. Title

Acceptance and Administration of Gifts


Series: 60101

Sec. 1 Authority to Accept Gifts and Develop Acceptance Procedures.The authority to accept gifts to The University of Texas Systemor to any of its institutions is vested in the Board of Regents anddelegated by the Board as specifically set out in this Series.Except as provided in this Series or any other Series in theRegents' Rules and Regulations, or approved institutionalpolicies. no member of the staff of any institution has theauthority to accept gifts. The Board delegates to the ViceChancellor for External Relations the authority and responsibilityto promulgate a set of guidelines regarding the acceptance,processing, investment, and administration of gifts. Theseguidelines will be known as the U. T. System Gift AcceptanceE'LQc.er;JlJre~ and shall be adhered to by the U. 1. System and itsinstitutions. In promulgating the U. T. System Gift AcceptanceProcedures, the delegate shall also consider provisions to:

1.1 accomplish the goal of increasing financial support for theU. T. System through the appropriate assistance ofdonors,

1.2 allow staff members to respond to donor initiativesquickly and with certainty,

1.3 establish administrative processes to accept andadminister gifts in a prudent and efficient manner, withfiduciary responsibilities of fundamental importance,

1.4 comply with the Texas Constitution and applicablefederal and State law,

1.5 Comply with the provisions of the Internai Revenue Codeand related regulations,

1.6 Specifically incorporate provisions related to theacceptance of pledges to fund endowments as follows:

(a) at least 20% of the donors' total required minimumfunding must be received prior to the acceptance ofan endowment, and

Page 1 of 6


(b) the pledge for payment of the remaining funds shallnot extend beyond five years from the date ofexecution of the gift agreement. With the approval ofthe Vice Chancellor for External Relations the pledgeperiod may be longer than five years under rare andspecial circumstances.

1.7 specify that requests to establish quasi-endowments areto be submitted when it is expected that the endowmentwill be maintained permanently, and

1.8 provide that, in the interest of financial responsibility andefficiency, it is the specific preference of the Board thatall endowment gifts be eligible for commingling forinvestment purposes with other endowment funds.

Sec. 2 Gifts Requiring Board Approval. All conforming gifts, includingpledges, having a value of more than $1,000,000 (in cash or inkind) must be submitted to the Board of Regents for approvalvia the Docket, except those processed or administered by theOffice of External Relations.

2.1 Outdoor Works of Art. Approval by the Board is alsorequired prior to the acceptance of a gift of an outdoorwork of art. Considerations will include appropriatenesswith regard to the institution's Campus Master Plan andexpense related to installation and/or continuingmaintenance.

Sec. 3 Gifts Requiring Approval by Chancelior or Presidents. TheBoard of Regents delegates to the Chancellor or the presidentof an institution the authority to accept conforming gifts,including pledges, other than gifts of real property, that are notprocessed or administered by the Office of External Relations,prOVided that such gifts have a vaiue of $1 ,000,000 or less (incash or in-kind) and the authority to take any and ali desirableactions relating to the administration and management of giftsaccepted by the Chancelior or the president of the institution, asmay be permitted by applicable law, policies, these Regents'Rules and Regulations, and the u. T.~ystem Gift AcceptancePro..9-edures.

Sec. 4 Gifts Requiring Approval by Executive Vice Chancellor forBusiness Affairs. The Board of Regents delegates to the

Page 2 of6


Executive Vice Chancellor for Business Affairs authority toaccept all conforming gifts of real property of any value that arenot processed or administered by the Office of ExternalRelations, and the authority to take any and all desirable actionsrelating to the administration and management of gifts acceptedby the Executive Vice Chancellor for Business Affairs, as maybe permitted by applicable law, policies, these Rules andRegulations, the U T Syslem Gill Accep!iince Procedures, andRegents' Rules and Regulations Series 80306 concerning theenvironmental review policy for acquiring real property andSeries 60103 concerning guidelines for acceptance of gifts ofreal property, Acceptance of all gifts of real property shall besubjecl to the Regents' Rules and Regulations Series 60103and 80306.

Sec. 5 Gifts Requiring Approval by Vice Chancellor of ExternalRelations. The Board of Regents delegates to the ViceChancellor for External Relations authority to accept allconforming gifts, including pledges, of any value (either in cashor in-kind) that are processed or administered by the Office ofExternal Relations. The Board also delegates to the ViceChancellor for External Relations authority to take any and alldesirable actions relating to the administration and managementof gifts accepted by the Office of External Reiations, includingwithout limitation the modification or termination of trusts,endowments, and quasi-endowments as may be permitted byapplicable law, policies, these Rules and Regulations, and theU T. System Gift Acceptance PrQC;f:!.9..-ures.

5.1 Gifts Reviewed. The Office of Deveiopment and GiftPlanning Services, with assistance from the Real EstateOffice and the Office of General Counsel as required,shall review all gift assets processed or administered bythe Office of External Relations. Gift assets requiringreview include, but are not limited to, securities, interestsin limited partnerships, stock of closely-held corporations,stock of S corporations, stock options, and warrants. TheOffice of Development and Gift Planning Services shallalso review all bequests, interests in trusts, gifts andother funds to establish endowments and quasiendowments, and other planned gifts as defined in theU. T. System Gift Acceptance Proc_~.~J.um§..

5.2 Gifts to Establish Endowments. Endowments will beestablished with gifts that have been completed for tax

Page 3 of6

The University 01 Texas SystemRules and Regulations 01 the Board 01 Regents Series: 60101

purposes or with a combination 01 such gifts, ptedges,and other funds at a minimum funding level of $10,000.Endowments may be established to fund scholarshipprogmms and other educational activities as well as theendowed academic positions specified in Regents' Rufesand Regulations Series 60202 concerning endowedacademic positions.

5.3 Gifts Report. The Office of External Relations shallsubmit a report to the Board of Regents summarizingacceptance and approvai by the Office of ExternalRelations of all conforming gifts and other actions takenno less frequently than annuaily.

Sec. 6 Internal Revenue Service Forms The Board of Regentsdeiegates to the Chancellor, the Executive Vice Chancellor forBusiness Affairs, the Vice Chancellor for External Affairs, andthe president of the institution the authority to execute allnecessary Internal Revenue Service forms, including Withoutlimitation IRS Forms 8283 and 8282, that reiate to giftsaccepted by each respectively.

Sec. 7 Nonconforming Gifts. Recommendations regarding theacceptance of gifts or other actions which do not conform to ;IIIrelevant laws and Board of Regents policies, inclUding but notlimited to the U. 1. System Gift Acceptance Procedures, shall bemade through the Chancellor to the Board via the Agenda afterreview by the appropriate offices of the terms of the gifts, thenature of the donated assets and/or the requested action.

Sec. 8 Gift Benefiting an Individual. Neither the U. T. System nor anyof its institutions will administer a gift for the benefit of anydesignated individual unless the donor is exempt from federalincome taxes as defined by lhe Commissioner of InternalRevenue.

Sec. 9 Service by Board as Estate Executor/Administrator. The Boardof Regents will not serve as executor or administrator of anestate because of the potenlial for conflicts of interest <Jndthe scope of the required duties.

Sec. 10 Prohibition to Act as Witness to Will. The employees of theU. T. System or any of its institutions should not knowingly actas witnesses to wills in which the U. T. System or an institution

Page 4 016


is named as a beneficiary so as not to jeopardize the receipt ofthe bequest.

Sec. 13 Service by Employee as Executor/Administrator of Estate orTrustee of Trust. Employees of the U. T. System or any of itsinstitutions who agree to serve a~ trustee of a trust, or executoror administrator of an estate benefiting the U. T. System or anyof its institutions are immediately to notify the Office ofDevelopment and Gill Planning Services of their appointment.Upon notification, the employee will be furnished with astatement advising of Ihe potential for conflicts of interestand directing that all communications pertaining to the trust orestate between the employee and any office of the U 1. Systemor its institutions shall be in writing.

3. Definitions

None


None


Regents' Rules and Regulations S8rie~ 60103 - Guidelines forAcceptance of Gifts of Real Properly

Administrative Rule Series 8_0.306 - Environmental Review for Acquisitionof Real Properly

1l T. System Gift Acceptance Procedures

6. Who Should Know

AdministratorsChief Business OfficersDevelopment OfficersEmployees


Office of Extemal RelationsOffice of General Counsel

Page 5 of 6



December 10. 2004


Series: 60101

Questions or comments regarding lhis rule should he directed to:

• bor@utsystem_edu

Page 6 of 6


1. Title

Fee for Institutional Endowment Compliance


Series: 60102

Sec. 1 Background. Eactl University of Texas System institution ischarged with raising private sector contributions for theestablishment of endowments to fulfill fhe mission and goals ofthe institution. Endowments are designated for studentscholarships and fellowships. faculty and administrative support,and for programmatic purposes. High quality, effectivecompliance programs are of fundamental importance andrepresent an ongoing fiduciary responsibility of each institution.As authorized by Texas Education Code Section, 65,37 theBoard of Regents may assess a fee for institutional endowmentcompliance:

.--,

Sec.2 Amount of Fee, The Board of Regents authorizes TheUniversity of Texas Investment Management Company(UTIMCO) to assess an administmtive fee of up to 0.08% of themarket vaiue of the Long Term Fund's (LTF) net asset value asdetermined by UTIMCO for the support of enhanced andexpanded institutional endowment compliance efforts.

Sec 3 Use of Fee. This approvai authorizes a small pnrtion of the LTFto be used for enhanced and expanded administrative activitiesto ensure institutional compliance with the agreement made withan endowment's donor(s) The Chancetlor may authorize aninstitution to exercise this funding option and assess up to0.08% of the market value of its endowments invested in theLTF. An institution may exempt specific endowments from theassessment.

Sec. 4 Program Details. Operational details are to be determined bythe Chancellor. the President and Chief Executive Officer ofUTIMCO, and/or their designated representatives.

4.1 Basis of Distributions. Assessment level distributions willbe made annually based on the prior 12-quarter'saverage of the market value of the LTF on May 31 ofeach fiscal year.

Page 1 of 2


3. Definitions

Series: 60102

Endowment - funds that typically have certain donor Imposed restrictionsplaced upon the principal and/or the funds available for distribution (e.g.,income and/or gains).


Texas Education Code Section 65.37 - Funds Received for Trust Services


U. T. SYstem Gift Acceptance Procedu@2

6. Who Should Know

AdministratorsChief Business OfficersDevelopment Officers


Office of Exlernal Relations


December 10, 2004




Page 2 of 2


1. Title

Guidelines for Acceptance of Gifts of Real Property


Series: 60103

--

Sec. 1 Purpose. To provide guidelines for accepting and valuingleasehold interests, campus properties, and bequests of surfaceand mineral estates in real property

Sec. 2 Applicabiiity of Guidelines. These guidelines apply to all gifts ofsurface and mineral estates in real property regardless of type,location, or designated use of the funds to be derived therefrom. In the absence of guidelines or policies relating to suchgifts designated for campus use, these policy guidelines shallapply. The Board of Regents recognizes that the fullimplementation of these guidelines with respect to surface andmineral estates in real property donated or bequeathed to TheUniversity of Texas System or any of its institutions may not beachievable in all cases. U. T. System Administration's RealEstate Office (REO) and University Lands - West TexasOperations (ULWTO) will evaluate gifts of surface and mineralestates in real property and apply these guidelines to the extentreasonably practicable and in the best interest of the System.

Sec. 3 Acceptance of Surface Estates. The following procedures areto be followed for the acceptance of gifts of surface estates.

3.1 Notification of the REO. The institution (for currentpurpose gifts) or System Administration's Office ofDevelopment and Gift Planning Services (ODGPS) (forplanned or endowment gifts) will notify the REO uponidentification of a potential gift of real property.

3.2 Information to be submitted to the REO. The institutionor REO will request that the donor provide as much of thefollowing information as possible to allow the REO toevaluate the proposed gift. If not paid by the donor, thebenefited institution shall pay all costs incurred by theREO to evaluate the gift or protect System's interestswith respect to the gift, including title policy premiums.The Board of Regents strongly encourages theacquisition of a title policy at the time the property isacquired whether the policy premium is paid with fundsprovided by the donor or the institution.

Page 1 of 9


(a) Fee interests in surface states

Series: 60103

• Map showing location of property

• Legal description of property

• Proof of ownership (deed)

• Survey of subject property and improvement(Category 1A survey preferred)

• List of improvements

• Copies of current leases, if any

• Current title commitment and copies of all titleexceptions, including deed restrictions orcovenants and liens

• Copy of the donor's title policy, if any

• List of current expenses required tomaintain/operate the property

• Proof of payment of taxes and associationfees, if any

• Recent appraisal or other acceptable valuation

• Copies of documents relating to past or currentlitigation directly affecting the real estate

• A written statement from the donor identifyingany known waste disposal sites orcontamination or spills of hazardous or otherregulated materials on the property, or astatement to the contrary, and assuringcompliance with the U, To SystemEnvironmental Review Policy for Acquisitionsof Real Property Assets

• Written statement from the donor outliningpurpose of the gift

Page 2 of 9


,-

• Permission for access to the property toconduct on-site inspections

• Such other information as may be requestedby System Administration's Office of GeneralCounsel. REO, or ODGPS

(b) Leased fee interests in surface estates

• Copies of fully executed leases and leaseamendments

• Items listed in (a) above

• History of all lease payments

• Estoppel certificates

• Insurance policy and certificates.

3,3 Sale of a Surface Estate, The REO will generally requestthat the surface estate received from an estate or trust besold rather than distributed to the University, The saleprice shall be based upon a fair market value appraisal orother generally accepted industry standard for valuing theproperty, The REO shall provide assistance to facilitatethe sale of the surface estate, when appropriate, If thesurface estate is not sold within a reasonable period oftime, the REO will evaluate the surface estate todetennine whether the gift will be accepted or rejected,

34 Evaluation of Qualified Gifts, The REO will evaluate andinspect a proposed gift of surface estate, Only qualifiedgifts of surface estates will be recommended for furtherreview and evaluation.

3,5 Unencumbered Surface Estate, The REO generally willnot recommend acceptance of a qualified gift of anunencumbered surface estate unless there is a clearbenefit to the U. 1. System or any of its institutions andthe following conditions are met:

(a) Adequate provisions are made by the donor or theinstitution for the expense of management until

Page 3 of 9


disposition. The donor should be encouraged tocontribute funds for the management of the propertyuntil disposition occurs. Any un-reimbursed costs ofmanagement or sale of the property will be chargedeither against income from the property or proceedsfrom the sale of the property.

(b) The gift is of a 100% interest in the property.

(c) There are no undue limitations on the System's abilityto own, manage, and dispose of the property.

3.6 Encumbered Surface Estate. The REO generally will notrecommend acceptance of a qualified gift of a surfaceestate that is mortgaged or encumbered unless there is aclear benefit to the U. T. System or any of its institutionsand the following conditions are met

(a) The donor donates funds or makes other appropriatearrangements to meet all debt requirements.

(b) Adequate provisions are made by the donor or theinstitution for the expense of management untildisposition. The donor should be encouraged tocontribute funds for the management of the propertyuntil disposition occurs. Any un-reimbursed costs ofmanagement or sale of the property will be chargedeither against income from the property or proceedsfrom the sale of the property.

(c) The gift is of a 100% interest in the property.

(d) There are no undue limitations on the System's abilityto own, manage, and dispose of the property.

3.7 Environmental Assessment. An environmentalassessment of the gift must be completed in accordancewith the "U. T. System Environmental Review Policy forAcquisitions of Real Property Assets."

3.8 Evaluation Criteria. The REO will consider an criteria foracceptance outlined in this policy and informationgathered with respect to the property in determiningwhether to recommend acceptance of a qualified gift ofreal property. To demonstrate a clear benefit to the

Page 4 of 9


System, the REO will evaluate the return expected from aqualified gift of a s.ulface estate based on, but not \imil~d

to, such factors as income potential, developmentcharacteristics, type of property interest, holding costs,management requirements, holding period, location,potential environmentrll liabilities, encumbrances, andany other potential liabilities or risks associated with theasset.

3.9 Gift Acceptance. The REO will make a recommendationto the Responsible Officer or the Board who will accept orreject the gift.

3.10 Title. Title to each property shall be held in the name ofthe Board, and not in the name of any componentinstitution, department, or individual. The REO willensure that all deeds for gifts of surface estates arerecorded in the county where the property is located andwill retain the original deed in its permanent records.

3.11 Valuation. The preferred method of valuation for thepurpose of determining gift value, sale price, or leaserates for a surface estate shall be an appraisal preparedby an independent State-certified or other licensedappraIser.

(a) Tile value of a surface estate less than $50,000 maybe determined by solicitation of offers or by any othergenerally accepted industry standards including taxassessments.

(b) An appraisal is not required when a surface estate issold at public auction or by use of sealed bids.

Sec. 4 Acceptance of Mineral EstGites. The following procedures are tobe followed for the acceptance of gifts of surface estates.

4.1 Notification of the ULWTO. The institution (for currentpurpose gifts) or ODGPS (ror planned or endowmentgifts) will notify ULWTO upon identification of a potentialgift of a mineral estate. ULWTO will evaluate the mineraIestate and determine whether the asset should beaccepted or rejected by the System or in the case of atestamentary transfer or trust whether to request that the

Page 5 of9


interest be sold. ULWTO will provide assistance tofacilitnte the conveyance or sale of the mineral assets.

4.2 Information to be submitted to ULWTO. The institution orULWTO will request that the donor provide as much ofthe following information as possible to allow ULWTO toevaluate the proposed gift. If not paid by the donor, thebenefited institution shall pay all costs incurred byULWTO to evaluate the gift or to protect theU. T. System's interests with respect to the gift.

(a) Map, plat, or survey of the property

(b) Legal description of the property

(c) Proof of ownership (deed or assignment)

(d) Copies of current oil and gas ieases, if any

(e) Copies of division orders, if any

(f) Copies of other relevant documents, such as un,tagreements and operating agreements

(g) List of encumbrances including any liens and copiesof the corresponding documentation

(h) Abstracts of title or title opinions

(i) Geological or geophysical records

(j) Lease ratifications and lease assignments

(k) Copies of appraisals or reserve studies

(I) Copies of documents relating to past or presentlitigation directly affecting the property

(m)Copies of insurance coverage carried by the welloperator relative to environmental damage.

4.3 Sale of a Mineral Estate. ULWTO will generally requestthat the mineral estate received from an estate or trust beconveyed. However, if the sale of the minerals isappropriate, the sale price shall be based upon a fair

Page 60f9


market value appraisal or other generally acceptedindustry standard for valuing the property. ULW ro shallprovide aSSistance to facilitate the sale of the mineralestate, when appropriate. If the mineral estate is not soldwithin a real:lorl<:Jble period of time, ULWTO will evaluatethe mineral estate to determine whether the gift will beaccepted or disclaimed.

4.4 Evaluation of Mineral Estates. ULWTO will evaluate aproposed gift of mineral estate. Only qualified gifts ofmineral estates will be recommended for further reviewand evaluation.

4.5 Evaluation Criteria. ULWTO will consider all of thecriteria for acceptance outlined in this policy andinformation gathered with respect to the minerals indetermining whether to recommend acceptance of aqualified gift of a mineral estate.

4.6 Gift Acceptance. ULWTO will make a recommendationto the Responsible Officer or the Board who wili accept orreject the gift.

4.7 Title. Title to each mineral estate shall be held in thename of the Board and not in the name of anycomponent institution, department, or individual. ULWTOwill ensure that all deeds for gifts of mineral estates arerecorded in the county where the mineral estate islocated and will retain the original deed in its permanentrecords.

4.8 Valuation of a Mineral Estate. The preferred method ofvaluation for the purpose of determining value for amineral est"te shall be at the discretion of ULWTO, butshall always be by generally accepted industrystandards.

3. Definitions

Gift - conveyances and testamentary transfers, as well as trustdistributions to the U. T. System.

Real Property - individually and collectively the surface and mineralestate.

Page 7 of9


Surface Estate - any interest in the surface of real property, including feeand leased fee interests, together with all appurtenances andimprovements attached thereto, and all property interests that do notconstitute the mineral estate.

Mineral Estate - mineral rights of gas, oil and minerals, whether joined toor severed from the surface estate and the associated rights as properlyconveyed to the U. T. System or any of its institutions. An overridingroyalty interest that is not subject to any costs shall also be a "mineralestate,"

Responsible Officer - the Vice Chancellor for Business Affairs or his/herdesignee (for current purpose gifts) or the Vice Chancellor forDevelopment and External Relations or his/her designee (for endowmentsand other planned gifts) and is responsible, based on therecommendations of the REO and ULWTO, for the initiation andcompletion of the formal acceptance of the gift via administrative approval,the Docket. or the Agenda, as appropriate.

Qualified Gift of a Surface Estate - any interest that will net more than$25,000 upon sale or a property for which there is an effective direct useby an institution.


None


U. T. System Gift Acceptance Procedures

Administrative Rule Serie.;?_§_0306 - Environmental Review for Acquisitionof Real Property

6. Who Should Know

AdministratorsChief Business OfficersDevelopment OfficersEnvironmental Health and Safely Directors/ProfessionalsPhysical Plant Directors

Page 8 of9



Office of Business AffairsReal Estate Office


December 10. 2004

9. Conlact Information

Series: 60103

Questions or comments regarding this rule should be directed 10:


Page 9 of 9

The University of Texas SystemRules and Regulations of th!.!e...S""'o"a"rd....,.0"-f.!:R"'e"'g"'e"n"'ts..... -'S"e"r!.!ie"s,,:.,6'"0",2",0...1

1. Title

Administration of Fellowships, Scholarships, and Loan Funds


Sec. 1 Administration of Scholarships and Fellowships. In the case ofscholarships and fellowships, the appropriate committee, ordesignated individual, receives applications, makes thenecessary inquiries, and deterrnines the award, The committeeor designated individual advises the institutional head of theaward who, in turn, approves and forwards the notice of awardto the business office. Payments on scholarships andfellowships are made through the business office of theinstitution.

Sec. 2 Administration of Lo~n Funds. In the case of loan funds, theawarding committee or designated individual receivesapplications for loans, makes thF.! necessary inquiries, andapproves or declines the original loan as well as all renewalsand extensions. The chairman of the awarding committee orthe designated indlviduai notifies the business office of thegranting of loans, and all records including notes, cash,accounts, and collections are thereafter handled by that office.The principal of loan funds is kept intact insofar as pOSSible.The chairman of the awarding committee or the designatedindividual may be requested by the business office to assist incollection of past due interest or principal.

3. Definitions

None


None


None

6. Who Should Know

AdministratorsChief Business Officers

Page 1 of 2



Office of External RelationsOffice of General Counsel


December 10, 2004


Series: 60201



Page 2 of 2


1. Title

Endowed Academic Positions


Series: 60202

Sec. 1 Approval Prior to Announcement. Negotiations and fund raisingfor an endowment are permitted prior to 'its formal approval andestablishment by the Board or its designee(s). However anendowment will not be announced as having been establishedprior to its establishment by the Board or its designee(s). Noinitial appointment will be made to an endowed or namedacademic position without prior approval as a Request forBudget Change by the president of an institution after reviewand approval by the appropriate Executive Vice Chancellor.Subsequent new or continuing appointments to the endowed ornamed academic positions may be approved as a part of theannual operating budget.

Sec. 2 Categories and Minimum Funding Levels. The six categories ofendowed and named academic positions and the minimumfunding levels to establish the positions are: DistingUIshedUniversity Chair ($2 million), Distinguished Chair ($1 million),Chair ($500,000), Distinguished Professorship ($250,000),Professorship ($100,000), and Fellowship ($50,000). Allagreements related to endowed academic positions made priorto April 14, 1988, will remain in effect unless a specific requestfor change (s made by the donor and the institution andapproved by the Board of Regents. Individual institutions arenot required to utilize all categories of endowed academicpositions and may, with advance administrative approval andinclusion in the institutional Handbook of Operating Procedures,limit institutional endowment activity to those position categorieswhich best fit the institution's goals and mission.

2.1 Whether an endowment has attained the minimumfunding level necessary to establish a particularacademic position will be determined by the total value ofgifts from donors and transfers of funds valued as of thegift date or date of transfer, respectively. Funding levelswill not be determined by the amount of net saleproceeds received from a non-cash gift or by the currentmarket value of the investments held in an endowment.

Page 1 of 5


2.2 With the specific approval of the Board of Regents, anamed academic position may be established without theabove minimum funding levels only in accordance withagreements recommended by the Chancellor, theappropriate Executive Vice Chancellor, and the ViceChancellor for External Relations. Such agreementsmust contain the provisions outlined in Sections 2.3 and2.4 immediately below.

2.3 If an external entity requests that the Board of Regentsestablish a named academic position based upon theentity's agreement to hold and manage an endowmentfund supporting the position, the entity must irrevocablyagree to dedicate the endowment to the support of theacademic position in perpetuity or for a specified term ofyears. The entity must agree to adhere to Board policiesregarding minimum funding levels for an endowment.The entity must agree to employ annual payout policiesthat are consistent with the goal of distributing from theendowment, or otherwise contributing to the institution,an annual payout amount substantially similar to thatdistributed from a comparable Board-managedendowment. The entity must agree that funds distributedfrom the endowment shall be paid to the institution forfurther expenditure in accordance with Board policies.The Board must retain the right to appoint all holders ofthe academic position.

2.4 If an extemal entity requests that the Board of Regentsestablish a named academic position without the fundingof an endowment to support the position, the entity mustirrevocably agree to contribute annually, either inperpetuity or for a specified term of years, an amountsubstantially similar to that distributed from a Board~

managed endowment in support of a comparableposition. The entity must agree that the funds will becontributed for further expenditure in accordance withBoard policies regarding the particular category ofacademic position being established. The Board mustretain the right to appoint all holders of the academicposition.

Sec. 3 Distributions for Endowed Academic Positions. The institutionwill pay from its funds such amounts as are necessary to set thesalary of the holder at a level commensurate with his or her

Page 2 of 5


record, experience, and position in the faculty. Distributionsfrom the endowment may be used both for salarysupplementation and for other professional support of the holderof the endowed position, including assistance in the holder'sresearch. Endowment distributions also may be used to pay anappropriate part of the salary of the holder of the endowedposition commensurate with an authorized reduced facultyworkload when required by other duties of the position or whenthe holder is on part-time or full-time research leave which isotherwise un-funded. It is prOVided specifically, however, that inno event, will endowment distributions be used to supplant anyother source of funds used to pay the base salary of the holderof the position when the holder is performing his or her regUlarduties.

Sec. 4 Establishment and Distributions of Endowed Fellowships.Distributions from the endowment may be used to supplementthe salary of the holder of the fellowship, who may be a qualifiedperson of any academic rank irrespective of tenure status, andwill also be available for other professional support of theholder. The endowed fellowship will be used to providetemporary support (not to exceed one academic year) ofdistinguished scholars who are in temporary residence at theinstitution while participating in planned academic programs;visiting scholars who are in temporary residence at theinstitution for special academic programs or purposes; institutionfaculty who have made unique contributions to academic life orto knowledge in their academic discipline; and institution facultyof any academic rank, irrespective of tenure status, who havebeen selected for teaching excellence through proceduresestablished by tile institution. Grants for endowed visitingprofessorships and endowed teaching fellowships of at least$50,000 already under contractual agreement for the future,bequests included in wills made prior to April 14, 1988, andother prior bona fide arrangements for endowed teachingfellowships and endowed visiting professorships are excepted inthis regulation. Grants for endowed lectureships of at least$20,000 already under contractual agreement for the future,bequests In wills made prior to April 14, 1988, and other priorbona fide arrangements for endowed lectureships are exceptedfrom the minimum amount restriction in this regUlation.

Page 3 of 5


3. Definitions

Series: 60202

Endowed Academic Position - an endowed academic position is a facultyposition supported by an endowment from which distributions arededicated to salary supplementation. research support. or otherprofessional needs of a senior faculty member. The position hoider willnormally be a tenured faculty member who has had a distinguishedcareer. A holder may be named to an endowed academic position for theremainder of his or her employment, or for a term of years, and theposition may be renewable or non-renewable.

Endowed Fellowships - an endowed fellowship (orfacuity fellowship) is afaculty position supported by an endowment from which distributions arededicated to salary supplementation. research support. or otherprofessional needs of a faculty member of any academic rank, irrespectiveof tenure status. The endowed fellowship will be awarded for a specifiedlength of time and mayor may not be renewable.


None


None

6. Who Should Know



Office of Academic AffairsOffice of Health AffairsOffice of External RelationsOffice of General Counsel


December 10, 2004

Page 4 of 5

-.

The University of Texas SystemRules and Regulations of th"e,-B"",o",a!Jrd"--"o"-f"R~e'logl:e:t'n"'ts, ~__-,S~e"r"ie,,s,,":..!i6!!!O~2~02




Page 50f5



1. Title

Development Board of an Institution


Series: 60301

Sec. 1 Authorization. With the approval of the president of aninstitution, the Vice Chancellor for External Relations, theappropriate Executive Vice Chancellor, the Chancellor. and theBoard of Regents, any institution may have a developmentboard dedicated to its own unique interests. Each institutiondevelopment board shall work with the institution's presidentand the chief development officer to determine its role inseeking private support.

Sec. 2 Composition of Institution Development Board. The institutiondevelopment board shall consist of members recommended andappointed by the president of the institution with final review andapproval of the mernbership delegated by the Board of Regentsto the Chancellor following consultation with the Executive ViceChancellor for Health Affairs or the Executive Vice Chancellorfor Academic Affairs and the Vice Chancellor for ExternalRelations. Presidents of institutions shall adopt guidelines forthe appointment andlor reappointment of the members of theinstitution development board. The guidelines shall make cleareach individual's term of office and the expectations andresponsibilities of membership. Consideration shall be directedto appropriate balance in board membership, including concernsrelating to gender, ethnicity, range of experience, geographicaldistribution, and the special needs of the institution and theboard. Institutions shall forward an accurate roster ofdevelopment board membership to the Chancellor via the ViceChancellor for External Relations annually. All terms shallofficially begin on September 1. Official rosters of boardmembership shall be maintained in the Office of the ViceChancellor for External Relations. The president of theinstitution and the Chancellor (or his or her delegate) shall beex officio members with voting privileges. The institutiondevelopment board will elect a Chairman and such other officersas are appropriate from among its membership.

Sec. 3 General Policies. The following are general policies forinstitution development boards:

Page 1 of 3


3.1 An institution development board shall serve theindividual institution of the U. T. System by assisting inthe plans and programs of that institution withconsideration of development interests of all institutionsin the U. 1. System.

3.2 An institution development board will work ciosely withthe internal foundations of the institulion. No internalfoundations shall be established or continued Inexistence except with the approval of the Vice Chancellorfor External Relo:ltions. the appropriate Executive ViceChanceilor, the Chancellor, and the Board of Regents.The president of each institution shall be responsible forand have authority over the institution development boardand internal foundations of the institution he or shp.heads.

Sec. 4 Special Campaigns. From time to time, special campaigns forspecific objectives may be conducted, with or Without theassistance of privtJte fund-raising counsel. No such campaignshali be authorized or undertaken until the campaign has beenapproved by the Board of Regents.

Sec. 5 Ex-Students' Associations. Not Withstanding the provisionshereof conferring authority upon and placing responsibility withthe Chancellor for fund development and fund raising, it isunderstood that ex-students' associations of the U. T. Systeminstitutions may engage in fund raising for their own supportthrough dues and payments for memberships, both annual andlife. However, it is expected that no such ex-students'association will sponsor or participate in any other organizedfund raising effort without first consulting with and gaining theapproval of the president of the institution ami the Chancellor.

3. Definitions

None


None


None

Page 2 of 3

The Un~versity of Texas SystemRules and Regulations of the Board of Regents

6. Who Should Know

AdministratorsDevelopment Officers


Office of External RelationsOffice of General Counsel


December 10. 2004


Series: 60301



Page 3 of3


1, Title

Advisory Councils of an Institution


Series: 60302

Sec. 1 Establishment and Organization. With the approval of thepresident of an institution, the appropriate Executive ViceChancellor, the Chancellor, and the Board of Regents, anyschool, college, or other comparable teaching or research unitmay have an advisory council dedicated to its own uniqueinterests. Such an advisory council is responsible through thedean or director to the president of the institution and throughhim or her to the institution development board for all privatefunds developed for that school, college, or comparable unit.Each advisory council shalf determine its development needsand shall direct the formulation of plans and the promotion ofsupport for its programs.

Sec. 2 Membership. An advisory council shall consist of membersrecommended by the dean or director of the school, college, orother approved unit and appointed by the president of theinstitution with final approval of the membership delegated bythe Board of Regents to the Chancellor following consultationwith the appropriate Executive Vice Chancellor. Presidentsshall, in consultation with the dean or director of the school,college, or other approved unit, adopt guidelines for theappointment and/or reappointment of the members of theinstitution's advisory council(s). The guidelines shall make cleareach individual's term of office and the expectations andresponsibilities of membership. Consideration shall be directedto appropriate balance in advisory council membership,including concerns relating to gender, ethnicity, years ofinvolvement or experience with the college, school, or unit,geographical distribution, and the special needs of the school,college, or unit. Institutions shall forward accurate rosters ofadvisory council membership(s) to the Chancellor via the ViceChancellor for External Relations no later than July 15 of eachyear. All terms shall officially begin on September 1. Officialrosters of advisory council membership shall be maintained inthe Office of the Vice Chancellor for External Relations Thepresident of the institution shall be an ex officio member of theinstitution's advisory councils.

Page 1 of 3


Sec. 3 Officers. An advisory council may elect a chairman and othersuch officers as are appropriate from among its membership.The dean or director, and the president of the institution, or hisor her delegate shall be ex officio members with votingprivileges.

Sec. 4 Duties and Responsibilities. The duties and responsibilities ofan advisory council are as follows:

4.1 An advisory council shall seek to enlist the aid ofnumerous friends of the school, college, or comparableunit in fund-development efforts, and may establish suchcommittees and other groups as seem desirable incarrying out its programs.

4.2 An advisory council shall recommend through the deanor director or the institution's president to thedevelopment board the consideration of current and longrange programs that shall secure pnvate funds for theunit.

4.3 An institution advisory council shall have responsibilitywithin that school, college, or comparable unit:

(a) For studying and developing private fund needs;

(b) For coordinating and formulating plans and activelypromoting support for both current and long-rangeprograms to meet the deveiopmentai needs;

(c) For periodic reports of progress to the chiefadministrative officer of the institution and thedevelopment board on the plans and programs of theadvisory council; and

(d) For establishing a continuing program of collectionand dissemination of information regarding gifts andendowments.

4.4 At periodic intervals, the dean or director shail iay beforehis or her advisory council descriptions of currentdevelopment needs.

4.5 The work of all advisory councils shall be considered apart of the work of institution development boards.

Page 2 of 3


3. Definitions

None


None


Series: 60302

.~.

Regents' Rules and Regulations ~erjes 60.303 - Internal Foundations

6. Who Should Know



Office of External Re[3tions


December 10, 2004




Page 3 of 3

The University of Texas SystemRules and Regulations of the Board of.!R"e"g"e,-,n!!t"-s__~__-,S",e",r",ie",s",:",6",O",3",O,,,3

1. Title

Internal Foundations


Sec. 1 Creation. An internal foundation may be established to benefitan institution, or a school, college, or other comparable teat.;hingor research unit within an institution upon the recommendationof a development board or an advisory council, after approval ofthe president of the institution, the appropriate Executive ViceChancellor, the Chancelior, and the Board of Regents.

Sec. 2 Separate Groups Divisions and departments below the level ofa school, college, or other comparable teaching or research unitmay effectively work as separate groups within the framework ofthe advisory council and internal foundation Which repre~ents aschool or college or comparable teaching or research unit.Provisions for the designation of special funds to be used forspecific activities within the framp-work of the various internalfoundations and advisory councils will be made in order to avoidstifling the interest and initiative of these groups.

Sec. 3 Annual Review. There shall be an annual review of theactivities of each internal foundation to determine itseffectiveness; and, if it is unproductive for eHl unreasonablelength nf time, it shall be dissoived.

Sec. 4 Conformance with Board Rules. Every effort shall be made topermit a free range of initiative within the internal foundations,and their associated development boards and advisory councils,but activities must be in contormity with ruies of the Board ofRegents so as to permit maximum overall achievements in fundraising throughout the U. T. System.

.,,~ "-

Sec. 5 Expenditure of Funds. All internal foundation funds shail beappropriately accounted for in University endowment andrestricted fund accounts. As in the case of other Universityfunds, authorization for expenditure of all funds in internalfoundation nccounts is vested in the Board of Regents. Exceptfor those funds to be spent in accordance with the terms ofRegental acceptance, authorization for expenditure normally Will

be obtained during the annual institutional budget approvalprocess .

Page 1 of 6


Sec. 6 Standard Resolution. From and after October 24.1980, theBoard of Regents of The University of Texas System adopts thefollowing standard resolution form with regard to theestablishment and operation of internal foundations:

RESOLUTION OF THE BOARD OF REGENTSOF THE UNIVERSITY OF TEXAS SYSTEM

WHEREAS, There exists a clear and specific need for meansto finance the program of (name of schaol. college, or othercomponent unit) of The University of Texas (name of componentinstitution), In addition to the regular budgetary provisions, and

WHEREAS, It is the desire of interested person::; tu set up thefacilities to encourage and assist in such financing,

IT IS NOW RESOLVED, Thot the Board of Regents of TheUniversity of Texas System hereby establishes the (name)Foundation of the (name of school, college, or other componenf unit)of The University of Texas (name of component institution).

AND FURTHER, That the purpose of the said Foundationshall be to foster the understanding and dewlopment of the programsof the (name of school, college, or other component unit) at TheUniversity of Texas (name of component institution). and toencourage the making of gifts to the Foundation by deed, grant, will orotherwise for any purpose appropriate to the work of the Foundation.

1. The funds of the Foundation shall be devoted solely to theenrichment of the academic programs of the (name of schoof, college.or other component unit) of The University of Texas (name ofcomponent institution) and shall not be used for the ordinary operatingexpenses of the (name of school, college, or other component unit).

2. A donation to the Foundation may be made for a specificpurpose and may be given in the name of the donor or otherdesignation specified by the donor or may be given as unrestrir:tedfunds.

3. The Board of Regents shall hold, manage, control, sell,exchange, lease, convey. mortgage or othervvise encumber, invest orreinvest, and generally shall have power to dispose of in ~ny mannerand for any consideration and on any terms the said gifts, funds, orproperty in their discretion and shall from time to time pay Ollt of theincome, or if the income be insufficient, out of the principal. allexpenses of trust Rnd all expenditures incurred in furthering thepurposes of the trust.

4. Neither any donaliall to the (name) Foundation nor anyfund or property arising there from in whatever form it may take shallever be any part ofthe Permanent University Fund nor shall ttleLegislature have power or be in any way authorized to change the

Page 2 of 6


Sec. 7

purposes thereof or to divert such donation, fund or property fromthose designated purposes.

5. As in the case of other University funds, authorization forexpenditure of all funds from the Foundation shall be vested in theBoard of Regents and recommendations for such expenditures shallbe made by the (president) through the appropriate Executive ViceChancellor to the Chancellor and by the Chancellor to the Board ofRegents of The University of Texas System.

List of Foundations. Upon Regental approval of the standardresolution creating an internal foundation, the name of thefoundation will be added to the list below. The Counsei andSecretary to the Board of Regents shall prepare a copy of thestandard resolution in appropriate form for the Chairman'ssignature and shall distribute a copy to the appropriateExecutive Vice Chancellor, the Chancellor, and to the presidentof the component institution involved.

Date =-lFoundation Established

-----jThe University of Texas at Austin

John Charles Townes Foundation(School of Law) 6/27/42

---- -

Pharmaceutical Foundation of theCollegeof Pharmacy 12/10/52Fine Arts Foundation of the College ofFine Arts 12/1150

----

Architectural Foundation of the Schooiof Architecture 5/30/52

-

Genetics Foundation of the ZoologyDeoartment 3/28/52

._-----

The Psychological Research~_ul""!dation 5/29/53Geology Foundation of the Departmentof GeoloQY 10/24/53Engineering Foundation of the Collegeof Enqineering 3/11/55

-

College of Education Foundation(formerly Teacher EducationFoundation ~ 9/22/56) 12/12/76Social Work Foundation of the School ofSocial Work 10/1/66

---

Page 3 of6


~~l

-1-1

---l---lI

I1

II

--l-I

I- - ~

I

erly thechaolof9) 1/31/69

3/26/76~

nee6/20/69

ion 7/11/80undation 7/11/80ulof

10/9/87-12/3/87

5enter

- --10/15/55

rlington

gton1/28/67

ston

~

I Branch5/6/67

s

aso7/29/67

aso2(13/92

--

-----------

---- ---- ---Univers!!yCancer Foundation

The University of Texas at EI PFoundation

----c-The University of Texas at E\ PMiner Foundation---

r-------c- -----:--- ~-~-- -The University of Texas at A

l _

L-- _

The University of Texas Medica~eston Foun~0i!.

l The University of Texaat E' Paso

IThe University of Texas at Arlin

FFoundation _

lhe University of lexaMedica' Branch at Galves

I IDate)I Foundation Established __II

~I The University of Texas at Austin

Communication Foundation of the - 1- ~School of Communication (formIJournafism Foundation of the SJournalism - established 1/10/5Graduate School Foundation

- -------Graduate School of Library ScieFoundation

--~-

College of Liberal Arts FoundatCollege of Natural Sciences FaNursing Foundation of the SchoNursing _

~LOnghorn Founda_tio_n__

The University of TexaM. D. Anderson Cancer C

Page 40f 6


Foundation =--- _I ~:::blished IIThe University of Texas

atDalias ~ I

Ma nageme-n-;t-;S~c~h-ool Foundat~io~n~_ --+m-1/9~3=-_ =1----OT;o;che·U·n'iv-,-e-,-rsC;it-y-,-o·fT~ex-a-,-s--

Pan American

- --- --+~ ,=0--Bronc Foundation ~ 1017=/9=4_

-..-,,--.. -_ - __ --/--- - __ -----JThe University of Texas I

I of the Pennian Basin ILFaicon AlhleticClub£ounda'lio~n-- ----+~5~/111~·9~5__ =J

3. Definitions

Internal Foundation - As used in this Series, the term "internal foundation"means an accounting and administrative mechanism in the name of whichdevelopment boards and advisory councils may approach prospectivedonors. creaied by resolution of the Board of Regents of The University ofTexas System as set forth in Number 2, Section 6 of this Series. The termdoes not include any entity incorporated under the laws of Texas or anyother State and does not include any entity created by testamentary orinter vivos trusts. Internal foundations are unrler the jurisdiction nndcontrol of the Board of Regents and are governed by rules. regulations,policies, and procedures promUlgated by the Board.


None


None

-

6. Who Should Know

AdministratorsChief business officersDevelopment officers

Page 50f6



Office of External Relations


December 10,2004


Series: 60303



Page 6 016

The University of Texas SystemRules and Regulations. of the Board of Regents

1. Title

Internal Nonprofit Corporations


Series: 60304

Sec. 1 Management. An internal corporation is managed pursuant toits charter and bylaws and in accordance with the Regents'Rules and Regulations.

Sec. 2 List of Corporations. The following internal corporations arepresently authorized:

Internal Corporations~ate

I Established

The Aerospace Heritage Foundation 9/717,,-,,8__

fThe Universtty ofTexas System MedicalFFoundatiun 10/5/73 _The University ofTexas at Austin

ISchool of Law Continuing LegalEducations, Inc. =-1:/17/81

IThe University of Texas at Au-st~in-- .IScho",-oflaw Publications. Inc _ 8/17/81

3. Definitions

Internal Corporation - As used in this Chapter, the term "internalcorporation" means a nonprofit corporation chartered under the laws of theState of Texas under the Charter of which:

(1) the Board of Regents:

(a) /lets as the Board uf Directors or has the authority to appointor to approve or reject the appointment of the Board ofDirectors; and

(b) Has the allthority to approve amendments to the charter andbyiaws.

(2) the funds of whicn are deposit and accounted for in appropriateUniversity accounts.

Page 1 of 2

The University of Texas SystemBYles and Regulations of the Board of Regents


None


None

6. Who Should Know




B. Dates Approved or Amended

December 10, 2004


Series: 60304



Page 2 of2

The University of Texas SystemRules and Regulations olthe Board of Regents

1. Title

External Nonprofit Corporations


Series: 60305

Sec. 1 Acceptance of Gifts or Bequests. The Board of Regentsrecognizes that there are legally incorporated nonprofitorganizations (most having the word "foundation" in theircharter) whose sale purpose is to benefit The University ofTexas System, its institutions, or teaching, research, and otheractivities within those institutions. These organizations areadministered by boards of directors independent from thecontrol and supervision of the Board of Regents. Gifts orbequests from any such external organization must be acceptedand approved under gift acceptance policies.

3. Definitions

None


None


None

6. Who Should Know





December 10, 2004

Page 1 of 2

The University of Texas SystemRules and Regulations of the !l0"a"r"d...o"f-'R"e"'g"e"n"t"s e-CS"-e"'rC!i"'es"':c'6"'0,,3"0,,,5


Cluestions or comments regarding this rule should be directed to:


Page 2 of 2


1. Title

Use of University Resources


Series: 60306

Sec. 1 Chancellor's Authorization. Unless authorized by theChancellor, no officer or employee of The University of TexasSystem or any of its institutions shall accept remuneration fromor serve as an officer, director, employee, or agent of anexternal nonprofit corporation or an external entity that has asits primary objective the provision of funds or services for thefurtherance of the purposes and duties of the U. T. System orany of its Institutions. Any employee authorized by theChancellor to act in such a capacity shall not be involved in thenegotiation of the terms or conditions of any agreement relatingto the provision of funds, services, or property to the U. T.System or any of its institutions.

Sec. 2 No Service as an Agent. No officer or employee of theU.1. System or any of its institutions shall act as the agent forany corporation, association, organization, partnership, orindividual in the negotiation of the terms or conditions of anagreement relating to the provision of funds. services, orproperty to the U. T. System or any of its institutions by suchcorporation, association, organization, partnership, or individual.

Sec. 2 Compensation for Resources Used. The use of equipment,facilities, or services of employees of The U. T. System or anyof its institutions by an external nonprofit corporation or externalentity that has as its primary objective the provision of funds orservices for the furtherance of the purposes and duties of theU. T. System shall be permitted only in accordance with anegotiated agreement that provides for the payment ofadequate compensation for such equipment, facilities orservices.

3. Definitions

None


None

Page 1 of 2



None

6. Who Should Know

AdministratorsChiel Business OfficersDevelopment Officers




December 10. 2004

9. Conlacllnlormation

Series: 60306

Questions or comments regarding this rUle should be directed to:


Page 2 of 2

The University of Texas SystemRules and Regulations Qf the Board of "R"'e..,gL'"e"n..,ts'- -"S"e"r...ie"s":-'7...0"'1,,O.L1

1. Title

Authority to Accept and Manage Assets


Sec. 1 Acceptance of Real Property. The management and dispositionof interests in real property owned or controiled by the Board ofRegents, other than real property acquired and managed by theUniversity of Texas Investment Management Company(UTIMCO) for investment purposes. are governed by Series70301 of the Regents' Rules and RegUlations.

Sec. 2 Acceptance of Funds for Endowment or Life Income Funds. Allassets received by the Board of Regents to establish. or thatmodify, an endowment (other than the Permanenl UniversityFund), a fund functioning as an endowment, or a life incomefund shail be accepted and processed by the Office of ExternalRelations and, after acceptance and processing, shall bedelivered to the appropriate office for management.

Sec. 3 Acceptance of Funds from a Bequest, Trust, or Planned Gift. Ailassets received by the Board of Regents through a bequest. adistribution from an account held in trust by others, Dr for theestablishment or modification of any planned gift shail beaccepted and processed by the Office of External Relationsand, after acceptance and processing, shall be delivered to theappropriate office for management.

Sec. 4 Acceptance of Intellectual Property Rights. Rights in intellectualproperty received by the Board of Regents to establish ormodify an endowment, a fund functioning as an endowment, ora life income fund or received through a bequest, a distributionfrom an account held in trust by others, or for the establishmentor modification of any planned gift shall be aCG~pted andprocessed by the Office of External Relations and afteracceptance and processing, shall be delivered to theappropriate office for management in accordance with thisSeries. This Series shall not apply to rights in intellectualproperty owned or controlled by the Board except as provided inthis section.

Sec. 5 Management of Perrnanent University Fund (PUF) Assets. Allassets of the PUF. other then PUF lands, shall be managed hyUTIMCO or as otherwise directed by the Board of Regents.

Page 1 of 6

The University of Texas SystemRules and Regulations of the B,~o",a"rd"--"o",f~R"e"g",e"-n",ts",-~ ~-,S",e",r-"ie,,,s,,,:-,7C'0,-,1",0",1

Sec. 6 Management of Endowment and Lifp. Income Funds. All assetsreceived for or held in an endowment fund (other than the PUFj,a fund functioning as an endowment, or a life income fund shallbe managed by UTiMCO or as otherwise directed by the Boardof Regents.

Sec, 7 Management of Consolidated System Funds. All assets ofRetirement of indebtedness Funds, Bond Proceeds,Unemployment Compensation Funds. Workers' CompensationFunds, the Medical/Dentai Seif-Insurance Fund, the VisionServices Fund, the Student Health insurance Fund, the FlexibleBenefits Fund, the Roliing Owner-Controlled Insurance Fund,the Comprehensive Property Protection Plan, theComprehensive Property Protection Plan Catastrophic SelfInsurance Fund, the Director & OffICer/Employee PracticesInsurance Fund, the Resource Allocation Program and theMedical Liability Self-Insurance Fund ("consolidatedU, T, System funds") shall be managed with respect toinvestment of such funds as set forth below:

7,1 The Office of Business Affairs shall invest the Retirementof Indebtedness Funds, Bond Proceeds, UnempioymentCompensation Funds, Workers' Compensation Funds,the Medical/Dental Self-Insurance Fund, the StudentHealth Insurance Fund, the Fiexible Benefits Fund, theRoliing Owner-Controlled Insurance Fund, theComprehensive Property Protection Plan, theComprehensive Property Protection Plan CatastrophicSelf-Insurance Fund, the Director & Officer/EmployeePractices Insurance Fund, the Resource AllocationProgram and the Vision Services Fund in the samemanner that chief business officers may invest theoperating funds of each institution.

7.2 UTIMCO shall invest the Medical Liability Self-InsuranceFund in the Long Term Fund, Short Intermediate TermFund, and Short Term Fund as directed by the ViceChancellor and General Counsel.

Sec. R Management of Other Assets. Assets that are not a part of thePUF, an endowment fund, a fund functioning as an endowment,a life income fund, or consolidated U. T. Syslem funds shaH bemanaged as set forth in this section:

Page 2 of6


8.1 Tangible personal property shall be managed by theinstitution president.

8.2 Intangible personal property consisting of securities,interests in businesses, and equity interests intechnology transfer firms as set out in the Regents'intellectual property policy shall be managed by theinstitution president or by UTIMCO, as determined by theinstitution president. UTIMCO shall hold all stockcertificates of securities managed by, or held on behalfof, the institution president and shall assign, transfer, orsell such securities, as directed by the institutionpresident or his or her designees, in accordance with thisSeries Other intangible personal property shall bemanaged by the institution president.

8.3 The institution president may designate in writing one ormore committees, employees, officers, or other agents ofthe institution, or one or more outside managers tomanage any or all of the assets described in 8.1 or 8.2immediately above on behalf of the institution president.

Sec. g Authority to Execute Transactions - UTIMCO Pursuant 10 anInvestment Management Services Agreement, UTIMCO shallbe authorized to purchase, exchange, and sell, for and onbehalf of the PUF or the Board of Regents, any and alisecurities of any description and from any source, including giftsand bequests, registered in the name of the PUF or the Board,or in any other form of registration of such securities held for theaccount of the PUF or the Board in whatever manner, includingall fiduciary capacities and including those registered in tilenames of trusts or foundations managed and controiled by saidBoard. In addition, external investment managers appointed byUTIMCO may purchase, sell, or exchange securities, pursuantto written agreement with UTIMCO and in accordance with theapplicable Investment Policy Statement.

Sec. 10 Authority to Transact Through Investment Dealers. Sales,purchases, and exchanges by UTIMCO shall be effectedthrough investment dealers or brokers in accordance with theapplicable Investment Policy Statement.

Sec. 11 Authority to Execute Securities Transactions - Developmentand Gift Planning Services. The Executive Director, forDevelopment and Gift Planning SelVices shall be au1horized to

Page 3 of6


sell, for and on behalf of the Board of Regents, any and allsecurities received as gifts and/or bequests. registered in thename of the Board, or in any other form of registration of suchsecurities held for the account of the Board in whatever manner,including all fiduciary capacities and including those registeredin the names of trusts managed and controlled by said Board.

Sec 12 Authority to Assign and Transfer Securities Owned by the PlJFand the Board of Regents. UTIMCO may assign and transferany and all securities of any description and from any source,including gifts and bequests, and execute any and alldocuments necessary to the consummation of any sale,assignment, or transfer of any securities registered in the nameof the PUF or the Board, or in any other form of registration ofsuch securities held forthe account of the PUF or the Board Inwhatever manner, including all fiduciary capacities and inclUdingthose registered in the names of trusts or foundations manaQedand controlled by said Board. In addition, custodian banksappointed by UTIMCO may assign and transfer securities andexecute any and all documents necessary to the consummationof any sale, assignment, or transfer of any security owned bylhe Board.

Sec.13 Authority to Collect Money or Property - UTIMCO. UTIMCO isauthorized and empowered to seek, demand, collect, recover,and receive any and all sums of money, debts, dues, rights,property, effects, or demands due, payable, or belonging, or thatmay become due, payable, or belonging to the PUF or theBoard of Regents from any person or persons as a result of anyinvestment transaction and to execute any and all necessary orproper receipts, releases, and discharges therefore and anyother instruments as may be necessary or appropriate from timeto time relating to the handling, management, control, anddisposition of any investment.

Sec. 14 Authority to Collect Money or Property - External Relations.The Vice Chancellor for External Relations or the ExecutiveDirector for Development and Gift Planning Services isauthorized to seck, demand, collect, recover, and receive anyand ali sums of money, debts, dues, rights, property, effects. ordemands due, payable, or belonging, or that may become dueor payable to the Board of Regents from any person or personsas a result of, or relating to, a gift or bequest and to execute anyand all necessary or proper receipts, releases, and dischargesand any other instruments as may be necessary or appropriate

Page 4 of 6

The University of Texas SystemBuies and Regulations of the Board of Regents Series: 70101

from time to time relating to the receipt, handling, management,control, and disposition of any asset acquired by gift or bequestunless and until such time as the Office of Development and GiltPlanning SelVices has delivered the asset to another office formanagement purposes as provided in these Rules andRegulations.

Sec.15 Authority as Relates to Litigation. The authority granted inSections 13 and 14 above does not Include the authority toinstitute litigation on behalf of the Board of Regents or to settlecontested claims or litigation that may result in UTIMCO or theU. T. System receiving less than full vatue for the claim or thepayment of damages or awards. The settlement of anycontested claim or litigation for less than full value requires theprior approval of the U. T. System Vice Chancellor and GeneralCounsel and appropriate U. T. System officials, as set out in theRegents' Rules and Regulations Series 10501.

Sec 16 Authority to Execute Proxies and Consent to Modifications inBond Indentures - UTIMCO. UTIMCO is authorized to consentto modifications in bond indentures and to execute proxieswithin the approved investment policies.

Sec. 17 Authority to Use Book-Entry Form. Securities owned by thePUF or the Board of Regents may be delivered and maintainedby a custodian bank or a member bank of the Federal ReseflJeSystem in book-entry form subject to applicable law.

3. Definitions

Endowment funds - funds that typically have certain donor imposedrestrictions placed upon the principal and/or the funds available fordistribution (e.g., income and/or gains).

Custodian bank - a bank that prOVides custody services pursuant to anagreement with the Board of Regents or UTiMCO.

Member bank - one of the twelve Reserve Banks that comprise theFederal Reserve System.

4. Relevant Federal and State Stalutes

None

Page 5 of6



Series: 70101

Regents' Rules and Regulations SeI;"s_Jo§ol - Delegation to Act onBehalf of Board

Regents' Rules and Regulations S,eries 70_3_01 - Matters Relating to RealProperty

6. Who Should Know

AdministratorsUTIMCO


Office of Business AffairsOffice of Development and Gift Planning ServicesOffice of External RelationsOffice of General Counsel

B. Dates Approved or Amended

December 10. 2004




Page 6 of6


1. Title

Investment Policies


Series: 70201

Sec. 1 Permanent University Fund (PUF). The policies for theinvestment of funds for the PUF shall be those outlined in ThePermanent University Fund Investment Policy Statement.

Sec. 2 Investment Pools. The policies for the investment of funds forU. T. investment pools shall be those outlined in the applicableInvestmont Policy Statement EBch pooled fund established byThe University of Texas System shall be administered accordingto the U. T. System Separately Invested Endowment. Trust, andOther Accounts Investment Policy Statement. the fund's trustindenture. and applicable law.

Sec. 3 Endowments. Endowment funds and funds functioning asendowments will he managed in a manner consistent with thegoverning instrument, the U. T.. System Gift AcceptanceProcedures, and the investment standards set forth in theUniform Management of Institutional Funds Act (Texas PropertyCode Chapte, 163 et seq.). These funds will be invested in theLong Term Fund unless the terms of the instrument by whichthe endowment was created preclude commingiing of assets.Those endowments for which the terms of the instrumentpreclude the commingling of assets or for which illiqUid assetsare held will be separately invested

Sec. 4 Life income Funds. Life income funds will be invested andadministered consistent with the governing instrument. TheU. T. System Separately Invested Endowment, Trust, and OtherAccounts Investment Policy Statement. U. T. System GiftAcCEtRtance Procegures, and the investment standards set forthin the Texas Trust Code (Texas Property Code Section 111001.et seq.).

Sec. 5 System Medical Liability Fund. The Professional MedicalLiability Fund shall be administered in a manner consistent withall provisions of the System Professional Medical LiabilityBenefit Plan outlined in the Regents' Rules and RegulationsSeries 50501.

Page 1 of 3


Sec. 6 Other Accounts. Other Accounts as defined in the U. T. SystemSeparately Invested Endowment, Trusl, and Other AccountsInvestment Policy Statement shall be invested and administeredconsistent with that policy.

Sec. 7 Required Reports. The following annual reports are required.

7.1 The investment performance of the PUF, InvestmentPools, Endowments, and Life Income Funds asmeasured by an unaffiliated organization, shallbe reported to the Board of Regents at least annually.

7.2 The nature and extent of any investments in or businesstransacted with any firm with which a director, officer oremployee of UTIMCO is affiliated will be reported to theBoard of Regents annually.

Sec. 8 Authorization to Protect Investments. UTiMCO is authorized totake any and all steps as may be considered necessary oradvisable to protect the interest of the PUF, Investment Pools,Endowments, and Ufe income Funds in event of default or anyother significant changes occurring with respect to anyinvestment.

Sec. 9 Stock Rights and Warrants. Exercise of or sale of stock rightsand warrants is to be made at the discretion of UTIMCO.

Sec. 10 Fractional Shares. Fractional shares that arise in connectionwith funds under control of UTIMCO shall be handled at itsdiscretion.

Sec. 11 Voting Stocks. As a general rule, voting stocks held are to bevoted by UTIMCO pursuant to its proxy voting policy.

3. Definitions

None


Texas Property Code Chapter 163 - Management, Investment andExpenditure of Institutional Funds

Texas Property Code Section 111.00~ - Trusts

Page 2 of3



Series: 70201

Regents' Rules and Regulations Series 50501 - Liability Insurance forStudents

Permanent University Fund Investment Policy Statement

General Endowment Fund Investment Policy Statement

Permanent Health Fund Investment Policy Statement

LonfLIerm Fund InvestmentPolicy Stalel11~n)

Short Intermediate Term Fund Investment Policy Statement

Separately Invested Accounts Investment Policy Statement

Short Term Fund Investment Policy Statement

liqUidity Policy

6. Who Should Know


7. System Administration Offlce(s) Responsible for Rule

Office of Business AffairsOffice of External RelationsOffice of General Counsel


December 10, 2004


Questions or comments reqarding this rule should be directed to:


Page 3 of3


1. Title

Interest Rate Swap Policy


Series: 70202

Sec. 1 Authority. Texas Education Code Chapter 55 and TexasGovernment Code Chapter 1371 authorize The University ofTexas System to enter into interest rate swap transactions andrelated agreements. Pursuant to this authority, the Board ofRegents approved the Eighth Supplemental Resolution to theMaster Resolution, authorizing the System to enter into MasterSwap Agreements with certain counterparties, in 1999.

Sec. 2 Purpose. This policy will govern the use by the U. T. System ofinterest rate swap transactions for the purpose of eitherreducing the cost of existing or planned Revenue FinancingSystem debt, or to hedge the interest rate of existing or plannedRevenue Financing System debt. By using swaps in a prudentmanner, the U. T. System can take advantage of marketopportunities to reduce costs and reduce interest rate risk. Theuse of swaps must be tied directly to U. T. System debtinstruments. The U. T. System shall not enter into swaptransactions for speculative purposes.

Sec. 3 Legality/Approval. To enter into a Master Swap Agreement(which governs each swap transaction), the U. T. System mustreceive: 1) approval from the Board of Regents; 2) approval bythe Texas Attorney General, 3) approval from the Texas BondReview Board, and 4) an opinion acceptable to the AuthorizedRepresentalive from bond counsei that the agreement relatingto the swap transaction is a legal, valid, and binding obligationof the U. T. System and that entering into the transactioncomplies with applicable State and federal laws.

Sec. 4 Form of Agreements. Each new Master Swap Agreement shallcontain terms and conditions as set forth in the InternationalSwaps and Derivatives Association, Inc. (ISDA) MasterAgreement, as amended, and such other terms and conditionsinclUding schedules and confirmations as deemed necessary byan Authorized Representative.

Sec. 5 Methods of Procuring Swaps. Swaps can be procured viacompetitive bids or on a negotiated basis.

Page 1 of 6


5.1 Competitive. The competitive bid should include aminimum of three firms with counterparty credit ratings of'A' or 'A2' or better from Standard & Poor's or Moody's,respectively. An Authorized Representative may allow afirm or firms not submitting the bid that produces thelowest cost to match the lowest bid and be awarded up to40% of the notional amount of the swap transaction.

5.2 Negotiated. An Authorized Representative may procureswaps by negotiated methods in the following situations:

(a) A determination is made by an Authorizedrepresentative that due to the complexity of aparticuiar transaction, a negotiated bid would result inthe most favorable pricing.

(b) An Authorized Representative makes a determinationthat, in light of the facts and circumstances, doing sowill promote the System's interests by encouragingand rewarding innovation.

Sec. 6 Management of Swap Transaction Risk. Certain risks arecreated when the U. T. System enters into any swaptransaction. In order to manage the associated risks, guidelinesand parameters for each risk category are as follows:

6.1 Value Owned by Counterparty. To limit and diversify theU. T. System's counterparty risk and to monitor creditexposure to each counterparty, the U. T. System may notenter into a swap transaction with an otherwise qualifiedcounterparty unless the cumulative mark-to-market valueowed by the counterparty (and its unconditionalguarantor, if applicable) to the U. T. System shall be lessthan or equal to $30 million.

6.2 Calculation of Value Owned. The $30 million limitationshall be the sum of ail mark-to-market values betweenthe subject counterparty and the U. T. System regardlessof the type of swap transaction, net of collateral postedby the counterparty. Collateral will consist of cash, U. S.Treasury securities, and Federal Agency securitiesguaranteed unconditionally by the full faith and credit ofthe U. S. Government. Collateral shall be deposited witha third party trustee acceptable to U. T. System or as

Page 2 of6

The University of Texas SystemRyles and RegUlations 01 the Board 01 Regents Series: 70202

mutually agreed upon between U. T. System and eachcou nterparty_

6.3 Limits Based on Credit R<lting. Specific limits bycounterparty are based on the cumulative mark-to-markelvalue of the swap{s) and the credit rating of thecounterparty. The limits are as follows:

(a) AAA / Aaa$30 million(b) AA+ / Aal$25 million(c) AA I Aa2$20 million(d) AA- / Aa3$15 million(e) A+ I Al$10 million(I) A / A2$5 million

6.4 Downgraded Rating. If counterparty's credit rating isdowngraded slIch that the cumulative mark-ta-marketvalue of all swaps between counterparty and theU. T. System exceeds the maximum permitted by thispolicy, the counterparty must terminate a portion of theswap, post collateral, or provide other crenitenhancement that is satisfactory to the U. T. System andensures cumpliance with this policy.

Sec. 7 Tennination Risk. The U. T. System shall consider the merits ofincluding a provision that permits it to optionally terminate aswap agreement at any time over the term of the agreement(elective termination right). In general, exercising the right tooptIonally terminate an agreement should produce a benefit tothe U. T. System, either through receipt 01 a payment from atermination, or jf a termination payment ;s made by theU. T. System, a r:onversion to a more beneficial debt instrumentor credit relationship. If no other remedies are available, It ispossible that a termination payment by the U. T. System may berequired in the event of termination of a swap agreement due toa counterparty default or following a decrease in credit rating.

Sec. 8 Amortization Risk. The amortization schedules of the debt andassociated swap transaction should be closely matched for theduration of the swap. Mismatched amortization schedules canresult in a less than satisfactory hedge and create unnecessaryrisk. In no circumstance may the term of a swap transactionextend beyond the linal maturity date of the affeeted debtinstrument, or in the case of a refunding transaction, beyond thefinal maturity date of the refunding bonds.

Page 3 016


Sec. 9 Basis Index Risk. Basis risk arises as a result of movement inthe underlying variable rate indices that may not be in tandem,creating a cost differential that could result in a net cash outflowfrom the U. T. System. Basis risk can also result from the useof floating, but different, indices. To mitigate basis risk, anyindex used as part of an interest rate swap agreement shall be arecognized market index, including but not limited to the BondMarket Association Municipal Swap Index (BMA) or the LondonInterbank Offered Rate (L1BOR).

Sec. 10 Tax Risk. Tax risk is the risk that tax laws will change. resultingin a change in the marginal tax rates on swaps and theirunderlying assets. Tax risk is also present in all tax-exemptdebt issuances. The Office of Finance will need to understandand document tax risk for a contemplated swap transaction aspart of the approval process.

Sec. 11 Annual Reporting. The Annual Financial Report prepared bythe U. T. System and presented to the Board of Regents willdiscuss the status of all interest rate swaps. The report shallinclude a list of all swaps with notional value and interest rates,a list of counterparties and their respective credit ratings, andother key terms.

3. Definitions

Counterparty Long-Term Debt Rating - lowest prevailing rating fromStandard & Poor's I Moody's maximum cumulative mark-to-market valueof swaps owed to System by counterparty (net of collateral posted).

Authorized Representative - includes the Vice Chancellor for BusinessAffairs, the Vice Chancellor and General Counsel, the Associate ViceChancellor for Finance, and the Director of Finance.

BMA Index - the Bond Market Association Municipal Swap Index, theprincipal benchmark for the floating rate payments for tax-exempt issuers.The index is a national rate based on a market basket of high-grade,seven-day, tax-exempt variable rate bond issues.

Counterparty - a participant in a swap or other derivatives agreement whoexchanges payments based an interest rates or other criteria with anothercounterparty.

Page 4 of6

The University of Texas SystemRyles and Regulations of the Board of Re",gl!;e~n!-"ts~ -,S,-,e,<rj!ie"s"-:27-,O,,2~02

Hedge - a transaction entered into to reduce exposure to marketfluctuations.

Interest Rate Swap - a transaction in which two parties agree to exchangefuture net cash flows based on predetermined interest rate indicescalculated on an agreed notional amount. The swap is not a debtinstrument and thp.re is no exchange of principal.

ISDA Master Agreement - the International Swaps and DerivativesAssociation, Inc, is the global trade association for the derivatives industry.The ISDA Master Agreement is the basic governing document that servesas a framework for all interest rate swap, swap enhancement, andderivative transactions between two caunterparties. It is a stannard formused throughout the industry. It is typically negotiated once, prlorto thefirst transaction, and remains in force for all subsequent transactions.

London Interbank Offered Rate (UBOR) - the rate of Interest at whichbanks borrow funds from other banks in the London interbank market. It isa commonly used benchmark for interest rate transactions ranging fromone month to one year.

Mark-ta-Market - calculation of the value of a financial instrument (like aninterest rate swap) based on the current market rates or prices of theunderlying indices.

Master Resolution - the Amended and Restated Ma:$ter ResolutionEstablishing The University of Texas System Revenue Financing System,adopted on February 14, 1991, amended on October 8,1983 and August14, 1997, and each supplemental resolution thereto authorizing paritydebt.

Notional Amount - the size of the interest rate swap and the dollar amountused to calcUlate interest payments.


Texas Education Code Ch.gpter 55 - Financing Permanent Improvements

Texas Government Code Chapter 1371 - Obligations for CertainGuvernment Improvements


None

Page 5 of 6


6. Who Should Know

Administrators




December 10, 2004


Series: 70202



Page 6 of6

The University of Texas SystemRules and Regulations of the Board of Rege"'n"t"'s'- "'S"'e'"'ri"'e"s~: !.-70,!;3",O!!..!.1

1. Title

Matters Relating to Real Property


Sec. 1 Management of Real Property Generally. All interests in realproperty owned or controlled by the Board of Regents shall beadministered and managed by System Administration's RealEstate Office, except Permanent University Fund lands, realproperties used for institutional purposes. and real propertyinvestments managed by UTIMCO. "Institutional purposes"shall not include use solely to generate funds for the institution.

Sec. 2 Management of Real Properties Used for Institutional Purposes.All interests in reai property owned or controlled by the Board ofRegents dnd used for institutional purposes shall beadministered and managed by the institution. with theassistance and supeNision of U. 1. System Administration'sReal Esfate Office.

Sec. 3 Management of Permanent University Fund Lands. PermanentUniversity Fund lands shall be administered and managed byU. T. System Administration's West Texas Operations Office.

Sec. 4 Delegation of Authority. Subject to sections 4.1, 4.2, and 4.3beiow and the general provisions of Series 10501 of theRegents' Rules and Regulations and except as otherwisespecified in these Rules and Regulations. the Board of Regentsdelegates to the Executive Vice Chancellor for Business Affairsor a designee specified in writing the authority to execute anddeliver on behalf of the Board contracts, agreements, and otherdocuments or instruments regarding or conveying interests in,real property owned or controlled by the Board, includingPermanent University Fund lands; real property acquired bypurchase. gift, or bequest, and reat property used forinstitutional purposes. The authority granted in this section shallinclude all instruments necessary and convenient relating to themanagement, control, sale, acquisition, lease, and disposition ofany real property, including mineral in1erests, owned orcontrolled by the Board, and licenses, permits for activities onsuch lands, and instruments relating to mortgages.

4.1 The delegate shall comply with all guidelines issued byU. T. System Administration's Office of General Counsel.

Page 1 of 4


4.2 The delegate shall con~ult with the instItutional chiefbusiness officer prior to approving and executing anyagreement or instrument relating to lands used or to beused for institutional purposes.

4.3 The authority granted by this section to execute anddeliver bindIng contracts, agreements, and otherdocuments or instruments relating to the acquisition ofreal property applies only if the real property is within aCampus Master Plan approved by the Board of Regentsor if the matter is an easement or other similar agreementnecessary to implement projects approved by the Boardin the Capital Improvement Program and the CapitaiBudget

Sec. 5 Board for Lease. The Board of Regents delegates to theExecutive Vice Chancellor for Business Affairs authority to takeany action on behalf of the Board as may be necessary ordesirable with regard to the management and administration ofoil and gas leases and other Instruments issued by the Boardfor Lease of University Lands, including without limitation,promUlgating forms and requiring submission of documents,records, or reports to verify gross production, and dispositionand market value of the production.

Sec. 6 Tltie. Trlie to ali interests in real property, including ieaseholdinterests, held for the use or benefit of the U. T. System, anInstitution, or otherwise shali be heid in the name of the Board ofRegents.

Sec. 7 Planned Gifts and Bequests. The Office of Development andGift Planning Services shall, in accordance with applicabieBoard of Regents policies, process and administer the re:ceipt ofreal property received by the Board through a bequest. aninterest in an account held in trust, a gift to establish or modifyan endowment (other than the Permanent University Fund), afund functioning as an endowment. or a life income or annuityfund. The Office of Development and Gift Planning Servicesshali promptly nofify the Reai Estate Office and University Lands- West Texas Operations of gifts of surtace and mineral estatesin real property received, processed, and administered pursuantto this section to be managed by the Real Estate Office andUniversity Lands - West Texas Operations, respectively. Thissection shall not apply to current purpose gifts of surfacp. and

Page 2 of 4


mineral estates in real property (other than gifts receivedthrough a bequest or a tru::il) or additlons to an eXIstingendowment, a fund functioning as an endowment, or a lifeincome or annuity fund if the addition does not change or modifythe purpose of the endowment or fund.

Sec. 8 Current Purpose Gifts. The Reai Estate Office and UniversityLands - West Texas Operations shall, in accordance with Boardof Regents policies, process and administer the receipt of allgifts of surface and mineral estates in real property that are notprocessed and administered in accordance with Section 7above, unless the property is used as campus property by thecomponent institution. The institution shall manage rer'llproperty used for campus purposes.

Sec. 9 Rents, Mortga~es, and Other Charges. The Board deiegates toU. T System Administration's Real Estate Office authority tocollect, and account for, all rents, mortgages, and other chargesrelating to real property managed by that Office.

3. Definitions

None


None


None

6. Who Should Know

Administrators




December 10, 2004

Page 30f4



Series: 70301



Page 4 of4

_.The University of Texas SystemRules and Regulations of the Board of Regents

1. Title

Oversight Responsibilities for UTIMCO


Series: 70401

Sec. 1 Chancellor. The Chancellor of The University of Texas Systemserves on the Board of Directors of The University of TexasInvestment Management Company (UTIMCO). The Chancelloroversees the operations of UTIMCO and coordinating interaction between the U. T. System and UTIMCO, ensures thatUTIMCO implements the core investment functions delegated toit in conformance with these Rules and Regulations, theInvestment Management Services Agreement. and theInvestment Policy Statements adopted by the Board of Regents,and directs UTIMCO in areas other than core investmentfunctions, such as relations with the media, intergovernmentalrelations, and public disclosure issues.

Sec. 2 Executive Vice Chancellor for Business Affairs. The ExecutiveVice Chancellor for Business Affairs designates and supervisesthe U. T. System liaison to UTIMCO, overseeing audits andinvestment performance assessments of UTIMCO, andreviewing bUdgetary and investment reports submitted byUTIMCO.

Sec. 3 Vice Chancellor and Generai Counsel. The Vice Chancellorand General Counsel oversees legal services provided toUTIMCO by outside legal counsel, consistent with therequirements of the Texas Disciplinary Rules of ProfessionalConduct, and providing counsel, advice, and legalinterpretations to the Board of Regents, the Chancellor, andother U. T. System officials concerning UTIMCO-related issues.

Sec. 4 System-wide Compliance Officer. The System-wideCompliance Officer is responsible, and will be held accountablefor, apprising the Chancellor and the Audit, Compliance, andManagement Review Committee of the institutional compliancefunctions and activities at UTIMCO The System-wideCompliance Officer provides institutional compliance assistanceto the Chief Compliance Officer of UTIMCO in the exercise oftheir responsibilities and prescribes the format for the annualrisk based compiiance plan and the quarterly compliance statusreports to be submitted by UTiMCO

Page 1 of 2


3. Definitions

None


None


None

6. Who Should Know





December 10,2004


Series: 70401



Page 2 of2


1. Title

Category of Facilities and Authorized Users


Series: 80101

Sec. 1 Category of Facility. The property or buildings, owned orcontrolled by The University of Texas System are not open forassembly, speech, or other activities as are the public streets,sidewalks, and parks. The responsibility of the Board ofRegents to operate and maintain an effective and efficientsystem of institutions of higher education requires that the time,place, and manner of assembly, speech, and other activities onthe grounds and in the buildings of the U. T. System or any of itsinstitutions be regulated. Acting pursuant to the generalauthority of Texas Education Code Chapter 65, and the specificauthority of Texas Education Code Chapter 51. the Boardadopts and promulgates rules related to the use of buildings andgrounds for purposes other than programs and activities relatedto the role and mission of the U. T. System and its institutions.

Sec. 2 Authorized Users. No person, organization, group, association,or corporation may use property or buildings owned orcontrolled by the U. T. System or any of its institutions for anypurpose other than in the course of the regular programs oractivities related to the role and mission of the U. 1. System andits institutions, unless authorized by the Regents' Rules andRegulations. Any authorized use must be conducted incompliance with the provisions of the Regents' Rules andReguiations, the approved rules and regulations of theinstitution, and applicable federal, State, and local laws andregUlations.

Sec. 3 Identification Required. Pursuant to the authority conferredupon the Board of Regents by Texas Education Code S"clion51.209, in order to protect the safety and welfare of students,employees, patients, and other participants in the programs andactivities of the U. T. System and its institutions and to protectthe property and bUildings of the U. T. System and itsinstitutions, it shall be unlawful for any person who is on anyproperty or In a bUilding owned or controlled by the U. T.System or any of its institutions to refuse to identify himself orherself in response to a request by an institutionalrepresentative. For the purpose of this Section, a personidentifies himself or herself by: (1) giving his or her name and

Page 1 of 3


complete address substantiated by a current driver's license,voter registration card, or other official documentation; and (2)stating truthfully whether he or she is a student or employee ofthe U. T. System or any of its institutions For the purpose ofthis Section, an "institutional representative" is:

3.1 Any member of the Board of Regents or the Counsel andSecretary to the Board;

3.2 Any executive officer or administrative officer of theU. T. System or any Df its institutiDns;

3.3 Any attorney of the U. T. System or its institutions; and

3.4 Any peace officer Dr security officer of the U. T. Systemor any of its institutions acting pursuant to authority ofTexas law.

Sec. 4 Refusai to Identify. Any person who refuses to identify 11imselfor herself in accordance with this Subsection may be convictedof a misdemeanor punishable by a fine of not more than $200.Students, faculty, or staff who refuse to identify themselves inaccordance with this Series are also subject to disciplinaryaction

3. Definitions

None


Texas Education Code Chapter 65 - Administration of The University ofTexas System

Texas Education Code Section 5J..202 - Rules and Regulations


None

6. Who Should Know

AdministratorsFacultyStaff

Page 2 of 3


StudentsPolice Officers




December 10, 2004


Series: 80101



Page 3 of3


1. Title

Alcoholic Beverages


Series: 80102

Sec. 1 Prohibition. The use of alcoholic beverages is prohibited onproperty and in buildings owned or controlled by The Universityof Texas System or any of its institutions. However, theChancellor of the U. T. System orthe president of an institutionmay waive this prohibition with respect to any event sponsoredby the U. T. System or any of its in~titutions. An event issponsored if a bUdgeted office, department, or division of theU. T. System or any of its institutions is responsible fororganiZing the event, inviting attendees and paying expensesrelated to the event, except that such an event is considered tobe sponsored even if an outside entity pays for the food andbeverages at the event. Meetings or events organi7ed andpresented by registered faculty, staff, or student organizationsare not events sponsored by the U. T. System or any of ItsInstitutions.

Sec. 2 Does Not Apply. Section 1 immediately above does not apply toareas that are licensed under State law for the sale and serviceof alcoholic beverages, to a Special Use Facility during use bya non-institutional individual, group, association, or corporationfor purposes permitted by the Regents' Rules and ReguiationsSeries 8106, or to property, buildings, or facilities that areoccupied by a third party pursuant to a written lease oroccupancy agreement that does not specifically excludealcoholic beverages.

Sec. 3 Strict Enforcement. State law relating to alcoholic beverageswili be strictly enforced at ali times on property and in buildingsowned or controlled by the U. T. System or any of itsinstitutions.

3. Definitions

None


Texas Education Code Section 51.202 - Rules and Regulations

Pagelof2

The University ofTexas SystemRules and Regulations of the Board of Regents


Series: 80102

Regents' Rules and Regulations §eries 80106 - Special Use Facilities

6. Who Should Know

FacultyStaffStudentsPolice Officers




December 10. 2004



• bor@utsystemedu

Page 2 of 2


1. Title

Solicitation


Series: 80103

Sec. 1 Prohibition of Solicitation. No solicitation shall be conducted onany property, street, or sidewalk, or in any building, structure, orfacility owned or controlled by the U. T. System or any of itsinstitutions unless permitted by the Regents' Rules andRegulations.

Sec. 2 Exceptions to Prohibition. The following activities shall not bedeemed solicitations prohibited by this Series when conductedin accordance with the approved rules and regulations of theU. T. System or any of its institutions. Such activities must beconducted in a manner that does not disturb or interfere with theacademic programs or administrative activities of the U. T.System or any of its institutions or any program or activity that isconducted by or is authorized by the U. T. System or any of itsinstitutions; does not interfere with entry to or exit from abuilding. structure. or facility; does not interfere with the flow ofpedestrians or vehicular traffic on sidewalks or streets or atplaces of ingress and egress to and from property, buildings, orfacilities; does not harass, or intimidate the person or personsbeing solicited; and does not violate applicable State. federal, orlocal laws or regulations:

2.1 Newspapers and Magazines. The distribution. sale. oroffer for sale of a newspaper, magazine, or otherpublication by means of an unattended rack or vendingmachine in area(s) designated in advance by theChancellor of the U. T. System or the president of aninstitution or his or her delegate for the direction of suchactivity.

2.2 Food and Drink. The sale or offer for sale of food. drink.or any other product that may be lawfully sold by meansof a vending machine that is operated by theU. T System or a subcontractor, under an approvedwritten agreement, in an area designated in advance bythe Chancellor of the U. T. System or the president of aninstitution or his or her delegate.

Page 1 of 12


2.3 Publications. The sale or offer for sale by theU. T. System or a subcontractor, under an approvedwritten agreement, of any publication of the U. T. Systemor any of its institutions or of any book or other printedmaterial to be used in the regular academic work of aninstitution.

2.4 Services. Any service or service facility for theconvenience of the students, staff, faculty, patients, orbona fide visitors that is operated or maintained by theU. T. System or any of its institutions or by asubcontractor or lessee of either, under an approvedwritten agreement, including, but not limited to: (1) anybookstore, specialty store, laundry, phamracy, cafeteria,or food service; (2) a child care facility limited to childrenor bona fide dependents of students, facuity, or staff;(3) a State Dr federal credit union with membershiplimited primarily to students, faculty, and staff of the U. T.System or any of its institutions and other areainstitutions of higher education, and the officers andemployees of organizations closely related to thecomponent institution's educational mission, such as --..officially recognized alumni associations and cooperativebookstores; (4) private post office boxes under anapproved written agreement that limits the use tostudents, faCUlty, and staff of the institution;(5) unmanned teller machines and drop-boxes forexpress delivery services that are located and maintainedunder an approved written agreement that prohibitsadvertising the location of the unmanned teller machineor drop-boxes to the general public; or (6) a travel agencyunder an approved written agreement that limits the useprimarily to students, faculty, and staff of the institutionand prohibits advertising the institutional location of thetravel agency to the general public.

2.5 Sale of Items at Events. The sale or offer for sale by theU. T. System or any of its institutions or a subcontractor,under an approved written agreement, of food, drink,souvenirs, novelty items, and programs at athleticcontests or other programs or events sponsored orauthorized by the U. T. System or any of its institutions.

2.6 Collections and Sales by University Organizations. Thecollection of contributions or the sale of merchandise,

Page 2 of 12


publications, food, or nonalcoholic beverages by thestudents' association or by a registered student, faculty,or staff organization. A students' association or aregistered student, faculty, or staff organization may notconduct such solicitation activities on behalf of or for thebenefit of any indiVidual, association, organization,corporation, or group of individuals that is not registeredas a student, faculty, or staff organization or that is nototherwise qualified under the criteria of Section 2.9immediately below to conduct solicitation. In the case ofspecific drives for disaster relief, the chief student affairsofficer of the institution may approve a drive thatcomplies with all other requirements of Section 2immediately above. Texas law allows a registeredstudent organization to be relieved from State sales taxliability in certain circumstances detailed in the Texas TaxGoel-ft. All proposed sales events are subject toapplicable provisions of these Rules and to otherinstitutional policies concerning the time, place, andmanner of solicitation. The items offered for sale may notbe items that the organization has obtained onconsignment.

2.7 Collections of Fees or Dues. The collection ofmembership fees or dues by registered stUdent, faculty,or staff organizations at meetings of such organizationsscheduled in accordance with the facilities use regulations of any institution.

2.8 Admission Fees. The collection of admission fees for theexhibition of movies or for other programs that aresponsored or presented by the U. T. System or any of itsinstitutions or, if permitted by and scheduled inaccordance with the approved rules and regulations ofthe institution, by the students' association or by aregistered student, faculty, or staff organization.

2.9 501(c)(3) Organizations. Solicitation of funds by anyorganization that can present to the Chancellor of theU. T. System or the president of the institution, or his orher delegate, written evidence from the Internal RevenueSeNice that the organization has been granted anexemption from taxation under Internal Revenue CodeSection 501 (c)(3). Such solicitation must be conductedin an area(s) designated for that purpose by the chief

Page 3 of 12


administrative officer or his or her delegate. Personssoliciting on behalf of an organization must havecredentials identifying them as authorized agents of theorganization. Permission to solicit shall not be used bythe organization as an endorsement by the U. T. Systemor any of its institutions. No organization may solicitunder this subdivision for more than a total of 14 days,whether continuous or intermittent, during each Statefiscal year.

2.10 Goods and Services for Residence Halls. Occasionalsales or offers of sales of goods or services that complywith applicable federal, State, and local laws andregulations and are conducted solely for the resident(s)of an individual university residence hall room or anindividual apartment when a resident of such room orapartment has given specific invitation in advance forsalespersons to come to the individual residence hallroom or individual apartment for that purpose. Thisexception does not authorize sales or offers of sales ofgoods or services within a university residence hall roomor apartment by the occupant, door-to-door sales oroffers of sales of goods or services, or sales or offers ofsales of goods or services to persons who are present inan individual residence hall room or apartment but arenot residents of such room or apartment.

2.11 Event Sponsors. Under the terms of an approved writtenagreement, the acknowledgement of a sponsor of anintercollegiate athletics department or athletic event of aninstitution may be displayed on the official Web page ofsuch athletics department and, at the option of thesponsor, a textual hypertext link and/or a graphichypertext link to the Web page of the sponsor may alsobe displayed. Such agreement may also provide for anacknowledgement of the sponsor to be announced over apublic address system, displayed on a scoreboard orelectronic message center, or displayed by other meansat locations designated for that purpose in athleticfacilities pursuant to an approved policy of the institution.The content of such acknowledgement and any use ofthe name, logos. symbols, or marks of an institution bythe sponsor must be according to established formatsapproved by the Trademark Licensing Director or, jfnonstandard, have the prior written approval of the

Page 4 of 12


Trademark Licensing Director. See also The Universityof Texas System Business Procedures Memoranda NQ_.62 Guidelines for Web Site Solicitations.

2.12 Electronic Message Centers. Advertising displayed onan outdoor electronic marquee or message center ownedand operated by the U. T. System or any of itsinstTlutions.

2.13 Athletic Tournaments. Advertising and merchandisedisplayed at an athletic tournament that is sanctioned bythe official national or international organization for suchathletic competitions, provided that, such advertising nndmerchandise is required to be displayed under the termsof one or more contractual agreements between suchorganization and one or more sponsors and suchcontracts were in effect prior to the date that an institutionwas selected as the site for the tournament.

2.14 Raffle Tickets. The sale or offer for sale by a registeredstudent organization of charitable raffle tickets on behalfof an organization that is authorized to conduct acharitable raffle under the provisions of TexasOccupations Code Section 2002.001 et seg.

2.15 Computer Hardware and Software. The display anddemonstration by manufacturers and distributors ofpersonal computer hardware and software suitable foruse by students and faculty in the academic programs ofan institution and the presentation of information anddemonstrations related to remote networks for personalcomputers by entities that provide access to suchnetworks. Such activities may be conducted once eachacademic year upon invitation by the president of theinstitution or his or her delegate and must be limited tothe time and place designated by and under guidelinesspecified and controlled by the institution Amanufacturer or distributor of personal computerhardware or software or an entity that provides access toremote networks for personal computers may not makesales or tClke orders.

2.16 Benefit Pian Information. The distribution or presentationto officers and employees of the U. T. System or any ofits institutions of rnaterial related to health benefit plans,

Page 5 of 12


life insurance, tax sheltered annuities, retirement plans orprograms, or other benefits that are available to suchofficers and employees through employee benefit plansor programs offered by or approved by the U. T. Systemor any of Its institutions. Such material may bedistributed or presented only at the Office of HumanResources of the U. T. System or any of its institutions, atthe benefits office of a health profession practice plan ofa health institutron, or at meetings scheduled for thatpurpose pursuant to guidelines established by theU. T. System Office of Human Resources. Thoseccmpanies that are currently authorized OptionalRetirement Program vendors may, at the invitation of theU. T. System or any of its institutions, be permitted toengage in on-campus group seminnrs for the purpose ofproviding education, product marketing, and participantenrollment, SUbject to such rules and limitations as theU. T. System may deem necessary and appropriate.Currently authorized Optional Retirement Programvendors may advertise such on~campus meetingsthroughout the institution, subject to prior approval by theinstitution. The term "currently authorized OptionalRetirement Program vendor" means a company that hasa current contractual agreement with the U. T. System toprovide Optional Retirement Program product~ to officersand employees of the U. T. System or any of itsinstitutions but does not include those companies withgrandfathered Optional Retirement Program parlicipationor vendors of Tax Sheltered AnnUity products or services.

2.17 Employee Discount Programs. The distribution orpresentation to employees Df the U. T. System and anyof its institutions of material related to products andservices offered by companies that provide employeediscount programs, merchandise membership programs,credit union and banking programs, or other benefits thatare available to such officers and employees throughdiscount pians or programs approved by theU. T. System or any of its institutions. Such material maybe distributed or presented by the Office of HumanResources of the U. T. System or any of its institutions,with the approval of the Institution's president, and placedon institution web pages for the purpose of providingeducation, product and selVice information, andparticipant enrollment, in accordance with guidelines

Page 6 of 12


promulgated by the Executive Vice Chancellor forBusiness Affairs.

2.18 Employees. Solicitation by the officers or employees ofthe U. T. System or any of its institutions acting in thecourse and scope of their authority.

2.19 Printed Material from U. T. Organizations. Subject to theinstitution's reasonable and nondiscriminatory rulesconcerning the time, place. and manner of distribution,sale, or display of material, the distribution, saJe, ordisplay by a students' association or a registered student,faculty, or staff organization of printed material (includingany newspaper, magazine, or other publication, anyleaflet, flyer, or other informal matter or any sign, banner,or exhibit), or the distribution or display of such material,at no cost, by individual students, faculty, or staff, or oralstatements by students, faculty, staff, or theirassociations or registered organizations. A publicationwithin this rule may contain paid advertising, but only ifthe publication is devoted to promoting the views of anot-for-profit organization or to other bona fide editorialcontent distinct from the advertising. Printed materialand oral statements under this rule may also containadvertising for academic or administrative units of theU. T. System or any of its institutions, for registeredstudent, faculty, or staff organizations, or fororganizations that are not operated for profit. This ruledoes not authorize any form of advertising except asprovided in the preceding two sentences. This rule doesnot authorize distribution, sale, or display of anypublication operated for profit. An organization orpublication is operated for profit if any part of the netearnings of its operation or distribution inures to thebenefit of any private shareholder or individual.

2.20 Commonly Used Services. The display and distributionof printed material from tables or booths by providers ofservices that are commonly utilized by students, faculty,and staff of the U. T. System or any of its institutions,such as financial institutions. lang distance telephonecarriers, utilities, housing locators, printers andduplicators, tutors, or employment agencies. No morethan two one-day periods each academic year may bedesignated during which all authorized providers may

Page 7 of 12


engage in such activities in an area selected by theU. T System or any of its institutions. The U. T. Systemor any of its institutions will determine the number ofproviders authorized to participate on each of the twoone-day periods. The activities of a provider must belimited to the time and place designated by theU. 1. System or any of its institutions and must beconducted in compliance with Section 1 above and otherguidelines specified by the U. T. System or any of itsinstitutions. A provider may tlot make sales of or takeorders for services. The U. T. System or any of itsinstitutions shall charge an appropriato fee for theprivilege of conducting such activities. Any provider whoviolates fhe Regents' Rules and Regulaflons or the rulesand regulations of the institution in the course of suchactivities or who has violated a provision of the Regents'Rules and Regulations or tne rules and regulations of theinstitution during the 12-month period preceding a daydesignated by the institution for activities authorized bythis subdivision shall not be permitted to participate insuch activities.

2.21 Athletic Events. An inslitution may designate areasonable number of areas immediately adjacent to theexterior of a facility used for intercollegiate athietic eventsand may authorize such areas to be used for the displayof motor propelled vehicles and for the location of booths,tables, or kiosks to be used for the display ofmerchandise, the distribution of free samples ofmerchandise, and the display and distribution of printedmaterial related to merchandise, products, or services.Such activities may be authorized only on the day beforeand the day of an intercollegiate athletic event or anevent that is reialed to athletics that takes place in thefacility. An institution may designate a reasonablenumber of areas inside a facility used for intercollegiateathletic events for such activities if the safety officer ofthe institution approves the designation and use of thearea. All persons engaged in or associated with suchdisplays and dIstributions must conduct those activities incompliance with this Series and With other guidelinesspecified by the institution. Such persons may not makesales of or take orders for such vehicles, merchandise,products, or servIces. The institution shaH charge anappropriate fee for the privilege of using such areas. If

Page 8 of 12


persons engaged in such activities violate the Regents'Rules and Regulations or the rules and regulations of theinstitution, such persons, and any entity that they areacting for shall not be permitted to engage in activitiesunder this subdivision for a 12-month period.

2.22 Elections In the course of an election process heldpursuant to the approved constitution, bylaws, or electioncode of the faculty governance organization or of thestudent government organization af an institution or anelection held pursuant to the approved rules, regulations,or policies of an institution, requests may be made tosupport or to vote for or against a Qualified candidate foran office or position to be filled at such election or tosupport or to vote for or against a proposition to bedecided at such election. Such request may be marJeonly by the candidates for an office or position; by aregistered student, faculty, or staff organization and itsmembers; or by a student, faculty member, or staffmember. Individuals and organizations making suchrequests must conduct all activities in compliance withthe approved time, place, and manner regulations of thecomponent institution; the provisions of the constitution,bylaws, election code, rules, regulations, or poJJciesauthorizing the election; and Section 1 above. No facultymember, staff member, or student employee may engagein such activities during any period that he or she is beingpaid to periorm services for an institution.

2.23 Support of a Candidate or Proposition. The request tosupport or to vote for or against a candidate for anelective position or office or for or against a propositionon a ballot for a public election held pursuant to federal,State, or local laws when such request is made by aregistered student, faculty, or staff organization, or by astudent, faculty member, or staff member. Persons ororganizations must conduct such activities in complianCE!with Section 2 above; with the time, place, and mannerregLllations of the institution: with the provisions offederal, State, or local laws governing such election; andmay not use any equipment, supplies, or services of aninstitution. No faculty member, staff member, or studentemployee may engage in such activities during anyperiod that he or she is being paid to perform duties foran institution. No registered student, faculty, or staff

Page 9 of 12


organization that receives State funds from any sourcemay engage in such activities.

2.24 Web Page Link. The placement on an institution webpage (as defined below) of textual and graphicinformation and a hypertext link to the Web site of aperson or commercial entity for which the U. T. System orany of its institutions may receive revenue or avoid costsas a result of the permitted solicitation ("Web SiteSolicitation"). Web Site Solicitations shall be placed oninstitution web pages in accordance with guidelinespromulgated by the Executive Vice Chancellor forBusiness Affairs. An institution web page is a pagecreated or maintained by or on behalf of an institution oran office, department. or division of an institution, andlocated within an institution's information technologyenvironment.

2.25 Roommate Advertisements. Subject to the institution'sreasonable and nondiscriminatory rules concerning time,place, and manner of posting, students, faculty, and staffmay post advertisements for roommates, subleases, andsales of used goods that the seller has personally ownedand used.

Sec. 3 Impermissible Solicitation. All permissible solicitation must beconducted in compliance with Section 2 above and the time,place, and manner reguiations of the institution. If, afterreasonable investigation, it is determined that impermissiblesolicitation is being or has been conducted or that permissiblesolicitation is being or has been conducted in violation of theRegents' Rules and Regulations or the approved rules andregulations of the institution (1) a student, a faculty member, ora staff member will be subject to such disciplinary penalty asmay be appropriate, and (2) a students' association or aregistered student, faculty, or staff organization shall beprohibited from solicitation for such period or periods of time asmay be appropriate. In the case of repeated violations, theregistered status of the organization may be cancelied or otherappropriate penalties may be imposed. Any penalty or penaltiesmust be imposed pursuant to the due process procedures ofapplicable Regents' Rules and Regulations or approved rulesand regulations of the U. T. System or any of its institutions.

Page 10 of 12


Sec. 4 Disclosure of Solicitation. A students' association and eachregistered student organization shall, within 30 days after thebeginning of each long session semester, file with the Dean ofStudents or other appropriate official a statement fully disclosingthe sources and amounts of money obtained from solicitationsduring the preceding semester or summer session and fUllydisclosing the purposes and amounts of the expenditures madeduring the preceding semester or summer session. Anyorganization failing to comply with the provisions of this Seriesshall be prohibited from solicitation activities until theorganization files the required report.

3. Definitions

Solicitation - means the sale, lease. rental or offer for sale, lease, rental ofany property, product, merchandise, publication, or service, whether forimmediate or future delivery; an oral statement or the distribution ordispiayof printed material, merchandise, or products that is designed toencourage the purchase, use, or rental of any property, product,merchandise, publication, or service; the receipt of or request for any giftor contribution; or the request to support or oppose or to vote for oragainst a candidate, issue, or proposition appearing on the ballot at anyelection held pursuant to State or federal law or local ordinances.


Texas Occupations Code Section 2002.001 et seq. - Charitable Raffles


Business Procedures Memoranda No. 62 - Guidelines for Web SiteSolicitation

6. Who Should Know




Page 11 of 12



December 10. 2004


Series: 80103

Questions or comments regarding this ruie should be directed to:


Page 12 of 12

The University of Texas SystemRules and Regulations of the Il..oard of Regents

1. Title

Use of Facilities


Series: 80104

Sec. 1 Use by Registered Organizations. Subject to constitutional andstatutory restrictions on the use of State property for religious orpolitical purposes, a students' association; a registered student,faculty, or staff organization; or an officially recognized alumniassociation that qualifies under Series 80103, Number 2,Section 2.9 of the Regents' Rules and Regulations and whosefund-raising activities are dedicated to the benefit of the U. TSystem or any of its institutions, may reserve and use buildings,grounds, and facilities owned or controlled by the U. T. Systemor any of its institutions in compliance with reasonable andnondiscriminatory time, place, and manner provisions of theapproved regulations of the U. T. System or any of itsinstitutions. Such regulations shall specify the proceduresunder which such organizations may reserve the bUildings.grounds, and faCilities for their use. Such use musl be forpurposes permitted by the Regents' Rules and Regulations andbe conducted in compliance with Series 80103 of the Regents'Rules and Regulations. Groups of students, faculty, or staffwho are not registered or groups of alumni other than officiallyrecognized alumni associations whose fund-raising activities arededicated to the benefit of any component institution may notuse the institution's buildings, facilities, or grounds.

Sec. 2 Use by Non-registered Organizations. A students' association,a registered student, faculty, or staff organization, or an alumniassociation may not reserve or use facilities owned or controlledby the U. T. System or any of its institutions for the purpose ofengaging in Ctny project or program with any association,organization, or corporation, or with any individual or group ofindividuals that are not registered.

Sec. 3 Permissible Activity. In compliance with reasonable andnondiscriminatory regulations of the U. T. System or any of itsinstitutions, students, faculty, or staff or their registered or nonregistered organizations, may petition, post signs, distributeliterature, set up tables and exhibits, or peacefully demonstrateon property owned or controlled by the U. T. System or any ofits institutions, provided that the posting of signs and the settingup of tables and exhibits may require prior authorization.

Page 1 of 2

The Univ@rsity of Texas SystemRyles and Regulatigns o! the Board of Regents Series: 60104

Sec. 4 Nun-permissible Activity. No person, including a student oremployee of an institution, shaH distribute any petition, handblU,object, or piece of literature; pos.t or carry any sign, placard, orbanner; or engage in speech or conduct on property or inbuildings or facilities owned or controlled by the U. T. System orany of its institutions if it is obscene, libelous, or directed toinciting or producing imminent lawless action and is likely toincite or produce such rlction.

3. Definitions

Student Registered Organization - an organization that complies with theregistration procedures set by the chief student affairs officer.


Texas Education Code section 51.202 - Rules and Regulations


Regents' Rules and Regulations ~eries 80101- Solicitation

6. Who Should Know

FacultyStaffStudentsAdministrators




December 10, 2004




Page 2 of 2


1. Title

Joint Sponsorship of the Use of Property or Buildings


Series: 80105

Sec. 1 Joint Sponsorship Permitted. Except as permitted in Series80103 and 80106 of the Regents' Rules and Regulations, theuse of property or buildings owned or controlled by theU. T. System or any of its institutions by individuals who are notstudents, faculty, or staff; by groups that are not registeredstudent, faculty, or staff organizations; or by associations orcorporations for programs or activities must be jointly sponsoredby the U. T. System or any of its institutions and shall be subjectto the following conditions;

1.1 The program or activity must be upon the invitation of theU. T. System or any of its institutions Only theChancellor of the U. T. System or the president of aninstitution, or his or her delegate, can authorize jointsponsorship.

1.2 In order for joint sponsorship to be appropriate, theeducational implications of a program or activity must beself-evident, must directly supplement the educationalpurposes of the U. T. System or any of its institutions,and must not result in financial gain for the invitedindividual, group, association, or corporation.

1.3 The U. T System and its institutions established aspublic institutions without regard to political affiliation orreligious faith cannot be a joint sponsor for political orsectarian gatherings.

1 4 The U T. System or any of its institutions wiil beresponsible for ail details of the program or activity, andreserves the rIght to approve a\l copy for advertising andnews releases, and may require an accounting of theincome and expenses directly related \0 the program oractivity.

1.5 The scheduiing of property or buiidings for programs oractivities of the U. 1. System or any of its institutions shallalways have priority over the scheduling for programs oractivities that are jointly sponsored.

Page 1 of 3

The University of Texas SystemRules and Regulations of th,~e"-"B"o",au.r"d...o"f....R"e"9"""n"ts~ ~~-,5"e",r...ie,,,s,,:...8,,0,,1,,0,,5

1.6 The fee to be paid by the inVited individual, group,associ8tion, or corporation will be iJ matter for negotiationin each case and will he specified in the agreementproviding for the joint sponsorship. At:::l minimum, thefee must ensure recovery of the cost incurred by theU. T. System or any of its institutions.

3. Definitions

None


Texas Constitution Article, 3, Section51 - Grants of Public MoneyProhibited; ExceptIons

Texas Education Code Section 51,,202 - Rules and Regulations


Regents' Rules and RegUlations Series 80101, - Category of Facilities andAuthori7ed Users

Regents' Rules and Regulations Series 80103 - Solicitation

6. Who Should Know

FacultyStaffStudentsAdministralors

7. System Administration Offiee(s) Responsible for RUle



December 10, 2004

Page 2 of 3



Series: 80105



Page 3 of 3


1. Title

Special Use Facilities


Series: 80106

Sec. 1 Designation. Notwithstanding any other provisions of thisSeries, the president of an institution may designate specificfacilities, such as special event centers, conference centers,concert halls, theaters, or auditoria, as Special Use Facilities.The president shall cause to be prepared and submitted forapproval, as a part of the Handbook of Operating Procedures ofthe institution, appropriate rules and regulations for thereservation and use of Special Use Facilities.

Sec. 2 Rules for Use. The rules and regulations must restrict thereservation and use of such facilities in accordance with thefollowing:

2.1 Designation as a Special Use Faciiity shall not constitutethe facility a pUbiic facility or forum that is open to use byindiViduals, groups, associations, or corporations on afirst come, first served basis.

2.2 Priority in the reservation and use of Special UseFacilities shall be given to programs and activities of theU. T. System or any of its institutions that are infurtherance of and related to the educational, cultural,recreational. and athletic programs of the U. T. System orany of its institutions.

2.3 As a lower priority, the rules and regulations may providefor reservation and use of Special Use Facilities byindividuals, groups, associations, or corporations withoutthe necessity of joint sponsorship by the U. T. System orany of its institutions. Subject to all constitutional andstatutory provisions relating to the use of State propertyor funds for religious or political purposes, Special UseFacilities may be made available for religious and politicalconferences or conventions. Rates must be charged forthe use of the Special Use Facility that, at a minimum,ensure recovery of that part of the operating cost of thefacility attributable directiy or indirectly to such use. If theuser charges those attending an event any admission orregistration fee. or accepts donations from those in

Page 1 of 3


attendance, the institution shall require the user to makea complete account of all funds collected and of theactual cost of the event. If the funds collected exceed theactual cost of the event, the user shall be required toremit such excess funds to the institution as an additionalcharge for the use of the Special Use Facility providedhowever, the Board may permit exceptions to thisrequirement by the authorization of specific useagreements via the Docket or Agenda.

2.4 The rules and regulations applicable to a Special UseFacility may provide for the rental of space for display ofadvertising and the display of samples of merchandisein designated areas inside the Facility that have beenapproved by the president of the institution or his or herdelegate, and for advertising by displays on an electronicscoreboard or message center inside the Facility or onthe Facility's outdoor electronic marquee or messagecenter. Such rules and regulations may further providefor the sale of advertising space on ticket envelopes forevents sponsored by the Facility and in any publication ofthe Facility distributed in connection with a sponsoredevent or announcing future sponsored events.

3. Definitions

None



Texas Government Code Section 2165.002 - State Buildings, Groundsand Property

Texas Government Code Section 2203.004 - Requirement to Use StateProperty for State Purposes


Regents' Rules and Regulations Series 80105 - Joint Sponsorship aftheUse of Property or Buildings

Page 2 of 3


6. Who Should Know

FacultyStaffStudentsAdministrators




December 10, 2004

9. Contactlnformalion

Series: 80106

.'~'-



Page 3 of 3

The University of Texas SystemRules and Regulations of the Boa!Lrd"-,o'.!.fLR~e"g.,e!Ln!.!ts~~ -,S"e,"r"ie,"s",:-,8",O,-!1,,O'!.7

1. Title

Filming Motion Pictures or Television Productions


Sec. 1 Authorization to Fitm. The Chanceilor or the president of aninstitution may authorize the use of property or buildings ownedor controiled by the U. T. System or any of its institutions forfilming motion pictures or television productions under 0 writtenagreement approved pursuant to U. T. System procedures.Requests to film a motion picture or television production shallbe revip.wed and considered on a case by case basis. Subjectto the provisions of this Series; it shall be within the discretion ofthe Chancellor or the president of an institution, follOWingconsultation with campus security personnel, to determinewhether to grant the request. The safety of students, faculty,and staff; the potential for damage to buildings. faciiities, orproperty and for disruption of administrative or academicprograms or other scheduled activities; and the subject matter ofthe film shall be of primary consideration in determining whetherto grant a filming request.

Sec. 2 Scheduiing. The Chancellor or president shall be responsiblefor ensuring that scheduled time(s) and location(s) for filming donot intelfere with administrative and academic programs orother scheduled activities of the U. T. System or any of itsinstitutions.

Sec. 3 Script Approval. The Chancellor or the president of aninstitution must approve either the script for the motion pictureor tolevision production or the topic and format for a live orunscripted program.

Sec. 4 Interest in the Production. The production company mustidentify the persons or entities with an interest;n the company.

Sec. 5 Insurance Requirements. The production company mustprovide a policy proViding protection against all liability. to theextent possible, With a minimum or comprehensive generalliability and property damage insurance issued by a companyauthorized to do business in the State of Texas naming theBoard of Regents, the U. T System, the institution. and theofficers and employees of each as additional insureds. prOVidingcoverage for injury and death of persons and damage to

Page 1 of 3

The University of Texas SystemRules and Regulations of Ihe Board of Regents Series: 80107

property that result directly or Indirectly from the negligent orintantionClI Clet or omission of, or from the use or condition of anyproperty, equipment, machinery, or vehicle used, operated, orcontrolled by, the production company or its officers,employees, agents, or subcontractors while on property ownedor controlled by the U. T. System or any of its institutions. Thescope and limits of coverage shall be determined by theChancellor or the president of an institution on the basis of thenature and extent of the activities to be conducted by theproduction company and the property, buildings, or facilities tobe utilized. In no event shall the limits of liability for eachoccurrence be less than $2 million for injury or death of a personand $1 million for property damage.

Sec. 6 Use Fee. A use fee will be established in each case basedupon the nature and extent of the activities, including costsassociated with moving and replacing computers and otherequipment and furniture of the production company and theU. T. System property, buildings, personnel, and services thatare required to accommodate such activities. The use fee mustbe paid in advance by a certified or cashiers check madepayabie to the U. T. System or its institution. If the productioncompany cancels a scheduled use, the deposit, less anyexpense incurred by the U. T. System or any of its institutions inpreparation for such use, will be refunded.

3. Definitions

None

4. Relevanl Federal and Slate Slatutes

Texas Education Code Section 51.202 - Rules and Reguiations

Texas Government Code ::;eclion 2165.002 - State BUildings, Groundsand Property

Texas Government Code ~ection 2293.D04 - Requirement to Use StateProperty for State Purposes


Regents' Rules and Reguialions Series 80101 - Category of Faciiities andAuthorized Users

Page 2 of 3


Regents' Rules and Regulalions Series 80103 - Solicitation

Series: 80107

Regents' Rules and Regulations Series 80105 - Joint Sponsorship of tileUse of Property or Buildings

6. Who Should Know

Administrators




December 10, 2004




Page 3 of3


1. Title

Use of Facilities for Weddings


Series: 80108

Sec. 1 Designation of Area. The president of an institution and theChancellor of the U. T. System may designate one or moreindoor and/or outdoor areas that may be used for weddings,subject to the following conditions:

1.1 Use of such space for activities of an institution or theU. T. System shall have priority over weddings.

1.2 A charge for the use of ::;uch space will be made that atleast recovers the actual cost.

1.3 The user shali be required to provide for adequateinsurance and to execute a Facilities Use Agreement, thp.form and content of which has been approved by U. T.System AdmInistration's Office of General Counsel.

3. Definitions

None

4. Relevanl Federal and Slale Statules

Texas Education Code Section 51".202 - Rules and Regulation~

Texas Government Code §ection 2165.002 _. State Buildings Groundsand Property

Texas Government Code Section :22203.004 - Use of State Property


None

6. Who Should Know

Administrators

Page 1 of 2





December 10, 2004


Series: 80108



Page 2 of 2


1. Title

Parking and Traffic Regulations


Series: 80109

Sec. 1 Delegation of Authority. The Board of Regents delegates to theChancellor and presidents of the U. T. System the authority toestablish parking and traffic regulations at the institutions of theU. T. System and System Administration. Substantive changesrequire review and approval by U. 1. System Administration'sOffice of General Counsel.

3. Definitions

None


Texas Education Code Section 51.~02 - Rules and Regulations; Penalty


None

6. Who Should Know

Chief Business OfficersPresidents




December 10, 2004




Page 1 of 1


1. Title

Proteclion of Artificial Bodies of Water and Other Property


Series: 80110

".,"~ -

Sec. 1 Protection of Artificial Bodies of Water. Pursuant to theauthority conferred upon the Board of Regents by TexasEducation Code Section 51.202 and 51.204, in orderto protectthe safety and welfare of students, faCUlty, and staff and toprotect the property, buildings, and facilities of the U. T. Systemand its institutions, it shall be unlawful for any person to enter,walk, run, lie, play, remain, or be in the water af any fountain orother artificial body of water, which is not designed andmaintained for recreational or therapeutic purposes, located onproperty owned or controlled by the U. T. System or itsinstitutions unless such person has the prior written permissionof the Chancellor or president to enter, remain, or be in suchwater. It shall further be unlawful for any person to dump,throw, place, or cause any material, object, person, animal,trash, waste, or debris to be placed in such fountain or otherartificial body of water.

Sec. 2 Prolection of Other Property. It shall be unlawful for any personto damage, deface, or remove any portion of any fountain,monument, bUilding, statue, structure, facility, tree, shrUb, ormemorial located on property owned or controlled by the U. T.System or any of its institutions.

Sec. 3 Punishment. Any person who violates any provision of thisSubsection may be convicted of a misdemeanor punishable bya fine of not more than $200. Studenls, faculty, or staff whoviolates any portion of this Series are also subject to disciplinaryaction.

3. Definitions

None



Texas Education Code Section 51.204 - Trespass, Damage

Page 1 of 2



None

6. Who Should Know





December 10,2004


Series: 80110



Page 2 of2


1, Title

Smoke Free Facil'lties


Series: 80111

Sec, 1 Smoke Free Facilities, All facilities of The University of TexasSystem or any of its institutions are declared to be smoke free;however, appropriate individual medical exceptions, particularlyin clinical treatment situations, will be considered.

Sec. 2 Prohibition of Tobacco Sales. Tobacco sales are prohibited onU. T. System campuses or at University-sponsored events.

3. Definitions

None


Penal Code Section 4i:t01 - Smoking Tobacco


None

6. Who Should Know





December 10. 2004




Page 1 of 1

The University of Texas SystemRoles and Regolations of the B"o"a"rd,--"o,-f"R"'e"g"e"n"ts'- -'S"'e"-r"ie"'s,,'..8",0",2,,-,-01

1. Title

Disposal of U. T. System Property

2. Rule and Regolation

Sec. 1 Determination of Obsolescence. Whenever any item ofequipment becomes obsDlete or useless for the needs annpurposes of the department concerned, a written report of suchfact shall be made to the chief business officer to determinewhether or not such item of equipment is needed by any otherdepartment and, if so, to transfer and assign the equipment tosuch department.

Sec. 2 Transfer to Public SchooL If the chief business officer shalldetermine that the equipment is not needed for any department,that it is not practicable to store the equipment for possiblefuture use, and that the equipment can be used for instructionalpurposes, it shall be made available to a pUblic schoof or schooldistrict, or an assistance organization designated by the schooldistrict, at a price or for other consideration agmeable to the U.T. System and the public school or school district or theassistance organization in accordance with Texas GovernmentCode §ectio~ill5.304(b) before disposing of the property inanother manner. Preference must be given to a public school orschool district or to an assistance organization designated bythe schoo! district before disposing of the property in anothermanner. The instructional equipment may be transferred to thepublic school or school district for such consideration, or for noconsidert'ltion, as the chief business officer determinesappropriate.

Sec. 3 Disposal of Information Technology Equipment. Surplus orsalvage of information technology equipment, as defined byTexas Government Code Section 2054.003(31(&], that is nottransferred to a public school, school district or an assistanceorganization designated by the school distnct as provided inSection 2 above or that is not disposed of under other law mustbe offered next and at no charge to a open-enrollment charterschool or the Texas Department uf Criminal Justice inaccordance with Texas Government Code Chapter 2175,SUbchapter C.

Page 1 of 4


Sec 4 Disposal Provisions. Surplus or salvage equipment that is notdisposed of as provided in Sedions 1, 2, or 3 above shallbe disposed of in accordance with the following provisions:

4.1 For items of little value or limited use where sale oncompetitive bids is not practicable, the chief businessofficer shall have the authority to dispose of the propertyon the basis of negotiated bids or surplus auction inamounts under $50,000.

4.2 Sale of property estimated to bring $50,000 or more shallbe made on a basis of competitive bids.

4.3 A sale in the amount of $100,000 or more shall beapproved in advance by the Chancellor and approved bythe Board of Regents through the institutional docket.

4.4 Sales to employees are governed by the provisions ofSeries 22601 of the Administrative Rules concerningpurchasing.

Sec. 5 Donations to Charitabie Organizations. if an item of surplus orsalvage equipment is not disposed of as provided in this Seriesand the chief business officer determines that the item is ofnominal use or value, the chief business officer may direct thatthe item be donated to a civic or charitable organization ordestroyed. If the chief business officer directs the donation ofthe item to a civic or charitable organization, he or she shallassure that the donation serves a proper public purposeappropriate to the function of the U. T. System or any of itsinstitutions, adequate consideration flows to the public, andsufficient controls are in place to ensure the pubHc purpose isachieverl.

Sec. 6 Sale of Artwork or Duplicate Volumes. When the preSident ofan institution determines that a work of art or a duplicate of avaluable, rare, or significant volume is no longer of significantuse for the purposes of teaching or research, the item is sUbjectto sale following the procedure outlined in this Section. Thedisposabilityand current fair market value of the item shall becertified by a three-member panel (including either an arthistorian or a bibliographer) and the director of the collectiondisposing of the property. U. T. System and any of itsinstitutions shall be given first choice in acquiring the itembefore it is offerer! for sale. Proceeds from the sale shall be

Page 2 of 4


used for purchases to improve the collection from which theitem was drawn or to select items more appropriate to theinstitution's collection areas. Sale is subject to the approval ofthe president and must be for the fair market value of the item.A permanent record shall be made of the disposition and futurelocation of the item.

Sec. 7 Transfer of Property. Property may be transferred from oneState agent.;y to another when it becomes surplus. Suchtransfers from one institution to another or from an institution toanother State agency shall have the advance approval of thechief business officer concerned and shall be reported to thepresident. The chief business officer shall advise departmentsand administrative offices as to the procedure to be followed indisposing of or acquiring property by this means.

3. Definitions

None


Texas Government Code Section 2054.003(3)(A) -Information ResourcesDefinitions

Texas Government Code Chapter 217",Subchapter C - Surplus andSalvage Property

Texas Government Code SectiOn 2175.304ib) - Exception for Institutionsof Higher Education


Administrative Rule Series 22601 - Purchasing

6. Who Should Know

EmployeesChief Business OfficersProperty Managers



Page 3 of 4


8. Oates Approved or Amended

December 10. 2004


Series: 80201



Page 4 of 4


1. Title

Capital Improvement Program


Series: 80301

Sec. 1 Biennial Presentation. The University of Texas SystemAdministration will prepare a Capital Improvement Program(CIPj biennially to be presented to the Board of Regentsfollowing completion of each regular session of the TexasLegislature.

Sec. 2 Contents of Program. The CIP will consist of a six-yearprojection of major new construction and repair andrehabilitation projects (Major Projects) to be implemented andfunded from institution and System-wide revenue sources. TheCIP should be a current reflection of the institutions' continuousprocesses of strategic planning and master planning forinstitutional programs, as well as for the future development andpreservation of the physical plant of the campuses.

Sec. 3 Off-Cycle Requests. Candidate projects will routinely be addedto the CIP during the biennial update. For emerging critical orurgent new Major Projects, the institutional president maysubmit an "off-cycle" request for inclusion via the Board ofRegents' agenda. Requests to add to or modify the CIP will bereviewed in accordance with the processes adopted in the CIP.

Sec. 4 Preliminary Cost Expenditures. Adoption of the CIP providesauthority for the U. T. System Administration and theinstitutional administration to expend institutional funds up to 3%of the anticipated preliminary project cost to develop the formalFacility Program document, seled the project architect, anddevelop preliminary project plans. These expenditures may notexceed the full preliminary project cost. Requests to expendfunds in excess of the amount equal to the 3% but not morethan 10% of the anticipated preliminary project shall bereviewed and approved by the Executive Vice Chancellor forBusiness Affairs. These funds will be provided by the institutioninitially but will be reimbursed to the institution from applicablebond proceeds after design development approval andappropriation of project funds by the Board of Regents.

Sec. 5 Institutional Management. Adoption of the CIP includesauthorization of institutional management of Major Projects so

Page 1 of 3

The University of Texas SystemRules and Regulations of the Board of Regents -"S"'e'.'r"'ie"'s"-:"B"O,,30'!..l1

designated in the GIP. "Off-cycle" requests for institutionalmanagement shall be reviewed and approved by theChancellor. Projects approved for institutional management willbe included in the amended GIP. Projects deSignated forinstitutional management shall follow the process, authority, andapprovals a5 Dutlined in Series 80403 of the Regents' RUles andRegulations for the full amount stipulated in the GIP. Fundingother than debt financing will be appropriated at the time ofauthorization of institutional management.

Sec. 6 Gapital BUdget. The CIP wili include the Capital Budget. a twoyear detnilod expenditure allocation of source(s) of funds.

6.1 Approval of the Gapilal Budget authorizes andappropriates funding amounts and sources for identifiedmajor repair and rehabilitation projects that are nutarchitecturally or historically significant Authorization ofthese projects and appropriation of these funds allowsthese projects to be presented to the Chancellor forapproval of design development plans. authorization forexpenditure of funds. and implementation of the projectsby the administrative staff without returning to the Boardof Regents for further <lpprovals.

6.2 The Board of Regents will approve the designdevelopment plans for all Major Projects other than repairand rehabililatlon projects that are not architecturally orhistorically significant.

3. Definitions

Major projects - Major Projects are defined as repair and rehabilitationprojects of at least $2 million and new construction projects of at least$1 million. A project that is architecturally or historically significant isdefined as a Major Project regardless of cost.


None


None

Page 2 of3


6. Who Should Know

Administrators




December 10, 2004


Series: 80301



Page 3 of 3


1. Tille

Building Committees


Series: 80302

Sec. 1 Building Advisory Committees. There may be a BuildingAdvisory Commillee for each institution. The duties.composition. and appointment of the members of the Committeeshall be set forth in the Handbook of Operating Procedures ofeach institution. The Committee shall have no further directresponsibility after the construction contract is awarded but shallbe available for consultation as the building progresses. asrequested by the president of the institution, the appropriateExecutive Vice Chancellor, the Chancellor, or the Office ofFacilities Planning and Construction.

Sec. 2 Ad Hoc Project Building Committee. The president mayappoint, according to the institutional Handbook of OperatingProcedures, an Ad Hoc Project Building Committee composedof, but not limited to, representatives of the departments ordivisions that will occupy the buiiding. The chairperson of theBuilding Advisory Committee shall be an ex officio member ofeach Ad Hoc Project Building Committee. The Ad Hoc BUildingCommittee shall work with U. T. System Administration's Officeof Facilities Planning and Construction to prepare a facilityprogram in accordance with the Facilities ProgrammingGuidelines maintained by the Office of Facilities Planning andConstruction.

Sec. 3 Architect Selection Advisory Committees. Architect SelectionAdvisory Committees for Major Projects shall be appo;nted bythe institutional president in consuitation with the Office ofFacilities Planning and Construction and the Associate ViceChancellor for Facilities, Planning and Construction. TheArchitect Selection Advisory Committee is authorized toevaluate, rank, and make selection recommendations of projectarchitects for appointment by the Chancellor, with the exceptionof Special Interest Projects discussed in Section 4 below.Architect Selection Advisory Committees for Minor Projects shallbe appointed by the president of the institution.

Sec. 4 Special Interest Projects. For projects identified by the FacilitiesPlanning and Construction Committee (FPCC) to be of specialinterest to the Board of Regents because of proposed building

Page 1 of 3


site, historical or cultural significance, proposed use, or otherunique characteristics, the FPee will seled the architect. Forthese special interest projects, the institutional president, inconsultation with the Office of Facilities Planning andConstruction, will appoint an Architect Selection AdvisoryCommittee that may include any two members of the Board ofRegents named by the Chairman of the Board. The ArchitectSelection Advisory Committee will investigate the competenceand qualifications of the candidates. Board members of theArchitect Selection Advisory Committee will report the findingsand recommendations based on the interviews to the FPee.The FPCC may select an architect from this list, or may ask theSelection Advisory Committee for additional recommendationsof architects responding to the Request for Qualifications (RFQ).or may select an architect responding to the RFQ but not on thelist on the basis of competence and qualifications. The FPCCmay conduct interviews and site visits as necessary and willselect the most qualified architect for the project based ondemonstrated competence, qualifications, and the criteriapublished in the RFQ. without consideration of fees or costs.

Sec, 5 Selection Committee for Construction Firms. SelectionCommittees are authorized to evaluate, rank, and select designbuild contractors, construction manager-agents, constructionmanagers-at-risk, general contractors, and job order contractorson the basis of qualifications and competrtive sealed proposalsin response to RFQs and Requests for Proposals (RFPs).Selection Committees are also authorized to enter intodiscussions for modification and negotiation of competitivesealed proposals in response to requests for proposals withrespondents, as reqUired or permitted by law. SelectionCommittees for Major Projects shall be appointed by theAssociate Vice Chanceilor for Facilities Planning andConstruction in consultation with the institutional president.Selection Committees for Minor Projects shall be appointed bythe president of the institution.

3. Definitions

None


None

Pagg 2 of3



None

6. Who Should Know

Administrators

7. System Administration Office{s) Responsible for Rule



December 10, 2004


Series: 80302



Page 30f3


1. Title

Use of the Available University Fund


Series: 80303

Sec. 1 Impact of Spending. Any staff recommendation to appropriatefunds from the Available University Fund (AUF). or fromPermanent University Fund (PUF) Bond Proceeds. will bepresented in the context of that appropriation's impact on: (a)AUF funding for the support and maintenance of U. T. Austin,(b) bond ratings, and (c) projected AUF balances. Theseimpacts will be considered in order to provide a consistent anddependable level of funding and to maintain the highest possiblecredit ratings.

Sec. 2 Required Reports. In order to determine the appropriate level ofspending of the AUF. the following reports will be provided tothe Board of Regents:

2.1 A forecast of at least six years of the income andexpenditures of the AUF will be presented at eachmeeting of the Board of Regents' Finance and PlanningCommittee by the Office of Finance. Quarterly, TheUniversity of Texas Investment Management Company(UTIMCO) shall provide to the Office of Finance aforecast of the PUF distributions to the AUF that will bethe basis of the AUF forecast. Included as part of theAUF forecast will be the projected amount of remainingPUF debt capacity calculated in accordance with thispolicy.

2.2 In conjunction with the annual U. T. System budgetprocess, UTIMCO shall recommend to the Board ofRegents in May of each year an amount to be distributedto the AUF during the next fiscal year. UTIMCO'srecommendation on the annual distribution shall be anamount equal to 4.75% of the trailing 12-quarter averageof the net asset value of the PUF for the quarter endingFebruary of each year

2.3 The CIP will be reviewed and updated every two years.The update will include an estimated start date for eachproject which will be based on the criteria set forth inSection 3.2 below, project readiness, projected fund

Page 1 of 3


availability, and relative urgency of need for thecompleted project.

Sec. 3 Individual Projects. The following i10ms will be done whenpreparing requests of AUF expenditures:

3.1 As a part of each agenda item requesting approval ofAUF expenditures or PUF funded projects, a statementindicating compliance with this policy based on the mostrecent jorecast shall be included.

3.2 In preparing recommendations for projects to beapproved, the staff will be guided by the followingjustification criteria:

(a) consistency with institution's mission;

(b) project need;

(0) unique opportunity;

(d) matching funds/leverage;

(e) cost effectiveness;

(f) state of existing facility condition; and

(g) other available funding sources.

3.3 No project will be recommended for approval. if in any ofthe forecasted years the required appropriations lrom theAUF or PUF bond proceeds would cause:

(a) the forecasted AUF expenditures for programenrichment at U. T. Austin to fall below 45% of thesum of the projected U. T. System share of the netdivisible AUF annual income and interest income onAUF balances (subject to the limits imposed by (b)and (c) below);

(b) debt service coverage to be less than 1.50:1.00: and

(c) the forecasted end 01 year AUF halance to be lessthan 530 million.

Page 2 of 3


Sec. 4 System Administration Budget. Operating expenditures of theU. T. System Administration will be carefully controlled in orderto maximize the opportunity to meet the capital needs of theinstitutions of the U. T. System and the operating budget needsof U. T. Austin. Wherever possible, alternate funding frominstitutions, State funds, or other sources will be sought.Programs for which alternative funding cannot be obtained willbe evaluated for possible reductions or phase-<Jut.

3. Definitions

None


None


None

6. Who Should Know

Administrators




December 10, 2004




Page 3 of 3


1. Title

Debt Policy


Series: 80305

Sec. 1 Purpose. This policy governs the use of debt to finance capitalprojects within The University of Texas: System. The prudentuse of debt can help the U. T. System achieve its strategicobjectives while maintaining a credit rating that appropriatelybalances financial flexibility with cost of capital.

Sec. 2 Financing Programs. The U. T. System issues debt throughthree primary programs: the Revenue Financing System (RFS),the Permanent University Fund (PUF). and the HigherEducation Assistance Fund (HEAF). This policy will govern theIssuance of all U. T. System debt.

2.1 Revenue Financing System. The RFS was created bythe Board of Regents through the adoption of a MasterResolution on Fehruary 14. 1991. The Board establishedthe RFS for the purpose of assembling the U. T.System's revenue-supported debt capacity into a singlefinancing program in order to provide a cost-effectivedebt pro9ram to institutions of the U. T. System and tomaximize the financing options available to the Board.

2.2 Permanent University Fund. Article VII, Section 18 of theTexas Constitution authorizes the Board of Regents toissue bonds and notes secured by the U. T System'sinterest in the Available University Fund (AUF). The AUFconsists of distributions from the total return of PUFinvestments. The Texas Constitution limits the amount ofPUF debt that may be issued by the U. T. System to 20%of the cost value of investments and other assets of thePUF. The Texas Constitution prohibits the issuance ofPUF debt for auxiliary projects.

2.3 Higher Education Assistance Fund. Article VII, Section17 of the Texas Constitution authorizes the Board ofRegents to issue bonds and notes secured by pledgedrevenues consisting of up to 50% of the money allocatedannually to the Board for U. T. Pan American andU. T. BrownsvH!e. Bonds issued under this authority aretypically referred to as HEAF bonds or constitutional

Page 1 of 6


approprialion bonds. The Texas Constitution prohibits theissuance of HEAF debt for auxiliary projects, except tothe extent of a project's use for educational and generalactivities.

Sec. 3 Authority All debt incurred by the U. T. System will be issued orincurred pursuant to resolutions approved hy the Board ofRegents and in accordance with the general laws of the State ofTexas, including particularly Article VII, Sections 17 and 18 ofthe Texas Constitution. Chapters 55 and 65 01 the TexasEducation Code. and Chapters 1207 and 1371 olthe TexAsGovernment Code. Before any debt can be issued, theU. T. System must obtain an opinion from bond counsel that theissue complies with applicable Texas and federal laws. TheU. T. System must also receive the necessary approvals fromboth the Texas Bond Review Board and the Texas AttorneyGeneral.

Sec. 4 Debt Guidelines. Any debt must be issued in strict compliancewith applicable law. The foliowing debt guidelines will apply:

4.1 Project Funding The U. T. System will borrow money,through the Issuance of debt, to finance only thoseprojects that have been approved for financing by theBoard ot Regents. Capital proJects are generallyevaluated and prioritlLed through thp. U. T. System'sCapital Improvement Program. For construction projectsthat require debt financing, bond proceeds will beprovided only after design development approval andappropriation of funds by the Board.

4.2 Interest Rate Exposure. System Administration's Officeof Financp. will evaluate and determine the appropriateamount of its interest rate exposure, defined as thepossible in~rease in capital costs resulting from rising:sh~rt-term Interest rates. The U. T. System will limit it5va~lab!e rate debt in accordance with rating agency~UldelJnes for 8.ssessing the debt structure of peerIns.titutlons of hIgher education with comparable creditratrngs. In determining the amount of variable rate debtthe Office of Finance will evaluate the level of variable 'rate ass€!s that may be available to provide a naturalhedgo to I~t.er~~t ~ate fluctuations. The U. T. System willseek to mJnJm)~e its cost of capital within a prudent levelof exposure to mterest rate volatility, The U. T. System

Page 2of6


shall broadly target variable rate debt of 30-50% of totaloutstanding debt.

4.3 Amortization· The amortization of tax-exempt debt willbe based on the types of assets financed, the expectedavailability of cash flows to meet debt servicerequirements, and tax regUlations. Generally, theamortization of tax-exempt debt should not exceed theuseful life of the financed asset and may never exceedthe Internal Revenue Service limit of 120% of the usefullife of the financed asset The maximum maturity of RFSdebt is limited to 50 years by Chapter 55 of the TexasEducation Code. The maximum maturity of PUF debt islimited to 30 years by Article VII, Section 18 of the TexasConstitution. The maximum maturity of HEAF debt islimited to 10 years by Article VII, Section 17 of the TexasConstitution.

4.4 Financiai Ratios. The U. T. System will use selectedactual and pro forma financial ratios, consistent withmajor credit rating agency criteria, to ensure theU. T. System is operating within appropriate financialbounds. Although other ratios may also be evaluated,the primary financial ratios to be analyzed include thedebt service coverage ratio, the debt burden ratio, andthe leverage ratio.

4.5 Economies of Scale. Debt financings will be coordinatedto the extent practical so that multiple project needs canbe accommodated in a single borrowing, therebyincreasing the efficiency of the debt issuance. Sincemany issuance costs do not vary with the size of aborrowing, a large bond issue increases the efficiency ofthe financing by spreading fixed costs over a greaternumber of projects.

4.6 Refunding Opportunities. The Office of Finance willactively consider refinancing of outstanding debt issueswhen net savings for that refinancing measured on a netpresent value basis are positive. Since there arelimitations on the number of allowable re-financings, it isimportant to use re-financing opportunities Wisely. Inevaluating refunding opportunities, the Office of Financewill consider the value of the call option to be exercised,including the amount of time to the call date and the

Page 3 of6


amount oftime from the call date to maturity. Based onthese and other factors, the Office of Finance willdetermine the minimum savings threshold for anyparticular refunding transaction. Refundings that do notprod LIce savings may be considered under certaincircumstances, such as eliminating restrictive bondcovenant::l or other situations that produce a greaterbenefit to the U. T. System.

4.7 Disclosure. The Office of Finance will provide updatedfinancial information and operating data and timely noticeof specified material events to each nationally recognizedmunicip::l1 securities information repository and any Stateinformation depository, pursuant to its continuingdisclosure undertakings with respect to Rule 15c2-12promulgated by the Securities and ExchangeCommission.

4.8 Hedging Instruments. The Office of Finance will considerthe use of interest rate swaps and other interest rate riskmanagement tools after carefully evaluating the risks andbenefits of any proposed transaction in accordance withRegents' Rule Series 70202 titled Interest Rate SwapPotiey. By using swaps in a prudent manner, the U. T.System can take advantage of market opportunities tominimize expected costs and manage interest rate risk.As outlined in Regents' Rule Series 70202, the use ofswaps must be tied directly to U. T. System debtinstruments. The U. T. System shall not enter into swaptransactions for spoculative purposes.

4.9 Project Financing - The Office of Finance will considerthe use of project financing in those limitedcircumstances where the heneftts of such a transactionexceed the increased costs. Project financing can be alIseful financing technique in certain circumstances;however, these transactions are typically less efficientand more costly than traditional financing due to lowercredit ratings, fewer economies of scale, the funding of areserve fund, and the cost of bond insurance. Projectfinancing does not preserve or increase debt capacityrelative to traditional financing. The credit ratingagencies and the U. T. System include project debt whenassessing the debt capacity of institutions of theU. T. System.

Page 40f6

The University of Texas SystemRules and Regulations of tho Board of Regents Series: 80305

4.1 0 TaxalJl~ Debt. The U. T. System may use taxable debtfor those projects that have an intended use or othercharacteristics that preclude the use of tax-exempt debt.The U. T. System will strive to allocate its av"ilabieresources, including equity capital, among its variouscapital projects to minimize or eliminate the need to issuetaxable debt, thereby minimizing the U. T. System's costof capital. Any use of taxable debt would requireseparate Board of Regents approval and be subject tothe same statutory requirements as tax-exempt debt.

4.11 Reporting Requirem8nts - The Annual Financial Report(AFR), prepared by the U. T. System and presented tothe Board of Regents, will discuss the status of alloutstanding bond and note indebtedness. The AFRpresented to the Board provides detailed information onthe U. T. System's outstanding bonds and notesincluding, by series, the amount outstanding, Interestrates, maturity dates, a summary of the changes inoutstanding indebtedness and the associated debtservice requirements,

3. Definitions

None


Texas Constitution Article VII. Section 17 - &QpropriatiQns and F~ndinq

Texas Constitution Article VII, Section 18 - Bonds Of. Noles Payable frornIncome of Availab)e University Fund

Texas Education Code Chapter 55 - FinanciQg Permal]ent Impr()vements

Texas Education Code Chapter 65 - Administration of the U. T.SysteryJ

Texas Government Code Chapter 1207 -Refunding BDnds

Texas Government Code Chapter 1371 - Obligations fDr Certain PuhlicImprOVEll.llents

Page 5 of 6



Series; 80305

Regents' Rules and Regulations Series 70;?02 - Interest Rate SwapPolicy

6, Who Should Know

Administrators




December 10, 2004




Page 6 of 6


1. Title

Naming of Facilities


Series: 80307

Sec. 1 Naming of Major Facilities. The naming of buildings; othermajor facilities, such as wings of bUildings, major components ofbuildings, large auditoria, concert halls, atriums, prominentoutdoor spaces, and ciinics; and other major entities, such ascolleges, schools, academic departments, and major academiccenters, programs and institutes of the U. T. System and any ofits institutions, whether for an individual or with a functional orhistorical designation, is the prerogative and responsibility of theBoard of Regents and can be initiated by the Board whencircumstances warrant. When recommendations for naming ofbuildings or other major facilities or entities originate at otherthan the level of the Board. such recommendations shall beforwarded to the Board with recommendations of theChancellor, the Executive Vice Chancellor for Health Affairs orthe Executive Vice Chancellor for Academic Affairs, the ViceChancellor for External Relations, and the president of aninstitution, accompanied by reasons for the recommendation,and following campus consultations where appropriate.Recommendations for naming of bUildings or major facilities orentities require Board approval via the agenda.

Sec. 2 Naming of Less Prominent Facilities. For less prominentfacilities such as laboratories, classrooms, seminar rooms, andpatient rooms or for less prominent academic centers,programs, and institutes, naming authority is delegated to eachinsaution president based on a set of general gUidelines whichare reviewed and approved by the Chancellor. A report of suchnaming will be included with the annual operating bUdgetsubmission or updated Capital Improvement Program.

Sec. 3 Honorific Naming. Facilities and other entities may be named tomemorialize or otherwise recognize substantial gifts andsignificant donors or individuals designated by donors. Suchdesignation may be for a single gift, multiple gifts over time, orfor a combination of gifts and other contributions. Buildings andother entities may also be named for individuals who have madeexemplary or meritorious contributions to the U. T System orany of its institutions or society.

Page 1 of 3


3.1 Defining of Substantial Donation. Each institution willdevelop guidelines for what constitutes substantial andsignificant donations to warrant a naming. Theseguidelines may vary from campus to campus andsometimes within a campus dependent upon the natureand purpose of the facility or entity or other factors.Institutional donor guidelines are subject to prioradministrative review and approval by the Executive ViceChancellor for Academic Affairs or the Executive ViceChancellor for Health Affairs and the Vice Chancellor andGeneral Counsel for inclusion in the institutionalHandbook of Operating Procedures. Exceptions to anyapproved guidelines are subject to the same approvalprocess.

3.2 Naming at Conclusion of Service. Namings in honor ofcampus administrative officials, faculty, or staff or electedor appointed public officials shall normally occur onlyafter the campus employment or public service hasconcluded.

Sec. 4 Naming Related to Development Campaign. When the namingof buildings or other major facilities or entities is contemplatedas part of a special private-fund development campaign, thatcampaign, the proposed naming, and the associated privatefund contributions to be sought shall have prior approval of theinstitution president, the Executive Vice Chancellor forAcademic Affairs or the Executive Vice Chancellor for HealthAffairs, the Vice Chancellor for External Relations, theChancellor, and the Board of Regents as required in Series60301 of the Regents' Rules and Regulations concerning thedevelopment board of an institution.

Sec. 5 Reports. The Chancellor will arrange for the Board of Regentsto be informed annually via the bUdget process or otherappropriate forum regarding buildings or other major facilities orentities identified to be named in conjunction with privatedonations and the appropriate recommended amount of theprivate-fund contributions to be sought. Unexpected namingopportunities not covered in such annual reports will bereviewed and approved by the Chairman of the Board or theChairman of the Facilities Planning and Construction Committeein advance of negotiation with potential donors. Noannouncement regarding the proposed naming of a building ormajor facility or entity is to be made prior to the final approval asrequired by this Section.

Page 2 of3


Sec. 6 Non Honorific Re-designation. Non-honorific renaming and redesignation of projects in the Capital ImprovementProgram (CI P) shall be reviewed and approved by the AssociateVice Chancellor for Facilities, Planning and Construction. Suchapproved re-designations will be included in the amended CIP.

3. Definitions

None


None


Regents' Rules and Regulations Series 60301 - Development Board of anInstitution

6. Who Should Know





December 10, 2004




Page 3 of3


1. Title

Inscriptions on Building Plaques


Series: 80308

Sec. 1 Content and Format. The Board uf Regents authorized theChancellor to approve inscriptions on building plaques withinThe University of Texas Sy~tem, which are in conformity withthe content and format below:

BUILDING NAME20

(Year or Contract Award)

BOARD OF REGENTS(Year (Jf Contract Award)

Chairman, NameVice Chairman, NameVice Chairman, NameVice Chairman, NameMember, NameMember, NameMember, NameMernbor, NameMember, Name

3. Definitions

None

Nellne, Chancellor, The University of Texas SystemName, Presidenl, The University of Texas (Institution)Name, Project ArchitectName, Contractor


None


None

6. Who Should Know

Administralors

Page 1 of 2





D"cember 10, 2004


Series: 80308


• bor@utsystemedu

Page 2 of 2


1. Title

PreV.3i11ng Wage Rates


Series: 80401

Sec. 1 Use of Wage Surveys. Pursuant to state law constructioncontracts are required to incorporate prevailing wage ratesestablished for each county of each campu~ based ongeographic location. The basis for establishing the wage ratesshall be in compliance with slale law. The Board of Regentsauthorizes periodic surveys to be pertormed to update wagerate data.

3. Definitions

None


Texas Government Code Section 2258 - Prevailing Wage Rates


None

6. W~IO Should Know

Chief Business Officers




DElcember 10. 2004




Page 1 of 1


1. Title

Major Construction and Repair and Rehabilitation Projects


Series: 80402

Sec. 1 Contract Authorization. Subject to Regents' Rules andRegulations Series 80301 and Series 10501, and Sections 2, 3,4 and 5 below. and except as otherwise specified in these Rulesand Regulations, the Associate Vice Chancelior for Facilities,Planning and Construction, with the advice of the appropriateExecutive Vice Chancelior and institutional president, isauthorized to appoint architects and approve plans. TheExecutive Vice Chancelior for Business Affairs is authorized toexecute construction and related contracts for all newconstruction projects and for all major repair and rehabilitationprojects that have previously been approved or authorized bythe Board of Regents In the Capital Improvement Program.

Sec. 2 Capital Budget. Funding for Major Repair and RehabilitationProjects that are not architecturaliy or historicaliy significant maybe appropriated by the Board of Regents through the CapitalBudget. Funding for ali other Major Projects is appropriated atthe time of design development plan approval.

Sec. 3 Approval for Excess Costs. Costs in excess of an amount equalto the Total Project Cost approved by the Board of Regents plus10% or any material change in the concept or scope of theproject must be approved by the Board.

Sec. 4 Standardized Contracts. Construction contracts executed anddelivered On behalf of the Board at Regents for Major Projectsshali comply with guidelines issued by U. T. SystemAdministration's Office of General Counsei and shali be writtenon a standard form approved by the Office of General Counsel.Payment and perfonmance bonds, when required by law forcontracts, shali be on a standard form approved by the Office ofGeneral Counsel. Contracts with architects and engineers shallcomply with guidelines issued by the Office of General Counseland shali be written on a standard form approved by the Officeof General Counsel.

Sec. 5 Executive Vice Chancelior for Business Affairs Authority. TheExecutive Vice Chancelior for Business Affairs shali approve theconstruction contractor's, design-build contractor's, or

Page 1 of4

The University of Texas SystemRules and Regulations of the Board of Regents 8eries:80402

construction manager's estimates, guaranteed maximum price,or stipulated sum proposals; sign change orders; and providegeneral supervision of all Major Projects.

Sec. 6 Authority to Increase Project Cost. The Chancellor with theadvice of the appropriate Executive Vice Chancellor andinstitution president is authorized to increase the approved TotalProject Cost not more than 10%. To provide funding for theincrease, the Chancellor may reallocate funding between oramong approved projects at a single institution if funding forsuch projects has previously been authorized or approvedfunding from some other source avaiiable to the institution.

Sec. 7 Facility Program. The facility program must be approved by thepresident of the institution.

Sec. 8 Adherence with Campus Master Plan. Requests forQualifications (RFQs) issued to soiicit responses from interestedarchitects will Include a requirement that the architect eVidenceagreement to adhere to the approved Campus Master Plan anda set of criteria applicable to the facility program and the needsof the institution.

Sec. g Preparation of Design Deveiopment Plans. After approval of thefacility program, the Associato Vice Chancellor for Facilities,Planning and Construction is authorized to give the projectarchitect, engineer, or design-build contractor the facilityprogram and the Campus Master Plan and to direct thepreparation of schematic plans, exterior design, site plans, costestimates, and other necessary and appropriate documents("Schematic Plans") and design development plans, eievations,and sections, outline specifications, cost estimates, and otherrelated work to establish the scope, deSign, dimensions, andmaterials of the project in greater detail ("Design DevelopmentPlans"). Design Development Plans are referred to asPreiiminary Plans in appiicable rules of the Texas HigherEducation Coordinating Board. The project architect, engineer,or design-build contractor shall work with the Ad Hoc ProjectBuilding Commitlee, if any, and the Office of Facilities Planningand Construction, with regard to architectural design andconstruction projects.

Sec. 10 Approval of Design Development Plans. Design DevelopmentPlans for Major Project new construction and for architecturallyor historically significant repair and rehabilitation projects shall

Page 2 of4


be submitted to the Board of Regents for approval upon therecommendation of the Chancellor. The Executive Officers andinstitution presidents shall be responsible for identifying to theFacilities Planning and Construction Committee special interestprojects. The Associate Vice Chancellor for Facilities, Planningand Construction is authorized to approve Design DevelopmentPlans and authorize expend~ure of funds for all other majorrepair and renovation projocts, except special interest projects.

Sec. 11 Expenditure Authorization. Upon approval of the DesignDevelopment Plans for Major Project new construction or anarchitecturally or historically significant repair and rehabilitationproject, the Board of Regents will authorize expenditure of fundsfor the Project.

Sec. 12 Construction Documents. After approval of the DesignDevelopment Plans, the Assocaite Vice Chancellor for Facilities,Planning and Construction is authorized to direct thepreparation of the working drawings and specifications("Construction Documents").

3, Definitions

Facility Program - a project planning document that organizes andsummarizes client needs and programmatic information needed to designa capital project. It is generated through a process of collecting. analyzing,synthesizing and documenting significant requirements for a Project priorto proceeding into the Design Phase.

Major Project - defined as any project that meets one or more of thefoliowing criteria: 1) new construction with a value of at least $1 miilion, 2)repair and rehabilitation projects with a value of at least $2 million, 3) anyproject determined by the Board to be architecturally or historicailysignificant, 4) any campus planning efforts that are intended to result in acapital project meeting one or more of those criteria, and 5) any projectthat is debt financed (RFS, TRB, PUF) regardless of dollar value exceptthose projects appropriated through the LERR bUdget.


None

Page 3 of4



Series: 80402

Regents' Rules and Regulations Series 10501 - Delegation to Act onBehalf of the Board

Regents' Rules and Regulations Series 80301 - Capital ImprovementProgram

6. Who Should Know

Administrators




December 10. 2004


Questions Dr comments regarding this rule should be directed to:


Page 4 of4


1. Title

Minor Construction and Repair and Rehabilitation Projects


Series: 80403

Sec. 1 Delegation of Authority. Subject to Sections 2 and 3immediately below and the general provisions of Series 10501,of the Regents' Rules and Regulations and except as othervvisespecified in these Rules and Regulations, each institutionpresident or the Chancellor is authori7f'!d to appoint architects,approve plans and Construction Documents, and execute anddeliver contracts, agreements, guaranteed maximum price orstipulated sum proposals. and other documents on behalf of theBoard of Regents for all new cunstruction projects of $1 millionor less and for repair and rehabilitation projects of $2 million orless ("Minor Projects").

Sec. 2 Review and Approval. Minor Projects shall be subject to reviewas directed by the appropriate Executive Vice Chancellor. If theMinor Project is to accommodate facility program changesrequiring System approval or approval of the Texas HigherEducation Coordinating Board, then (i) necessary facilityprogram approvals must be secured in advance of requests forconstruction approval, (ii) funds must have been approvedthrough standard System budgetary procedures; and (iii) theproject must have been approved by the component institutiondirector of physical plant, chief business officer, and president.

Sec. 3 Professional Services. Subject to the provisions of Series10501 of these Rules and Regulations, each institutionpresident is authorized to execute and deliver on behalf of theBoard contracts and agreements with architects, engineers, andother professional service providers for Minor Projectspreviously approved in accordance with this Series. Contractswith architects and engineers shall comply with gUidelinesissued by U. T. System Administration's Office of GeneralCounsel and shall be written on a standard form approved bythe Office 01 General Ccunsel.

3. Definitions

Minor Project - construction projects of $1 million or less and for repairand rehabilitation IJrojects of $2 million or less

Page 1 of 2



None


Series: 80403

Regents' Rules and Regulations Series 105Q1- Delegation to Act onBehalf of the Board

6. Who Should Know

AdministratorsChief Budget OfficersUTiMCO




December 10, 2004




Page 2 of2

The University of Texas Systemfulles and Regulations of the Board of Regents

1. Title

Utility Easements


Series: 80501

Sec. 1 Policy. All utility easements shall be put underground unless itis absolutely necessary to have an overhead line. In suchcases, the easement will contain a provision that the grantee willrelocate the line underground.

3. Definitions

None

4. Relevant Federal and Slate Statutes

None


None

6. Who Should Know





December 10. 2004




Page 1 of 1


1. Title

Property and Casualty Insurance and Surety Bonds


Series: 80601

Sec. 1 Authority to Purchase. The terms of any insurance policies andsurety bonds, other than life. disability. and health insurancepolicies for any U. T. System institution or for SystemAdministration, shall be negotiated by the Director of RiskManagement. The Executive Vice Chancellor for BusinessAffairs shall approve the purchase or renewal of policies withpremiums in excess of 5500,000.

Sec. 2 Notice of Loss and Approval of Claims. At the time a lossoccurs applicable to either System-wide or individual insurancepolicies and surety bonds, the Director of Risk Managementshall be notified by the chief business officer of the institution.For all claims, other than life, disability and health claims, inwhich the University is a claimant, the Director of RiskManagement shall approve all loss claims and settlementsunder $250,000. The Executive Vice Chancellor for BusinessAffairs shall approve any settlement between $250.000 and$1.000.000, and any settlements under the University'sComprehensive Property Protection Plan. Settlement ofcommercial insurance or surety bond claims in excess of$1,000.000 must have the approvai of the Board of Regents.

Sec. 3 Settlement of Catastrophic Claims. In the case of a catastrophicoccurrence where the loss is so extensive that partial<.;ommercial insurance payments in excess of $1,000,000 arenecessary, the Chancellor is deiegated authority to execute alldocuments related to the partiai payment or adjustment. TheBoard of Regents will be notified by the Chancellor of ail partialpayments received in excess of $1 ,000,000. Final settlement ofcommercial insurance claims in excess of $1 ,000,000 willrequire approval from the Board.

3. Definitions

None


None

Page 1 of 2



None

6. Who Should Know

Chief Business OfficersRisk Managers


Office of Risk Management


February 10. 2005December 10, 2004


Series: 80601

Queslions or comments regarding this rule should be directed to:


Page 20f 2


1. Title

Approval of Housing Rates


Series: 80701

Sec. 1 Approval of Housing Rates. Rentals and related polides andrates for dormitories and housing facilities shall be approved inadvance by the institution's president, the appropriate ExecutiveVice Chancellor. and the Board of Regents.

Sec. 2 Indirect Cost Recoveries. To the extent that indirect costrecoveries from the application of overhead rates are derivedfrom use charges for bUildings, other improvements, Drequipment, the funds so derived shall be designated forrenewals or replacements of such buildings, improvements, orequipment or for other purposes specified and approved in thebudget processes as related to the indirect cost recoveries.

3. Definitions

None


None


None

6. Who Should Know





Decembe.r 10. 2004

Page 1 of 2



Series: 80701



Page 2 of 2

The University of Texas SystemBuies and Regulations of the Board of Regents

1. Title

Flags


Series: 80801

Sec, 1 Display of Flags, The flag of the United States and the fiag ofthe State of Texas shallLJe flown at The University of TexasSystem and any of its institutions on each regular school day asrequired by Texas Education Code section 1,003, The flagsshall be raised, lowered, and displayed as required by Tille 4United States Code Sections 5 through 9 and by the Texas FlagCode, Texas Government Code Chapter 3100. and may beplaced at ha~-staff only as permitted or required by suchstatutory proviSions.

Sec 2 Official Flag, The Texas State Flag shall be designated as theofficial flag of the U, T, System and the official ftag of eachinstitution shall be the Texas State Flag with a streamer with theofficial name of the institution in white letters on an orange field,and a special occasion banner, as determined to be appropriateby the institution president in consultation with the appropriateExecutive Vice Chancellor. No institution shall have or displayany other flag as its official flag, Nothing in this section shall beinterpreted to prohibit display of other flags in a mannerconsistent with the Texas Flag Code, Texas Government CodeChapter 31 OQ

3. Definitions

None


Texas Education Code Section 1,OO~ - The Fiying of the United Statesand Texas Flags

Texas Government Code Chapter3100 - State Flag


None

Page 1 of 2


6. Who Should Know

Administrators




December 10, 2004


Series: 80801



Page 2 of 2


1. Title

Constitutional and Legislative Re~trictions


Series: B0901

Sec. 1 Approval by Coordinating Board. gectionsll and 18 ofArticle VII of the Texas Constitution (regarding the PermanentUniversity Fund and the Higher Education Assistance Fund, asreferenced at Texas Education Code Section 62.026 as theHigher Education Fund) require approval by the Legislature, oran agency designated by the Legislature, prior to theconstruction of physical improvements financed by bondsauthorized under those Sections at institutions of the U. T.System olher than The University of Texas at Austin.

1.1 Unless othel'Wise authorized by law, new constructionprojer.ts in excess of $1 million and major repair andrehabilitation projects in excess of $2 million must beapproved by the Texas Higher Education CoordinatingBoard. Format for submission will be as prescribed bythe Coordinating Board. Submission will b~ prepared byllle institution, in consultation with and assisted bySystem Administration's Office of Facilities Planning andConstruction, if necessary, and forwarded to SystemAdministration for review. approval, and handling ofsubmiSSIon. It is anticipated that necessary documentswill be submitted to the Coordinating Board when theproject scope and estimated cost are sufficiently definedto meet the Coordinating Board's requirements forapproval. Normally, submission will be made after theChancellor and the Board of Regents have approved theDesign Development Plans and the related cost estimate.

Sec. 2 Delegation by Board of Regents. The Texas Higl1er EducationCoordinating Board has delegated to its Commissioner approvalauthority for certain projects qualifying under CoordinatingBoard Rule 17.46. This delegation requires a certification thatthe project meets specified criteria. The CJuthority to executethis certification for the Board of Regents is delegated to theExecutive Vice Chancellor for Business Affairs or the AssistantVice Chancellor for Facilities Planning and Construction.

Page 1 of 2


3. Definitions

None


Series: 80901

Texas Constitution Article VII, Section 17 - Appropriations and Funding

Texas Constitution Article VII, ;;JtcjiooJ§ - Bonds or Notes Payable fromIncome or Available University Funds

Texas Education Code Section 62.026 - Higher Education Fund


None

6. Who Should Know

Administrators




December 10, 2004




Page 2 of 2


1. Title

General Rules for Intellectual Property


Series: 90101

Sec. 1 Philosophy. It is the objective of this policy to encourage thedevelopment of inventions and other intellectual creations forthe best interest of the public. the creator, and the researchsponsor, if any, and to permit the timely protection anddisclosure of such intellectual property whether by developmentand commercialization after securing available protection for thecreation, by plIhlication, or both. The policy is further intendedto protect the respective interesls of all concerned by ensuringthat the benefits of sllch property accrue to the public, to theinventor, to the U. 1. System, and to sponsors of specificresearch in varying degrees of protection. monetary return andrecognition. as circumstances justify or require.

.-Sec. 2 Individuals Subject to the Policy. The intellectual property policy

applies to all persons employed by the U. T. System or any ofits institutions including, but not limited la, full and part-timefaculty and staff and Visiting faculty members and researchers,to anyone using the facilities of the U. T. System or any of itsinstitutions, and to undergraduate students, to candidates formaster's and doctoral degrees, and to postdoctoral andpredoctaral fellows.

Sec 3 Types of Intellectual Property Included. Except as set forth inSections 4 and 5 below and Series 90102 of the Regents' Rulesand Regulations, this policy shall apply te intellectual property ofall types, including but not limited to any invention, discovery.trade secret, technology, scientific or technologicaldevelopment, research data and computer software regardlessof whether subject to protection under patent, trademark,copyright or other laws.

Sec. 4 Board May Not Assert Interest in Certain Copyrights. TheBoard of Regents shall not assert its interest in schoiarly oreducational materials, artworks, musical compositions, anddramatic and non-dramatic literary works related to the author'sacademic or professional field, regardle~s of the medium ofexpression. This applies to works authored by students,professionals, faCUlty and nonwfaculty researchers. The Boardof Regents encourages these creators to manage their

Page 1 of 3


copyrights in accordance with the gUidelines concerningmanagement and marketing of copyrighted works.

Sec. 5 Board May Not Assert Interest in Certain Software. The Boardof Regents normally asserts ownership in software as aninvention: however, original softwDre that is content covered bySection 4 above or that is integral to the presentation of suchcontent shall be owned in accordance with Section 4 above.

Sec. 6 Works for Hire. Notwithstanding the provisions of Sections 4and 5 above, the Board of Regents shall have sale ownership ofall intellectual property created by LIn employee wtlO was hiredspecifically or required to produce it or commissioned by theU. T. System or any of its institutions. Except as may beprovided othelVJise in a written agreement approved by thepresident of the institution, the provisions of the Regents' Rillesand Regulations Series 90102, Number 2, Section 2.5 relatingto division of royalties shall not npply to intellectual propertyowned solely by the Board of Regents pursuant to thisSection 6.

Sec. 7 Roie of Creator. Any person subject to this poiicy who creatBsintellectual property other than on government or othersponsored rese<lrch projects where the grant agreementsprovide otherwise, shouid have a major role in the uitimatedetermination of how it is to be published; however, thepresident may, in his or her sole discretion, decide whether todevelop and commercialize an invention after securing availableprotection for the creation, if necessary.

Sec. 8 Service of Public Interest. it is a basic policy of the U. TSystem or any of its institutions that intellectual property bedeveloped primarily to serve tho public interesl. This objectiveusually will require development and commercialization byexclusive or nonexclusive licensing.

Sec. 9 Use of Facilities and Resources. Neither the facilities nor theresources of the U. 1. System or any of its institutions may beused (i) to create. develop, or commercialize intellectualproperties outside the area of expertise for which the individualwas hired (See Regents' Rules and Regolations Series 90102,Number 2, Section 1); or (ii) to further develop or cummercializeintellectual properties that have been released to an 'Inventor(See Regents' Rules and Regulations Series 90102, Number 2,Section 2.2) except <:lS the institution's president may approve

Page 2 of 3


where the U. T. System retains an interest under the terms ofthe release.

Sec. 10 Creation of Data. Data created by an employee is owned by theBoard of Regents and the creator shaH have a nonexclusivelicense to use such data for nonprofit educational, research, andscholarly purposes within the scope of the employee'semployment, subject to adherence to other provisions of thispolicy.

3. Definitions

None


None


Regents' Rules and Regulations Serie~ 99102 - Property Rights andObligations

6. Who Should Know





December 10, 2004


Questions or comments regardiny this rule should be directed to:


Page 3 of 3


1. Title

Property Rights and Obligations


Series: 90102

Sec. 1 Intellectual Property Owned by the Creator. For all individualssubject to this policy. Intellectual property outside the area ofexpertise for which the indIvidual was hired that is developed onhis/her own time and without the support of the U. T. System orany of its institutions or use of their facilities is the exclusiveproperty of the creator.

Sec. 2 Intellectual Property Owned by U. T. System. Intellectualproperty either related to the area of expertise for which anindividual was hired or resulting from activities performed onU. T. System time. or with support by State funds. or from usingfacilities owned by the U. T. System or any of its institutions issUbject to ownership by the Board of Regents.

2.1 Determination of U. T. System's Interest. Beforeintellectual property subject to ownership by the Board ofRegents is disdosed to any party outside theU. T. System. to the public generally. or for commercialpurposes, and before publishIng same, the creator shsllsubmit a reasonably complete and detailed disclosure ofsuch intellectual property to the president of Ihe creator'sinstitution for determination of the U. T. System's interest.

2.2 Election Not to Assert Interest. If the institution'spresident elects not to assert and exploit U. T. System'sinterest, the Office of General Counsel and the creatorshall be notified within 30 days after a decision is madenot to assert ownership rights that the invention will bereleased to the creator. Thereafter, he or she will be freeto obtain and exploit a patent or other inteliectualproperty protection ;n his or her own right and theU. T. System and its institutions shall not have anyfurther rights, obligations, or duties with respect theretoexcept that, in appropriate circumstances, the institution'spresident may eject to impose certain limitations orohligations or retain income rights.

2.3 Lster Release of Invention_ The institution's presidentmay eject to release an invention to its creator at any

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time after asserting U. T. System's interest, with notice tothe Office of General Counsel; however, such a releaseshall include provisions for the recovery of patent andlicensing expenses, if any, as well as the retention ofincome rights.

2.4 Protection of intellectual Property. With respect tointellectual property in which the U. T. System or any ofits institutions asserts an interest. the institution'spresident shall decide how, when, and where theintellectual property is to be protected. Outside counselservices may be contracted with the consent of the ViceChancellor and General Counsel and, if required by law,the approval of the Attorney General. It shall bemandatory for all persons sUbject to this policy to assignthe rights to intellectual property and patents to the Boardof Regents when such creations fall within Number 2,Section 2 of this Series.

2.5 Reimbursement of Licensing Costs and Allocation ofIncome. In those instances where the U. T. System orany of its institutions licenses rights in intellectualproperty to third parties, the costs of iicensing, including,but not limited to, the costs to operate and support atechnology transfer office and the costs of obtaining apatent or other protection for the property on behalf of theBoard of Regents must firsl be recaptured from anyroyalties or other license payments received by the U. T.System or any of its institutions before the remainder ofsuch income (including but not limited to license fees,prepaid royalties. minimum royalties, running royalties,milestone payments, and sublicense payments) shall bedivided as follows:

50% to creator50% to System.

With the prior approval of the Board as an agenda item,an institution may adjust the allocation of royalties setforth herein for all its creators, but in no event shall thecreator receive more than 50% or less than 25% of suchproceeds. Any other deviation from this rule in individualcases requires the prior approval of the Board.

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The University of Texas SystemRules and Regulations of the Board of Regents Series: 9010~

Sec. 3 Intellectual Property Involving Sponsored Research. Intellectualproperty resulting from research supported by a grant orcontract with the federal government, or an agency thereof, witha nonprofit or for profit nongovernmental entity, or by a privategift or grant to the U. T. Syslem or any of its institutions shall besubject to ownership by the Board of Regents.

3.1 Nonconformance with Intellectual Property Guidelines.Administrt1tive approval of such grants and contractscontaining provisions inconsistent with this policy or otherpolicies and guidelines adopted by the Board imply adeCision that the value to the U. T. System or any of itsinstitutions of receiving the grant or penorming thecontract outweighs the impact of any nonconformingprovisions on the intellectual property policies andguidelines of the U. 1. System or any of its institutions(Reference Regents' Rules and Regulations Series90105, Number 2, Section 2).

3.2 Conflicting Provisions. The intellectual property policiesand guidelines of the U. T. System or any of itsinstitutions are subject to, and thus amended andsuperseded by, the specific terms pertaining toIntellectual property rights Included in federal grants andcontracts, or grants and contracts with nonprofit and forprofit nongovernmental entitles or private donors, to thE"!extent of any conflicL

3.3 Cooperation with Necessary Assignments. Thosepersons subject to this policy whose intellectual propertycreations result from a grant or contract with the federalgovernment, or any agency thereof, with a nonprofit or forprofit nongovernmental entity, or by private gift to theU. 1. System or any of its institutions shall make suchassignment of such creations as is necessary in eachcase in order that the U. T. System or any of itsinstitutions may rfiRcharge its obligation, expressed orimplierf, under the particular agreement.

3.4 Sharing of Royalty Income. In the event that two or morepersons who are entitled to share royalty incomepursuant to Number 2, Section 2.5 of this Series (orequity pursuant to Regents' Rules and RegulationsSeries 90103 concerning equity interests) cannot agreein writing on an appropriate sharing arrangement, tl1at

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portion of the royalty income to which the creators areentitled will be distributed to them as the institution'spresident or, in the event that the creators are located attwo or more institutions within lhe U. T. System, theChancellor may deem appropriate under thecjrcumstances and such decision shall be binding on thecreators.

3.5 Geographical Scope of Protection. A decision by theU. T. System or any of its institutions to seek palent orother available protection for intellectual property coveredby Number 2, Section 2 of this Series shall not obligatethe U T. System or any of its institutions to pursue suchprotection in all national jurisdictions. The U. T. System'sdecision relating to the geographical scope and durationof such protection shall be final.

3. Definitions

None


None


Regents' Rules and Regulafions Series 90103 - Equity interests

6. Who Should Know





December 10. 2004

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Series: 90102

- ,'..



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The University of Texas SystemRules and RegUlations of the Board of RQgents

1. Tille

Equity Interests


Series: 90103

Sec. 1 Agreements with Business Entities. In agreements withbUSiness entities relating to rights in intellectual property ownedby the Board of Regents, the U. T. System or any of Itsinstitutions may receive equity interests as partial or totalcompensation for the rights conveyed. In any such instance,the institution where the intellectual property was createdmay elect, at its option, to share an equity interest, dividendincome, orthe proceeds of the sale of an equity interest With thecreator(s) in the same manner as royalties are shared pursuantto Regents' Rules and Regulations, Series 90102, Number 2,Section 2.5. The U. T. System or any of its institutionsmay also receive equity interests in a business entity asconsideration for the institution's role as a founder or cofounderof the business entity, and shall not be obligated to share suchequity interests with the creator(s}.

Sec. 2 Creator Holding Equity and Managing Conflict of Interes\.Employees of the U. T. System or any of its institutions whoconceive, create, discover, invent, or develop intellectualproperty may hold an equity interest in a business entity thathas an agreement with the U. T. System or any of its institutionsrelating to the research, development, licensing, or exploitationof that inteliectual property only so long as the institution wherethe intellectual property was developed is in full compliance withthe requirements to have, implement and enforce for thatemployee an effective conflict of interest management planapproved by the institution's president as set forth in theProcedure for Ob.tfJ.Iring Approvf!J of Plan. to Manage Confhcts ofJnt.erest. In any case where actual conflict of interest is found,the employee may be required to divest the equity interest orterminate affected research.

Sec. 3 Employee Equity Interests. The U. T. System or any of itsinstitutions may, but shall not be obligated to, negotiate anequity interest on behalf of any employee as a part uf anagreement between the U. T. System or any of its institutionsand a business entity relating to intellectual property conceived,created, discovered, invented, or developed by tile employeeand owned by the Board of Regents_

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3. Definitions

None


None


Series: 90103

Regents' Rules and Regulations Series 90102 - Property Rights andObligations

6, Who Should Know

AdministratorsFacultyStudents




December 10, 2004




Page 2 of 2


1. Title

Business Participation and Reporting


Series: 90104

Sec. 1 Approval to Serve as Officer or Director. Any employee of theU. T. System or any of its institutions who conceives, creates,discovers, invents or develops intellectual property may serve,in his/her individual capacity, as a member of the board ofdirectors or other governing board or as an officer or anemployee (other than as a consultant) of a business entity thathas an agreement with the U. 1. System or any of its institutionsrelating to the research, development, licensing, or exploitationof that inteliectual property only so long as the componentinstitution where the intellectual property was developed is in fullcompliance with the requirements to have, implement, andenforce for that employee an effective conflict of interestmanagement plan approved by the institution's president as setforth in the Procedure fo.cObtainmg Approval of PlafJ.jo ManageConflicts of Intwes1. In any case where actual conflict ofinterest is found, the employee may be required to terminate thebusiness relationship or the relevant research.

Sec. 2 Request for Employee to Serve as Officer or Director. Whenrequested by the Board of Regents, an employee may serve onbehalf of the Board of Regents as a member of the board ofdirectors or other governing board of a business entity that hasan agreement with the U. T. System or any of its institutionsrelating to the research, development, licensing, or exploitationof intellectual property, but may not accept any considerationoffered for service on such board.

Sec 3 Report of Equity Interest and Service as Officer or Director. Anyemployee covered by Regents' Rules and Regulations Series90103, Number 2, Section 2 concerning conflict of interest andSections 1 or 2 above must report in writing to the president ofthe institution the name of any business entity in which theperson has an interest or for which the person serves as adirector, officer, or employee and shall be responsible forsubmitting a revised written report upon any change in theinterest or position held by such person in such business entity.The Vice Chancellor and General Counsel will file a report byOctober 1 of each year with the Board of Regents as requiredby Texas Education Code S",ctipn 51.912 and include this

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information in the annual financial report sent to the Stateofficials listed in Texas Education Code gection .51.005.

3. Definitions

None


Texas Education Code Section 51.005 - Reports. .

Texas Education Code SectiQn 51.912 - Equity Ownership: BusinessParticipation


Regents' Rules and Regulations Series 90103 - Equity Interests

6. Who Should Know





December 10, 2004


Questions or commen1s regarding this rule should be directed to:


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The University of Texas System~R",u!!,le",s'U!a!..!nd"-,R"e"g.,u"l,,at!..!io"-n,,s"-,o...f ..,th"'e'-"6"'o"'a"'rd"-"o...f ...R"'e"'g"'e"n...ts"--- -"Series: 90105

1. Title

Execution of Legal Documents Related to Intellectual Property


Sec. 1 Execution of Agreements. Agreements that grant an interest inBoard intellectual property, including but not limited to optionand license agreements ~md contracts with corporate ~ponsors

may be execuled and delivered in accordance with theprovisions af the Regents' Rules and Regulations, Series10501, after any required review by U. T. SystemAdministration's Office of General Counsel.

Sec. 2 Agreements That Do Not Conform to the Rules. Any agreementthat deviates substantially from the basic intellectual propertypolley of the U. T. System as set out in the Regents' Rules andRegu/atirms may be executed and dellvered as set forth inSection 1 above if, In the judgment of the institution's pre~ident,

the benefits from the leve! of funding for proposed researchand/or other consideration from ~ sponsor, licensee, or otherparty outweigh any potential disadvantage that may result fromthe policy deviation.

Sec, 3 Authority to Execute Documents. The Chancellor, theappropriate Executive Vice Chancellor, or the Vice Chancellorand General Counsel may execute, on behalf of the Board ofRegents, legal documents relating to the Board's rights inintellectual property including, but not limited to, applications,declarations, affidavits, powers of attorney, disclaimers, amJother such documents relating to patents and copyrights;applications, declarations. affidavits, affidavits of use, powers ofattorney, and other such documents relating to trademarks; andcorporate documents related to the formation of newcompanies. In addition, the institution's president may execute,on behalf of the Board, institutional applications for registrationor recordation of transfers of ownership and other suchdocuments relating to copyrights.

3. Definitions

None

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None


Series: 90105

'------

Regents' Rules and Regulations Series 10501 - Delegation to Act onBehalf of the Board

Regents' Rules and Regulations Series 90101 thru 90106 - Related tointellectual Property Issues

6. Who Should Know

Administrators




December 10, 2004




Page 2 of 2


1. Title

Income from Intellectual Property


Series: 90106

3.

4.

Sec. 1 Use Of Income. The portion of the net income the U. T. Systemor any of its institutions retains from royalties and any otherintellectual property-related income shall be used by theinstitutions where the income~producing creation originated.

Sec. 2 Income Payable to an Individual Subject to this Policy. With theprior written approval of the institution's president, paymentspayable to an individual, pursuant to Regents' Rules andRegulations Series 90102, Number 2, Section 2.5 concerningreimbursement of costs and allocation of income, may beassigned to the institution by the individual and designated foruse in research to be conducted by that individual.

Definitions

None

Relevant Federal and State Statutes

None


Regents' Rules and Regulations Serle8.90102 - Property Rights andObligations

6. Who Should Know





December 10, 2004

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Series: 90106



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