2007 Reaffirmation Teams :: 3.11.1 - 2007 Reaffirmation Teams

2007 Reaffirmation Teams

3.11.1 - 2007 Reaffirmation Teams

The institution exercises appropriate control over all its financial and physical resources. (Note: Formerly part of CS 3.10.4)

Compliance Judgment

Compliance

Narrative

The University of Texas at Dallas (UT Dallas) exercises appropriate control over all of its physical resources. The vice president for business affairs (VPBA) has primary responsibility for control over the university’s physical resources [1]. The VPBA is responsible for establishing and communicating policies and procedures that ensure appropriate levels of control over physical recourses. Departments reporting to the VPBA and sharing in the responsibility of monitoring the university’s controls include Procurement Management (Purchasing, Property Administration, and Receiving) [2], Facilities Management [3], Environmental Health and Safety (EHS) [4], and UT Dallas Police (UTDPD) [5]. The Office of the VPBA, Procurement Management, Facilities Management, EHS, and UTDPD all develop annual assessment plans for their units, complete with goals and assessment measures to monitor success at achieving those goals. These assessment plans generate an annual report that “closes the loop.” The data are documented in UT Dallas’ web-based assessment tool, AT6, and are used to ensure that the Office of the VPBA and the units under the VPBA help the university fulfill its mission [6] [7] [8] [9] [10]. In particular, the Facilities Management Division proactively takes on the responsibility of adequate day-to-day functioning of university physical resources by providing an effective and efficient environment conducive to supporting the educational, research, and social responsibilities of the university as defined in UT Dallas’ mission statement [11]. The credentials of the VPBA and the Business Affairs Leadership Team (BALT) are available in the Staff Credentials Navigator [12].

Audit and Risk Assessment

The Office of Audit and Compliance [13] reports directly to the president to ensure independence in carrying out its responsibility of promoting and supporting a culture of compliance and control consciousness. To continuously improve its services, the office assesses its operations annually using AT6, which allows departments to monitor their progress towards achieving their goals [14]. UT Dallas complies with The University of Texas System (UT System) Policy UTS 129 Internal Audit Activities [15]. UT Dallas conducts regular audits of the property inventory and key operating areas. UT System Policy UTS119 Institutional Compliance Program contains information on internal audits and the Annual Financial Report [16]. The university, under the guidance of the Office of Audit and Compliance and as a part of the university’s Institutional Compliance Program [17], conducts periodic risk assessments to determine areas of high risk or potential exposure. For areas identified as high risk, a designated responsible person develops a monitoring and training plan. The Audit and Compliance Committee covers quarterly the progress made and issues of concern. Employees with signature authority receive annual web-based training regarding effectively controlling risks [18].

Campus Master Plan

The Campus Master Plan [19] was developed to facilitate planning for the future growth of the university in alignment with strategic planning. In connection with a campus landscape enhancement project, the Campus Master Plan is currently being updated via a contract with Peter Walker and Partners. The new plan focuses on improving the total aesthetics of the university. It is anticipated that the update will be available in fall 2007. Preliminary documentation on the revised master plan was distributed to the campus on January 17, 2007 [20] [21] [22]. In addition, UT Dallas submits a master plan report (MP1) to the Texas Higher Education Coordinating Board (THECB) annually. The report contains planned major construction and renovation projects for a six year period. The report is certified by the university’s president [23]. UT Dallas’ strategic plan, “Creating the Future [24],” and the strategic implementation plan [25], which discusses and sets time tables for new construction; provide input for the MP1 plan.

Capital Improvement Plan

UT Dallas follows the regulations of UT System with regards to the Capital Improvement Program (CIP) [26]. The CIP is approved by the Board of Regents on a biennial basis and includes a six-year projection of major new construction and repair and rehabilitation projects. The CIP can also be updated via an off-cycle request and reflects UT Dallas’ continuous process of strategic planning and master planning. The current plan encompasses 2006-11 [27]. The CIP contains a listing and description of all active projects and a listing of all potential projects. The Board of Regents reviews all submitted projects to ensure it complies with the latest Campus Master Plan. Series 80402 of UT System Board of Regents’ Rules and Regulations (Major Construction/Repair and Rehabilitation Project [28]), Series 80403 (Minor Construction/Repair and Rehabilitation Projects [29]), and Series 80301 (CIP [30]) govern the development, funding, and approval of the UT Dallas’ Facilities Planning program. THECB also reviews all Capital Projects and maintains a listing of all construction, renovation, and land acquisition projects for the next five years [31].

Deferred Maintenance

The university tracks and reports deferred maintenance annually to the THECB [32]. If deferred maintenance for the campus exceeds 5.0% of the replacement value of educational and general (E&G) space, the university must provide an action plan to remediate the deferred maintenance and show progress in reducing the deferred maintenance in order to have any new major construction or renovation projects approved. The THECB annually receives reports on deferred maintenance expenditures. The president certifies the deferred maintenance summary (MP2) and report of deferred maintenance expenditures (MP4); the certification for 2007 is supplied in the supporting documents [33]. UT Dallas makes every effort to track deferred maintenance accurately and to identify funding sources to address deferred maintenance in a prioritized and timely fashion. In fiscal year 2006, UT Dallas received a UT System Permanent University Fund (PUF) allocation of $8.2 million for its most critical deferred maintenance items. Approximately half of the work was completed in fiscal year 2006 with the remainder scheduled for completion in fiscal year 2007.

Property Administration

The Office of Property Administration, under the direction of the assistant vice president for procurement management, is responsible for UT Dallas’ property inventory and the surplus property program. The property inventory is updated annually by each department [34] and consists of equipment and systems with a value of $5,000.00 or greater and controlled equipment (electronic equipment and laboratory equipment valued from $500.00 to $4,999.00). The property inventory is reported to the State each year along with a report of missing equipment [35]. The property office on campus holds the missing equipment report. The property office creates the report using an in-house database. Department heads are responsible for the property within their departments. Departmental property liaisons (designated by the department heads) are trained annually regarding inventory policies and procedures via the online compliance training program [36]. Property administration handles the disposal of surplus property in accordance with Series 80201 of Regents’ Rules (Disposal of UT System Property [37]). UT Dallas’ internal policies and procedures related to property administration are housed in UT Dallas’ Administrative Policies and Procedures Manual [38] [39] [40] and are available on the VPBA’s website [1] and UT Dallas’ Handbook of Operating Procedures [41].

Insurance Programs (Risk Management)

UT Dallas participates in the UT System Risk Management program [42]. This program provides a variety of insurance policies (property, auto, equipment, crime, etc.). UT System-wide insurance policies are developed to take advantage of favorable rates. At UT Dallas, the associate vice president for business affairs is responsible for the Risk Management program [43].

Emergency Management

When emergencies occur, the UTDPD utilizes e-mail, calls to voice mailboxes, flyers on buildings, and headlines on the UT Dallas website to communicate with the campus community. In summer 2007, the Emergency Management Division of the UTDPD updated the comprehensive Emergency Operation Plan [44] to ensure that it is compliant with the National Incident Management System (NIMS). The plan addresses various man-made and natural disasters that may pose threats to the campus community. Copies of the revised Emergency Operation Plan (EOP) are distributed to all offices with roles in the plan, and the EOP is also on the UTDPD website. The EOP outlines procedures to be followed by each responsible area identified in the EOP. The EOP is periodically (at least annually) reviewed, exercised, and tested at the local, regional, and state level to ensure that the university’s response to an emergency will protect lives and preserve university assets.

Additional information regarding other health and safety related programs that are the responsibility of EHS and UTDPD can be found in the response to Principle 3.11.2 [45].

Supporting Documents

Footnote Document
[1]Business Affairs Homepage and BALT Roster
PDF Document, 1 Page, 189.77 KB (statement1295)
[2]Diagram Procurement Management Web Site
PDF Document, 2 Pages, 49.15 KB (diagram1022)
[3]UT Dallas Facilities Management Website
PDF Document, 1 Page, 9.71 KB (statement1001)
[4]UT Dallas Office of Environmental Health and Safety Homepage
PDF Document, 1 Page, 23.86 KB (charter1004)
[5]Diagram Police Department Web Site
PDF Document, 4 Pages, 294.33 KB (diagram1021)
[6]Police Department - FY06
PDF Document, 10 Pages, 38.32 KB (areport1143)
[7]Environmental Health and Safety - FY06
PDF Document, 4 Pages, 16.93 KB (areport1142)
[8]Procurement Management - FY06
PDF Document, 5 Pages, 20.00 KB (areport1155)
[9]Facilities Management - FY06
PDF Document, 4 Pages, 16.95 KB (areport1147)
[10]Business Affairs Operations - FY06
PDF Document, 6 Pages, 21.15 KB (areport1152)
[11]UT Dallas Mission Statement
PDF Document, 2 Pages, 11.70 KB (statement1017)
[12]Credential Navigator - VPBA and the Leadership Team (BALT)
http://sacs.utdallas.edu/crednav/index.zog?s=scred_businessdirect#report
[13]UT Dallas Office of Audit and Compliance
PDF Document, 1 Page, 47.38 KB (charter1006)
[14]Audit - FY06
PDF Document, 9 Pages, 26.97 KB (areport1156)
[15]UT System Policy UTS 129 Internal Audit Activities
PDF Document, 6 Pages, 71.91 KB (policy1093)
[16]UT System Policy UTS 119 Institutional Compliance Program
PDF Document, 7 Pages, 76.61 KB (policy1094)
[17]UT Dallas Institutional Compliance Program
PDF Document, 1 Page, 36.22 KB (charter1005)
[18]Compliance Training - Effectively Controlling Risk
PDF Document, 37 Pages, 334.78 KB (training1001)
[19]UT Dallas Campus Master Plan
PDF Document, 11 Pages, 1.84 MB (plan1003)
[20]Draft Revised MP Document #1
PDF Document, 1 Page, 449.53 KB (map1002)
[21]Draft Revised MP Document #2 Parking
PDF Document, 1 Page, 250.86 KB (map1001)
[22]Draft Revised MP Document #3 Buildings
PDF Document, 1 Page, 128.65 KB (map1000)
[23]UT Dallas Master Plan Certification MP1
PDF Document, 2 Pages, 89.31 KB (report1340)
[24]UT Dallas Strategic Plan
PDF Document, 25 Pages, 137.29 KB (plan1033)
[25]Implementation of the UT Dallas Strategic Plan White Paper
PDF Document, 30 Pages, 145.55 KB (report1217)
[26]UT System Office of Facilities Planning and Construction Capital Improvement Program Website
PDF Document, 1 Page, 44.16 KB (statement1252)
[27]UT Dallas Capital Improvement Program, 2006-2011
PDF Document, 2 Pages, 79.42 KB (budget1002)
[28]Board of Regents Rules Series 80402 Major Construction and Repair/ Rehabilitation Projects
PDF Document, 4 Pages, 24.04 KB (rule1010)
[29]Board of Regents Rules Series 80403 Minor Construction and Repair Rehabilitation Projects
PDF Document, 2 Pages, 18.65 KB (rule1011)
[30]Board of Regents Rules Series 80301Capital Improvement Program
PDF Document, 3 Pages, 18.78 KB (rule1009)
[31]THECB Integrated Campus Planning Master Plan MP1
PDF Document, 2 Pages, 167.36 KB (report1142)
[32]THECB Office of Finance and Resource Planning Homepage
PDF Document, 2 Pages, 79.96 KB (statement1151)
[33]UT Dallas Assessment of Deferred Maintenance and Demolition Needs (MP2) Summary Report for Fiscal Years 2008-2012 and Deferred Maintenance Expenditures (MP4) Summary Report for FY2006
PDF Document, 3 Pages, 206.07 KB (budget1007)
[34]Property Inventory List
PDF Document, 2 Pages, 82.30 KB (list1023)
[35]Property Inventory Report and Report of Missing Equipment
PDF Document, 1 Page, 49.92 KB (report1003)
[36]Compliance Training - Property Inventory
PDF Document, 40 Pages, 198.87 KB (training1009)
[37]Rules and Regulations of the Board of Regents, Series 80201, Disposal of U.T. System Property
PDF Document, 4 Pages, 25.65 KB (rule1007)
[38]UT Dallas Business Affairs Administrative Policies and Procedures Manual - Property Administration F15-100.0
PDF Document, 1 Page, 13.56 KB (policy1008)
[39]Administrative Policies and Procedures Manual, Inventories, F15-110.0
PDF Document, 1 Page, 36.01 KB (policy1009)
[40]UT Dallas Business Affairs Administrative Policies and Procedures Manual - Stolen/Missing Equipment F15-130.1
PDF Document, 2 Pages, 69.43 KB (policy1010)
[41]SACS Accreditation Notice Handbook of Operating Procedures (HOP)
PDF Document, 1 Page, 40.74 KB (statement1318)
[42]U.T. System Office of Risk Management, Annual Report, FY 2005
PDF Document, 22 Pages, 839.65 KB (accom1449)
[43]UT Dallas Business Affairs Risk Mgt. Services
PDF Document, 1 Page, 10.68 KB (procedure1001)
[44]UT Dallas Emergency Operations Plan - dated 20070701
PDF Document, 45 Pages, 157.92 KB (procedure1047)
[45]Principle 3.11.2 - Institutional Environment (u361)
Link to UT Dallas 2007-ccr Compliance Certification Report