Documents for Compliance Certification Reports

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The following links are sources for completing some of the general portions of the compliance certification reports. This would cover board or state documents that are not institution specific.

 

2.1 Degree-granting authority

• Texas Education Code, Subchapter C, Section 65.31 General Powers and Duties of the Board of Regents
• Texas Education Code, Subchapter C, Section 61.051 Coordinating Board Statutory Authority

2.2 Governing board

• List of regents, terms, and links to biographies
• Rules and Regulations of the Board of Regents of The University of Texas System, Series 10101, Authority: Section 1
• Texas Education Code, Subchapter B, Section 65.11 (et seq.)
• Minutes of Board meetings (select most current two years as evidence that the Board is an active policy-making body)
• Rules and Regulations of the Board of Regents, Series 20501, Accounting, Operating Budgets, and Legislative Appropriation Requests: Section 3
• Rules and Regulations of the Board of Regents, Series 30104, Conflict of Interest: Section 1
• Texas Government Code, Section 572.051 - Standards of Conduct

2.3 Chief executive officer

• Rules and Regulations of the Board of Regents, Series 20201, Presidents: Sections 1 (Selection), 2 (Reporting), and 4 (Duties and Responsibilities)

2.4 Institutional mission

• THECB list of approved mission statements (select institution)

2.5 Institutional effectiveness

• Final versions of institutional compacts (select year and institution)
• UT System Accountability and Performance Report (select year)
• THECB Accountability System

2.6 Continuous operation

• THECB CBM reports for the most recent year (Texas Higher Education Data website)

2.7 The institution

2.7.3 General education

• Texas Higher Education Coordinating Board Rules, Chapter 4, Subchapter B, §4.28, Core Curriculum for a listing of the THECB/State of Texas General Education Requirements

2.11 Resources

• UT System Policy: Internal Audit Activities (UTS129)
• UT System Office of the Controller (budgets, financial reports)

3.1 Institutional Mission

3.1.1 Mission

• Texas Higher Education Coordinating Board Rules, Chapter 5, Subchapter B, regarding Texas Education Code, A § 61.051

3.2 Governance and Administration

3.2.1 CEO evaluation/selection

• Selection: Rules and Regulations of the Board of Regents, Series 20201, Presidents: Section 1
• Evaluation: Rules and Regulations of the Board of Regents, Series 31101, Evaluation of Administrators: Section 1

3.2.2 Governing board control

3.2.2.1 - institution's mission

• Texas Education Code, Subchapter C, Section 61.051 Coordination of Institutions of Public Higher Education

3.2.2.2 - fiscal stability of the institution

• Texas Education Code, Subchapter C, Section 61.065 Reporting; Accounting
• THECB Rules and Regulations, Chapter 13, Financial Planning, Subchapter C. Budgets

3.2.2.3 - institutional policy

• Texas Education Code, Subchapter B, Section 65.11

3.2.3 Board conflict of interest

• Rules and Regulations of the Board of Regents Series 30104, Conflict of Interest: Section 1
• Texas Government Code, Section 572.051 - Standards of Conduct

3.2.4 External influence

• Texas Government Code, Chapter 551 Open Meetings, Sections 551.001 - 551.146
• Texas Government Code, Section 572.005 - Determination of Substantial Interest

3.2.5 Board dismissal

• Texas Education Code, Subchapter B, Section 65.11
• Language (from the Office of the Board of Regents): Removal of a member of the Board of Regents must be conducted pursuant to a formal and public process specified in Article XV of the Texas Constitution. Section 7 of Article XV directs the legislature to provide by law for the trial and removal of officers. Pursuant to that directive, Section 665.002, Texas Government Code, provides for the impeachment of specified officers, including members of the governing boards of institutions of higher education. The impeachment process is typical, with the House of Representatives voting to impeach and the Senate conducting a trial. In addition to impeachment, Section 9 of Article XV authorizes the Governor who appointed an individual to an office (such as a member of the Board of Regents) to remove that individual with the advice and consent of two-thirds of the members of the Senate present. In both procedures for removal, the Governor must call a special legislative session to address the removal if the legislature is not in session.

3.2.6 Board/administration distinction

• Rules and Regulations of the Board of Regents Series 10100, Rule on Rules and Regulations
• Rules and Regulations of the Board of Regents Series 20101, Chancellor
• Rules and Regulations of the Board of Regents Series 20201, Presidents

3.2.7 Organizational structure

• Rules and Regulations of the Board of Regents Series 20201, Presidents

3.2.8 Qualified administrative/academic officers

• Rules and Regulations of the Board of Regents Series 20102, Appointment of Officers
• Rules and Regulations of the Board of Regents Series 20201, Presidents

3.2.9 Faculty/staff appointment

• Rules and Regulations of the Board of Regents Series 30102, General Appointment Information
• Rules and Regulations of the Board of Regents Series 31001, Faculty Appointments and Titles

3.2.10 Administrative staff evaluations

• Rules and Regulations of the Board of Regents Series 31101, Evaluation of Administrators

3.2.12 Fund-raising activities

• Rules and Regulations of the Board of Regents Series 20201, Presidents
• Rules and Regulations of the Board of Regents Series 60301, Development Board of an Institution

3.2.13 Institution-related foundations

• Rules and Regulations of the Board of Regents Series 60101, Acceptance and Administration of Gifts
• Rules and Regulations of the Board of Regents Series 60102, Fee for Institutional Endowment Compliance
• Rules and Regulations of the Board of Regents Series 60103, Guidelines for Acceptance of Gifts of Real Property
• Rules and Regulations of the Board of Regents Series 60201, Administration of Fellowships, Scholarships, and Loan Funds
• Rules and Regulations of the Board of Regents Series 60202, Endowed Academic Positions
• Rules and Regulations of the Board of Regents Series 60301, Development Board of an Institution
• Rules and Regulations of the Board of Regents Series 60302, Advisory Councils of an Institution
• Rules and Regulations of the Board of Regents Series 60304, Internal Nonprofit Corporations
• Rules and Regulations of the Board of Regents Series 60305, External Nonprofit Corporations
• Rules and Regulations of the Board of Regents Series 60306, Use of University Resources

3.2.14 Intellectual property rights

• Rules and Regulations of the Board of Regents Series 90101, General Rules for Intellectual Property
• Rules and Regulations of the Board of Regents Series 90102, Intellectual Property Rights and Obligations
• Rules and Regulations of the Board of Regents Series 90103, Equity Interests
• Rules and Regulations of the Board of Regents Series 90104, Business Participation and Reporting
• Rules and Regulations of the Board of Regents Series 90105, Execution of Legal Documents Related to Intellectual Property
• Rules and Regulations of the Board of Regents Series 90106, Income from Intellectual Property

3.5 Educational Programs: Undergraduate Programs

3.5.1 College-level competencies

• Texas Higher Education Coordinating Board Rules, Chapter 4, Subchapter B, Transfer of Credit, Core Curriculum and Field of Study Curricula for the THECB General Education Requirements and Competencies

3.6 Educational Programs: Graduate and Post-Baccalaureate Professional Programs

3.6.1 Post-baccalaureate program rigor

• Texas Higher Education Coordinating Board Rules, Chapter 5, Subchapter C, Approval of New Academic Programs and Administrative Changes at Public Universities and/or Health-Related Institutions
• Rules and Regulations of the Board of Regents Series 40307, Academic Program Approval Standards

3.7 Faculty

3.7.4 Academic Freedom

• Rules and Regulations of the Board of Regents Series 31004, Rights and Responsibilities of Faculty Members

3.7.5 Faculty role in governance

• Rules and Regulations of the Board of Regents Series 40101, Rights and Responsibilities of Faculty Members

3.10 Financial Resources

3.10.4 Control of finances

• Rules and Regulations of the Board of Regents Series 80101, Category of Facilities and Users
• Rules and Regulations of the Board of Regents Series 80201, Disposal of UT System Property
• Rules and Regulations of the Board of Regents Series 80402, Major Construction and Repair and Rehabilitation Projects
• Rules and Regulations of the Board of Regents Series 80403, Minor Construction and Repair and Rehabilitation Projects