MANAGEMENT LEADERSHIP TOOL - UTA
MANAGEMENT LEADERSHIP TOOLPrepared by University Compliance ServicesBox 19270(817) 272-2080compliance@uta.eduwww.uta.edu/compliance
University of Texas at Arlington – Management Leadership ToolTable of ContentsOverview.1Ethics and Conflicts of Interest.3Fiscal Management – General.9Purchasing .12HUB .15Business Contracts .16Property Management .16Gifts .19Human Resources .21Equal Opportunity Services .29Environmental Health & Safety .32Key Card and Access .34Emergency Preparedness .35Records Management .37Information Security .38Research .43Separation of Duties Internal Control Tool .48
STATEMENT/QUESTION/OVERVIEW1. All employees in my department are aware ofand know where to locate the UTA Standards ofConduct Guide.OverviewPOLICY/FORM LINKSStandards of Conduct Guidewww.uta.edu/compliance/pdf/conduct gui de.pdf2. Employees in my department have completed Compliance Training Website (Blackboard)the compliance training modules assigned tohttps://elearn.uta.eduthem. BEST PRACTICES/SUGGESTIONSEncourage employees to read and stayfamiliar with the Standards of ConductGuide. Encourage employees to bring questionsor observations of unethical activity totheir supervisor. Provide new employees with anorientation regarding their dutiesand responsibilities. Inform employees that they canreport suspected issues of noncompliance anonymously throughthe Ethics Hotline 1-877-507-7314.More information about the hotlineis available atwww.uta.edu/compliance.Emphasize the importance of completing theonline compliance training. Employees arenotified via email when training has beenassigned and will be given a deadline tocomplete the training. Supervisors and VicePresidents are also notified. Net IDs aredeactivated if training is not completed prior tothe deadline. New employee compliance training isreleased weekly. Continuing employees complete theirtraining annually, generally inOctober/November.Student employees are also required to Page 1 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSBEST PRACTICES/SUGGESTIONScomplete compliance training.3. I am aware that it is important to havemeasurable written goals and objectives formy department.4. I am aware that it is important to havewritten procedures for criticalsystems/processes in mydepartment.5. I am aware that the Chief Legal Officer andUniversity Attorney is the Officer for PublicInformation at UT Arlington.Unit Effectiveness Process Websitehttp://www.uta.edu/irp/unit effectiveness plans/uep.htmDepartmental Policies and ProceduresManual nualsProcedure 13-1 Access to Recordshttp://www.uta.edu/policy/procedures/13-1 Define department/unit purpose statement. Define department/unit core functionsand/or student competencies for eachdegree offered. Develop the Department/Unit AssessmentPlan for Administrative or Student LearningOutcomes. Identify critical operations. UTS 139 – Texas Public Information actDevelop written procedures and reviewand update them annually.Each employee should know that a writtenrequest for documents must be relayedimmediately to the Chief Legal Officer andUniversity Attorney for handling. Employeesreceiving verbal inquiries about recordsshould also direct those inquiries to the ChiefLegal Officer and University Attorney.Open Recordshttp://www.utsystem.edu/openrecords6. I will notify the Office of Internal Auditwhen any external agency proposes toaudit a specific contract, grant ordepartment activity.Texas Government Code, Chapter 552, x.us/Docs/GV/htm/GV.552.htm Page 2 – University of Texas at Arlington Management Leadership ToolThe Office of Internal Audit can bereached at 817-272-0150 orwww.uta.edu/internalaudit.
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSEthics and Conflicts of Interest7. I understand that I shall not ask or expectan employee to do anything that is inconflict with the law, UT System policy,or UTA policies and procedures.BEST PRACTICES/SUGGESTIONS As a public servant, you have a responsibilityto act as a good steward to the people ofTexas in the performance of your officialduties.UT System, Office of General Counsel, Ethics Website nce/ethicsHandbook of Operating Procedures, Section 5-508,Conflicts of Interest, Conflicts of Commitment, andOutside Activities PolicyManagement personnel are expected to berole models for ethical behavior in theirdepartment. As a UTA employee, your first responsibility isto the University of Texas at Arlington and theUniversity of Texas System.http://www.uta.edu/policy/hop/adm/5/508 Handbook of Operating Procedures, Section 5-508,Conflicts of Interest, Conflicts of Commitment, andOutside Activities Policyhttp://www.uta.edu/policy/hop/adm/5/508 The term “employees” includes alladministrative officers, faculty, classified andnon-classified staff, professional personnel,and student employees.Employees may also contact UniversityCompliance Services with any conflict ofinterest questions at 817-272-2080.A Standards of Conduct Guide for Employeeshttp://www.uta.edu/compliance/pdf/conduct guide.pdf8. Employees in my department are aware thatconflicts of interest and conflicts ofcommitment should be avoided in allinstances of outside or dual employment.9. Employees in my department are encouragedto discuss any potential conflicts of interestand conflicts of commitment with theirsupervisor.UTS180 – Conflicts of Interest, Conflicts ofCommitment and Outside olicies/uts/uts180.pdf10. Employees in my n my department are awarethat, they must request approval throughtheir department chair/head by completingthe required information in the RequestApproval section of the Outside Activity PortalUT System, Office of General Counsel, Ethics compliance/ethicsHandbook of Operating Procedures, Section 5-508,Conflicts of Interest, Conflicts of Commitment, andOutside Activities Policyhttp://www.uta.edu/policy/hop/adm/5/508 Page 3 – University of Texas at Arlington Management Leadership ToolYou may not use UTA resources (includingstationery or business address) in connectionwith any outside employment.The Outside Activity Portal (the Portal) islocated at http://outsideactivity.utsystem.edu
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSprior to any outside board service or outsideemployment.11. I am aware that employees that employeesinvolved in procurement activities andcontract management includes any UTAemployee who makes decisions orrecommendations regarding contract termsor conditions of a contract; who is awarded acontract; preparation of a solicitation for acontract; or evaluation of a bid or a proposal.This applies to procurement activitiesregarding purchases of 15,000 or more.Handbook of Operating Procedures, Section 5-508,Conflicts of Interest Policyhttps://www.uta.edu/policy/hop/5-508BEST PRACTICES/SUGGESTIONS You will use your Net ID and password to loginto the Portal. You will click on “RequestApproval” near the top left and complete therequired information. Once the informationhas been successfully entered, you will routethe form to your Department chair/head forapproval. For policy questions, contact UniversityCompliance Services by emailingcompliance@uta.edu or calling 817-272-2080with policy questions. For technical questions, please click “Helpand Support” within the application andcomplete the required information on theSupport Request Form. You may also call 1855-488-3274 from 9 am to 5 pm Monday –Friday.For competitive procurements, any employeeserving on an evaluation committee for bidsor proposals will be required to sign a “NonConflict of Interest Statement” prior toserving on the evaluation committee. Thisstatement affirms that the employee, nor anyimmediate family member, has no financialor personal interest in any of the firms thathave submitted bids or proposals. In addition,it affirms that no other potential conflictsexist which may bias the employee’sevaluation of the bid or proposal. Page 4 – University of Texas at Arlington Management Leadership ToolFor non-competitive procurements (e.g. “solesource”), both the requesting employee aswell as the Dean/Chair/Business Officer ofthe requester’s department or business unit
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSBEST PRACTICES/SUGGESTIONSsign a similar statement on the ExclusiveAcquisition Form (Form 4-24) that must besubmitted and reviewed by ProcurementServices prior to the purchase being made.This statement affirms that they have notreceived, nor will receive, any financialcompensation, gift, loan, gratuity, specialfavor, trip, or any other type of considerationin return for making the purchase.12. Employees in my department are aware thatthey should cooperate fully with all Universityinquiries or investigations related to anysuspected violations of the laws of the Stateof Texas, Rules and Regulations of theUniversity of Texas System, and/or thepolicies of the University of Texas at Arlingtonor any laws, rules, regulations, or policiesaffecting the operation of the University.13. I am aware that UTA has a legal obligation toprotect the privacy of students and theconfidentiality of student records.UTA HOP 13-1100 Educational Recordshttps://www.uta.edu/policy/hop/13-1100FERPA for UTA Faculty and a.phpUTS 139 – Texas Public Information act UTA faculty and staff are encouraged to usethe greatest precautions in communicatingwith students regarding their grades andother protected academic data. A Student should access his/her grades andother academic data through self-service inMyMav (http://www.uta.edu/mymav). Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department.Texas Government Code, Chapter 552, Texas PublicInformation tm/GV.552.htmTexas Government Code, Section 559.003, Right toPage 5 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSBEST PRACTICES/SUGGESTIONSNotice about Certain Information Laws and s/GV/htm/GV.559.htm#559.003Family Educational Rights and Privacy Act pa/index.htmlFamily Policy Compliance Office x.html14. I am aware that faculty and staff in mydepartment should have a functionalunderstanding of the key concepts of theFamily Educational Rights and Privacy Act of1974.UTA HOP 13-1100 Educational Recordshttps://www.uta.edu/policy/hop/13-1100 FERPA for UTA Faculty and a.phpFamily Educational Rights and Privacy Act pa/index.htmlFamily Policy Compliance Office x.html15. Employees in my department are aware thatUTA requires its employees to use safemethods to identify and authenticate theidentity of students, parents, school officialsand all other parties before disclosingeducational records.UTA HOP 13-1100 Educational Recordshttps://www.uta.edu/policy/hop/13-1100FERPA for UTA Faculty and a.php The key concepts include:o Student’s right of access to studentrecords, including directoryinformationo Written permission requirement fordisclosure of student educationrecordo Parent’s limited right of access tostudent recordso Exceptions to the written permissionrequiremento Legitimate educational interest (jobrequirement)Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department. See the FERPA Basics PowerPointpresentation for additional information athttps://www.uta.edu/records/ downloads/FERPA BASICS.ppt Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department.Family Educational Rights and Privacy Act (FERPA)Page 6 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSBEST /guid/fpco/ferpa/index.htmlFamily Policy Compliance Office x.html16. Employees in my department are aware thatstudent records supported by websites musthave the same level of security and accessthat non-web-based student records do.UTA HOP 13-1100 Educational Recordshttps://www.uta.edu/policy/hop/13-1100FERPA for UTA Faculty and a.phpProcedure 13-5 Records and cedure/13-5 Only releasable directory information can bemade available to the general public andother class members. UTA’s definition of directory information isavailable in HOP 13-1100. Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department. So that no protected data is compromised orInformation Resources Acceptable Use seinfo-resources.phpUTS165 UT System Information Resources Use andSecurity urity-policyFamily Educational Rights and Privacy Act pa/index.htmlFamily Policy Compliance Office x.html17. Employees in my department are aware thatUTA HOP 13-1100 Educational RecordsPage 7 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSthey may only email grades to the student’sofficial UTA email address and only to FERPA for UTA Faculty and a.phpFamily Educational Rights and Privacy Act pa/index.htmlFamily Policy Compliance Office x.html18. Employees in my department are aware thatthe public posting of grades on office, class ordepartmental doors or bulletin boards, or onthe web, which uses the student names oridentifiers, including the UTA ID or NetID orany other identifier that would allow areasonable person in the Universitycommunity who does not have personalknowledge of the relevant circumstances toidentify the student with reasonablecertainty, is prohibited under federal law.19. I will notify the appropriate University officesin the event of a FERPA incident of noncompliance.BEST PRACTICES/SUGGESTIONSUTA HOP 13-1100 Educational Recordshttps://www.uta.edu/policy/hop/13-1100FERPA for UTA Faculty and a.phpwidely broadcast, use caution when using thedelivered email functionality within theMyMav class roster or grade roster to emailacademic information to students. A Student should access his/her grades andother academic data through self-service inMyMav (http://www.uta.edu/mymav). Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department. A Student should access his/her grades andother academic data through self-service inMyMav (http://www.uta.edu/mymav). Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department. Contact the Chief Legal Officer and UniversityAttorney at 817-272-2142 with questions orto schedule training for your department.Family Educational Rights and Privacy Act pa/index.htmlFamily Policy Compliance Office x.htmlPage 8 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEW20. My department has a system forreviewing/reconciling the Cost Center andProject Statements on a monthly basis todetermine whether the University’saccounting records match mydepartment’s records. Appropriateaction is taken in the event that errorsand/or unauthorized transactions areidentified, and all reviews/reconciliations are dated and signed bythe preparer and the reviewer.21. My department is structured so thatone person does not create, approve,and reconcile transactions. If I do nothave the staff to adequately segregatethese duties, I understand that asdepartment head I must take a moreactive role in monitoring mydepartment’s Cost Center(s) andProject ID(s).POLICY/FORM LINKSBEST PRACTICES/SUGGESTIONSFiscal Management - GeneralProcedure 2-3 Cost Center and Project Statementshttp://www.uta.edu/policy/procedure/2-3 Managers should have a workingknowledge of their budgets and UT Share.Regents’ Rules Series No: e-appropriation-requests Implement a departmental system fortracking and reviewing departmentalexpenditures and revenue. The type ofsystem used may vary depending on thecomplexity of the department. If possible, assign different individuals theresponsibility for entering data into thedepartmental system and the responsibilityfor reconciling the departmental system toUT Share. Review departmental reconciliationsmonthly and ensure all transactions areappropriate and there are nomisstatements or omissions. Ensure that errors are correctedProper segregation of duties in adepartment ensures that no singleindividual handles all aspects of atransaction or business process, thusreducing the possibility of undetectederrors or fraudulent activity. Ensure that no one person handles allphases of a transaction, e.g., creates,approves, and reconciles. Employees cannot approve disbursements,including payroll to themselves.Page 9 – University of Texas at Arlington Management Leadership Tool
STATEMENT/QUESTION/OVERVIEWPOLICY/FORM LINKSBEST PRACTICES/SUGGESTIONS 22. I review my department’s monthly phonecharges.Procedure 12-4 Long Distance TelephoneUsage/Cellular Telephone Usagehttp://www.uta.edu/policy/procedures/12-4 Good segregation of duties is critical toprevent fraud in a cash operation. Havingone person in ch
Page 1 – University of Texas at Arlington Management Leadership Tool . Overview STATEMENT/QUESTION/OVERVIEW POLICY/FORM LINKS BEST PRACTICES/SUGGESTIONS 1. All employees in my department are aware of and know where to locate the UTA Standards of
UTA's (Undergraduate Teaching Assistants) will aid the professor during labs and lectures and will also likely lead a lab. UTA's are expected to hold meeting hours. A UTA can not grade or administer exams. To be eligible for a UTA position, you must have previously been an LA. The maximum time commitment for a UTA is 10 hours a week.
A through M me1@mae.uta.edu N through Z me2@mae.uta.edu AE students:students: A through Z ae@mae.uta.edu. Checklist 1. Carefully review your filled form. 2. Send it to the correct e‐mail else it will not be processed. 3. Give us 2 business days to process the form. 4. In case you are not able to regitister bdbeyond 2 days after subiibmission .
The University of Texas at Arlington (UTA) processes payroll using PeopleSoft's Human Capital Management System. Total UTA salaries and wages were 296,274,922 in Fiscal Year 2019. Coordination between the following is critical to help ensure accurate and timely payroll processing. Payroll Services - Payroll Services is part of UTA's Division of
POLiCY FORm SERiES CF-960201-UTA, CF-940101-UTA & CF-940101-UTA wiTh CF-940101-UTA-BiA DesCription: A lump sum benefit cancer policy payable on first diagnosis of internal cancer or malignant melanoma. Benefit amounts are state specific
Adhere to the UTA Agreement and UTA Program. Must return the utility tunnel key and UTA Map upon the agreed time. Disseminate all UTA Program information to utility tunnel entrants and assure compliance. Account for all utility tunnel ent
UTA Santa Fe), and the UTA Research Institute (UTARI) unless otherwise noted . The Report discloses crime statistics for Clery crimes. 2. occurring in UTA’s Clery geography. 3. that have been reported to a UTA Campus Security Authority (CSA). The UTAPD collects on-campus crime statistics daily through its normal law enforcement operations.
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