Compliance Certification Report

3.2.12
The institution's chief executive officer controls the institution's fund-raising activities exclusive of institution-related foundations that are independent and separately incorporated. (Fund-Raising Activities)
√ Compliant
Partially Compliant
Non-Compliant
Narrative:
The president of The University of Texas Medical Branch at Galveston is the chief executive officer and is responsible for administration of all aspects of the institution, including fund raising activities as specified in the Regents' Rules and Regulations of The University of Texas System. These Rules state that the president, under the supervision and direction of the Executive Vice Chancellor for Health Affairs and with the appropriate participation of the staff, is expected to assume active leadership in developing private fund support for the institution (1). Series 60000 of the Regentsí Rules and Regulations specify the presidentís role in fund-raising, in establishing endowed academic positions (2), and in appointing members, adopting guidelines, and serving as an ex officio member with voting privileges on the institutionís development board and advisory councils. The president of each UT System institution is responsible for and has authority over the development board, whose purpose is to assist in the development plans and programs of the institution with an emphasis on increasing private support (3).

The UTMB Development Board was established as the official agency responsible, through the UTMB President and the UT System Chancellor, to the Board of Regents for all private fund development for UTMB. The UTMB president serves as head of the Boardís Executive Committee. The Board has been created to foster goodwill and advocate for the university, promoting its strengths, and assisting it in maintaining a strong financial position. The 86 members of the Board are distributed statewide, with the majority of them coming from the Houston-Galveston area. The Board is comprised of health care professionals, attorneys, educators, business leaders, community leaders, and UTMB alumni. The president of each of the institutionís four alumni associations also serve on the Board (4).

UT System policies also assign responsibilities for the development and implementation of institutional policies regarding review and acceptance of gifts to the institutionís president or a designee of the president (5). The development policies located in UTMB's Institutional Handbook of Operating Procedures (IHOP) are consistent with both UT System Policy Guidelines and the Regentsí Rules. The UTMB president has authorized the Office of University Advancement (OUA) to serve as agent for all philanthropic fundraising programs and for all solicitation, acceptance, and appropriate processing of all contributions (6). The Vice President for University Advancement is responsible for OUA and for overseeing the UTMB Development Board and reports directly to the President.

No individual or organization outside of presidential or Regental control is authorized to engage in fundraising on behalf of The University of Texas Medical Branch at Galveston. No department, division, or individual staff member is authorized to receive money in the name of an institution of the UT System unless authorized by the Chancellor or by the president (7).

In keeping with the presidential role in fund-raising, the immediate past president of UTMB assumed the leadership in a five-year philanthropic campaign originally scheduled to run from September 1, 2003 to December 31, 2008. The goal of the $250 million campaign, ďTimeless Values, Pioneering Solutions,Ē was to push forward the frontiers of biomedical knowledge and practice, especially in four areas: biodefense, infectious diseases and vaccine development; telehealth and access to health care; longevity, chronic conditions and neurological recovery; and innovations in education (8). Due to its overwhelming success, the campaign ended 18 months ahead of schedule having surpassed its $250 million goal.
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Source
1
Regents' Rules and Regulations, Series 20201, Presidents, Section 4.11, Duties and Responsibilities
http://www.utsystem.edu/bor/rules/20000Series/20201%202004%2012%2010%2001.pdf
2
Regents' Rules and Regulations, Series 60202, Endowed Academic Positions, Section 1, Approval Prior to Announcement
http://www.utsystem.edu/bor/rules/60000Series/60202%202004%2012%2010%2001.pdf
3
Regents' Rules and Regulations, Series 60301, Development Board of an Institution, Section 2, Purpose, and Section 4, Governance and Bylaws
http://www.utsystem.edu/bor/rules/60000Series/60301%202004%2012%2010%2001.pdf
4
UTMB Development Board
http://www.utmb.edu/devboard/
5
UT System, Office of Administration, Policy Library, UTS138, Gift Acceptance Procedures
http://www.utsystem.edu/policy/policies/uts138.html
6
UTMB Institutional Handbook of Operating Procedures, Section 6, Compliance, Policy 6.1.14, UTMB Gift Acceptance Policy
http://intranet.utmb.edu/Policies_And_Procedures/Search_Results/PNP_076903
7
UT System, Office of Administration, Policy Library, INT150, Receipt of Funds and Unpaid Charges
http://www.utsystem.edu/policy/policies/int150.html
8
Timeless Values, Pioneering Solutions Campaign
http://www.utmb.edu/campaign/