Process for Policy
Development
and
Mechanism for Policy
Concerns
Examples:
 Principals and Procedures Related to Audits
Undertaken by the School of Medicine,
University Physicians, Inc. and Affiliated
Institutions
 “One-Sixth Rule” Application to NonClinical Consulting at the School of
Medicine
Application of Laws and Policies
 Federal Constitution
 Federal Statutes and Associated Regulations
(e.g. HIPAA)
 State Constitution
 State Statutes and Associated Regulations
(e.g. State Procurement Code)
 Laws of the Regents and Associated Policies
Laws of the Regents
 Regent Policies: Adopted by the Regents
(e.g. Additional Remuneration For Consultative
Services; Fiscal Misconduct)
 Administrative Policy Statements: Promulgated
by the Administration
(e.g. Misconduct in Research and Authorship)
 Campus Policies: Promulgated by Chancellors
(e.g. HSC Fiscal Policies)
 School Policies: Promulgated by Deans
(e.g. Rules of the School of Medicine)
 Departmental Rules (e.g. Faculty Promotion
Committee Composition)
Principles of Participation
Shared Governance is Described in
the Laws of the Regents at 5.E.5:
“The Chair . . . of the Faculty Council
shall be the spokesperson for the
faculty when addressing the Board of
Regents on matters of importance to
shared governance.”
Principal Roles of Faculty and
Administration are Described in the
Laws of the Regents and Faculty
Senate Constitution
Faculty: Educational Policy;
Academic Matters
Administration: Internal
Operations; External Relations
Principles and Procedures
Related to Audits Undertaken by
the School of Medicine,
University Physicians, Inc. and
Affiliated Institutions
Role of the Department of Internal Audit
“The Department of Internal Audit is established by
the Board of Regents. The Director of the
Department of Internal Audit is appointed by the
Board of Regents and reports administratively to the
Secretary of the Board. The Director reports
functionally to both the Secretary of the Board of
Regents and the Chair of the Regent Audit and
Financial Advisory Committee, who will timely
inform the Board.”
Audit Standards, Scope, Reporting
“The Department of Internal Audit will
conduct its activities in accordance with
applicable standards for the professional
practice of internal auditing . . . .”
Issues with Proposed Policy:
 Because Internal Audit Reports to the
Regents, Policy will need to be adopted by
the Regents
 UPI is a Separate Organization. UPI Audit
Policy Needs to be Adopted by the UPI
Board of Directors
 The Department of Internal Audit is
Intended to be Independent of Management
Relative to its Conduct of Business
Considerations:
 Dialogue with Director of Internal Audit
Specific to Concerns in School or Campus
Audits
 Dialogue with UPI Board of Directors
regarding UPI Audits
 Dialogue with Faculty Council regarding
interaction with Regents Audit and
Financial Advisory Committee
“One-Sixth Rule”
Laws of the Regents 5.B.3(D)
Full-Time Faculty Expected to Dedicate
Professional Time and Effort to University
Consultation Authorized if it does not
Interfere with University Responsibilities
and not Involve More than One-Sixth Time
Compensation Governed by Alternative
Compensation Plans Approved by Regents
School of Medicine; School of Dentistry;
School of Pharmacy
Additional Remuneration for
Consultative Services, Regent Policy 5.E
 Policy Adopted in 1944, Amended in 1947
and 2000 (Regent Law 5.B.3(D) Revised in
2002)
 20 Hours per Term (Modified to 1/6th Time)
 Approved by Chancellor or Designee
 Separate Policies apply to School of
Medicine (Broader under Laws – Any
School with Regent Approved Alternative
Compensation Plan)
Considerations:
 Regent Laws and Policy can only be
amended by the Regents
 Changes to Alternative Compensation Plans
Must be Approved by the Regents
– Involve Dean’s Office
– May Require Plan Bylaws Changes
 Alternative Access to Regents Through the
Chair of Faculty Council