SECTION VI: ADMINISTRATIVE PROCESSES

CONTENTS: SECTION 6.1

INTRODUCTION

During the spring semester of 1997, the Sam Houston State University SACS Self-Study Steering Committee delegated to its Committee on Organization and Administration responsibility for analyzing the effectiveness of the University governance in coordinating its various resources and allocating them to accomplish its institutional goals. In the fall of 1997, members of the Committee on Organization and Administration were divided into three subcommittees to facilitate better the detailed examination of institutional resources and organizational structures and procedures. Subcommittee members interviewed top level administrators and systems officials and obtained additional data from a survey questionnaire and relevant documents (for example, organizational charts and The Faculty Handbook). The Committee on Organization and Administration submitted its preliminary report in the late fall of 1997, and subsequent revisions in April and July of 1998. The Committee submitted the final version of its report to the Steering Committee in October 1998.

The following sections report the findings of the SACS Self-Study Committee on Organization and Administration in the five major areas outlined in Section 6.1 of the SACS Criteria for Accreditation: Descriptive Titles and Terms (6.1.1), Governing Board (6.1.2), Advisory Committees (6.1.3), Official Policies (6.1.4), and Administrative Organization (6.1.5). The Committee addresses "must" statements from each of the aforementioned sections and, in the order in which the statements appear in the Criteria, reports on the University’s compliance or noncompliance with these imperatives. Following each series of "must" statements and findings, the Committee makes recommendations and/or offers suggestions, according to the University’s compliance status.

6.1.1 DESCRIPTIVE TITLES AND TERMS

1. The name of an institution, the titles of chief administrators, the designations of administrative and academic divisions, the terms used to describe academic offerings and programs, and the names of degrees awarded must be accurate, descriptive, and appropriate (Criteria 68).

The Committee on Organization and Administration determined that the University complies with this imperative.

The name of the University, Sam Houston State University, reflects the school’s Texas heritage and its association with General Sam Houston, a founding father of the State of Texas. University-wide organization charts and titles of administrative positions for the Offices of the President, Vice President for Academic Affairs, Division of Student Services, and Vice President for Finance and Operations appear as Appendices A-D to this chapter. Examination of these charts and titles, The Faculty Handbook, A-5, October 1995, and the University’s web page (http://www.shsu.edu/shsu/Dept.html) indicates that all titles, designations, and administrative structures are appropriate. A description of academic offerings and programs and the names of degrees awarded appear in the undergraduate and graduate catalogues. A review of these catalogues confirms that all terms and degree names are accurate, descriptive, and appropriate.

RECOMMENDATIONS AND SUGGESTIONS: SECTION 6.1.1

Having found that the University complies with the "must" statement in this section of the Criteria, the Committee has no recommendations.

6.1.2 GOVERNING BOARD

The Texas Education Code (Chapter 96, Subchapter D, Section 96.61) specifies that Sam Houston State University operates under the management and control of the Board of Regents, The Texas State University System. Rules and Regulations, The Texas State University System, adopted September 1, 1980, and amended annually, is both current and comprehensive in identifying, defining, and describing board authority and policies of governance.

1. Except under clearly defined circumstances, board action must result from a decision of the whole, and no individual member or committee can take official action for the board unless authorized to do so (Criteria 68).

The Committee on Organization and Administration determined that the University complies with this criterion.

Chapter 1, paragraph 4 of Rules and Regulations, The Texas State University System specifies that a majority of the members of the Board shall constitute a quorum, and no formal action shall be taken by the Board in the absence of a quorum. Any action requires a majority vote of those present.

2. The duties and responsibilities of the governing board must be clearly defined in an official document (Criteria 68).

3. This document must also specify the following: the number of members, length of service, rotation policies, organization and committee structure and frequency of meetings (Criteria 68).

The Committee found that the University complies with these "must" statements.

Chapter 1 of Rules and Regulations, The Texas State University System provides the legal history and bounds of authority of the Board of Regents, which is composed of nine members appointed by the governor of Texas, with the advice and consent of the State Senate. Board members are appointed to serve six-year terms expiring February 1 of odd-numbered years, with three members being appointed biennially. Officers of the board include a chairperson and vice-chairperson elected from among the members of the board; these two officials serve one-year terms in their respective offices. The Chancellor of the Board of Regents, appointed by the board, is not to be selected from among members of the board. The Chancellor serves at the pleasure of the board.

The Board of Regents organizes itself into subcommittees whose authority is limited to making recommendations to the board. These subcommittees include the Building Committee, Curriculum Committee, Finance Committee, Planning Committee, Regents’ Committee for Academic Review, and Local Committee. Titles of the subcommittees accurately indicate matters addressed by each. The primary concern of a Local Committee, for example, is to serve as local representative and primary advisor to the University to which it is assigned. Regular meetings of the board are held on a quarterly basis with provision for calling special meetings. The May meeting of the board is known as the annual meeting.

4. There must be appropriate continuity in the board membership, usually provided by staggered terms of adequate length (Criteria 68).

5. In addition, [there should be] provisions governing the removal of a board member from office. A board member may be dismissed only for cause and by procedures involving due process (Criteria 68).

The Committee determined that the University complies with these imperatives.

Continuity of the Board is assured by three of its nine members’ rotating off every odd year. In this manner, one-third of the Board will always have at least four years’ experience, a second third at least two years’ experience, and a final third fewer than two years’ experience. In accordance with state policy, the governor can remove a regent from office for inefficiency or malfeasance.

6. The responsibilities of the governing board must include the following functions: establishing broad institutional policies, securing financial resources to support adequately the institutional goals, and selecting the chief executive officer (Criteria 68-69).

The Committee on Organization and Administration determined that the University complies with this "must" statement.

The V.T.C.A. Education Code provides that the authority for organization, control, and management of the state university system be vested in the Board of Regents of The Texas State University System. Section I.2 of the Rules and Regulations, The Texas State University System states the authority and responsibilities of the board. The board, which is solely responsible for formulating the operating policies for each of the institutions under its jurisdiction (The Faculty Handbook B-1), has the authority to promulgate and enforce such rules, regulations, and orders for the operation, control, and management of the university system and its constituents as the board deems either necessary or desirable. When a power is vested in the board, it may adopt a rule, regulation, or order delegating such power to any officer, employee, or committee that it designates.

As stated in Chapter IV, Section 1, of Rules and Regulations, The Texas State University System, the Board of Regents elects the president of each university in the system by a majority vote. The president of each university holds office without fixed term and at the pleasure of the board. The president does not have tenure as president, but may hold tenure as a member of the faculty of the university when the board has approved such tenure.

7. [T]he governing board must have in place proper procedures to ensure that it is adequately informed about the financial condition and stability of the institution (Criteria 69).

The Committee determined that the University complies with this criterion.

The Finance Committee has primary responsibility for submitting recommendations to the Board of Regents concerning financial matters for both the system administrative office and the member universities. The Finance Committee meets twice a year to receive audits and budgets on an as-needed basis, depending on legislative action and other requirements. These meetings are held in conjunction with the Board’s regular quarterly meetings. The Committee may examine the procedures and documents for bond sales, depository contracts, and all other financial matters. The Finance Committee meets at least once a year with the Director of Audits and Analysis and the SHSU Director of Internal Audits to discuss audit concerns. Full details on committee affairs are given in Chapter II, Section 6.3, and Chapter III, Section 5, of Rules and Regulations, The Texas State University System.

The Board also has information on fiscal matters through the University budget. As noted in Chapter IV, Section 2.6, the President recommends appropriate operating budgets and supervises expenditures under these approved budgets.

8. The board must not be subject to undue pressure from political, religious or other external bodies. Furthermore, it should protect the administration from similar pressures (Criteria 69).

The Committee found that the University complies with this imperative.

Members of the Board of Regents are political appointees of the governor of Texas. This source of authority buffers them from outside pressure. In separate interviews conducted during February 1998, the Chairman of The Texas State University System Board of Regents, the System Chancellor, and the President and vice presidents of SHSU indicated that political pressure exists, but in limited degree, and at no time did any of them consider it undue. The President stated that on one occasion he sought assistance from the Board of Regents to prevent outside pressure. The assistance was immediately rendered, and the party in question stopped exerting pressure. Religious groups and other external bodies are not considered to be a problem. The Texas Constitution and Open Meetings Legislation also provides a protective shield against pressure.

9. There must be a clear distinction, in writing and in practice, between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy (Criteria 69).

The Committee on Organization and Administration determined that the University complies with this "must" statement.

In separate interviews conducted during February of 1998, the Chairman of The Texas State University System Board of Regents, the System Chancellor, and the President and vice presidents of SHSU indicated that there is a clear distinction in practice between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy.

Chapter IV, Section 2, of Rules and Regulations, The Texas State University System states that the President is answerable to the Board of Regents and has discretionary powers broad enough to administer the University effectively within the policies and guidelines, as set forth by the Board of Regents. The President must interpret the system policies to the faculty and staff and interpret the University’s programs and needs to the board.

10. General institutional policies should originate within the board or should be approved by the board upon recommendation of the administration. Once these have become official policies, the administration should implement them within a broad framework established by the board (Criteria 69).

The Committee found that the University complies with these imperatives.

Rules and Regulations, The Texas State University System (Chapter III, Section 1, and Chapter IV, Section 5) states the process for approval of policies by the board and of items requiring approval. In a February 1998 interview, the President of the University stated that policy concepts frequently originate at the university level and are recommended to the board for approval.

The President, who has discretionary powers broad enough to administer the University effectively within the policies and guidelines set forth by the Board of Regents, is answerable to the board (Rules and Regulation, The Texas State University System, Chapter IV, Section 2).

RECOMMENDATIONS AND SUGGESTIONS: SECTION 6.1.2

The Committee on Organization and Administration determined that the University complies with all of the imperatives in this section of the Criteria; there are no recommendations. However, the Committee offers the following suggestions:

Rules and Regulations, The Texas State University System should be revised to include more extensive written protection for the administration from undue external political pressure.

Rules and Regulations, The Texas State University System should be revised to clarify the Board’s role in promulgating policy and the administration’s role in implementing policy.

6.1.3 ADVISORY COMMITTEES

1. Whenever lay advisory committees are used by institutions, these committees should be active and their role and function clearly defined (Criteria 69).

The Committee found that the University complies with this imperative.

Sam Houston State University has ten active lay advisory committees whose roles and functions vary according to the goals or objectives of the related colleges or departmental units. In response to a survey of deans, chairs, and program directors, three of the four colleges and several departments identified the presence of advisory committees. Each committee meets from one to three times a year. Though the roles of advisory committees vary, they generally function to assist in organizing community support for university or college activities, to support decision-making processes, to assist in raising funds, to give program advice, to conduct employee searches, and to honor students and/or faculty. Advisory committees serve as important links between the community, alumni, and the University.

RECOMMENDATIONS AND SUGGESTIONS: SECTION 6.1.3

The Committee on Organization and Administration determined that the University complies with the imperative in this section of the Criteria; there are no recommendations. Encouraging the University to use advisory committees to its greatest advantage, however, the Committee offers the following suggestions:

The University could review existing variations in roles and procedures for advisory committees’ functions across the University and develop guidelines for advisory committees.

Because advisory boards are an effective means of involving alumni in the University, the University should encourage the establishment of advisory boards at whatever level input from alumni is beneficial.

6.1.4 OFFICIAL POLICIES

1. The institution must publish official documents that contain, but are not limited to, the following information: the duties and responsibilities of administrative officers, the patterns of institutional organization and governance of faculty, statements governing tenure or employment security, statements governing due process, and other institutional policies and procedures that affect the faculty, the administrative staff and other personnel (Criteria 69).

The Committee found that the University complies with this "must" statement.

Sam Houston State University publishes official policies that pertain to the duties and responsibilities of administrative officers, to patterns of institutional organization and governance of faculty, to tenure and employment security, and to the governing of due process. The University acts in agreement with several published documents that outline the duties and responsibilities of its administrative officers—the President, vice presidents, and deans. The most notable of these documents are the 1998-2000 Undergraduate Catalogue; the 1997-1999 Graduate Catalogue; The Faculty Handbook, October 1995 (available http://www.shsu.edu); Academic Policy Manual, containing academic policy statements; and Rules and Regulations, The Texas State University System (adopted September 1, 1980; amended annually) (available http://www.shsu.edu/shsu/administrative/rules).

The duties and responsibilities of administrative officers are explained in Chapters I, II, III, IV, and V of Rules and Regulations, The Texas State University System. The specific duties of the President of the University and vice presidents are outlined in Chapter IV, Section 2, of Rules and Regulations, The Texas State University System, and the duties of other university personnel are covered in Chapter V of Rules and Regulations and Section 14 of The Faculty Handbook. A description of the deans’ responsibilities also appears in The Faculty Handbook, Section A,9. Both of these documents are available in paper versions and on-line via the Internet (available http://www.shsu.edu/shsu/administrative/faculty/handbook.html).

The institutional organization and governance of faculty is summarized in an organizational chart of University administration printed in The Faculty Handbook and in Appendices A and B to this chapter of the self-study report. The current organizational chart, including the latest revisions, is available on-line through the University web page (or available http://www.shsu.edu/shsu/administrative/faculty/app1.html). The responsibilities of administration as related to governance of faculty, including those of academic deans, are printed in The Faculty Handbook, Section A.

University policies regarding tenure and employment security are widely disseminated in print. Statements of policies governing the employment and termination of administrators, faculty, staff, and unclassified employees are published in Chapter V of Rules and Regulations, The Texas State University System. Statements governing tenure, promotion, and termination of faculty members are found in Chapter V, Section 4.2 of the same publication. Tenure policies are also printed in The Faculty Handbook (Appendix V, Academic Policy Statement 900417).

Statements of policies governing due process for administrative officers, faculty, staff, and students appear in various publications. Policies governing due process for administrative officers appear in Chapter V, Section 3, of Rules and Regulations, The Texas State University System. Statement of policies governing due process for faculty are published in Chapter V, Section 4, of Rules and Regulations, The Texas State University System; The Faculty Handbook, Section B, 11-14, and Appendix III; and the Academic Policy Manual (Statement #820317 and #820380). For staff employees, information on dispute resolution and a formal grievance procedure is available in Administrative Policies and Procedures, Human Resources Policy ER-1, revised December 1996. Grievance procedures for students are governed by Academic Policy Statement 900823 and, as stated in the undergraduate catalogue, a copy of which is available in any dean’s or chair’s office or in the Newton Gresham Library. These procedures also appear in the academic policies and procedures section of Student Guidelines, published annually by SHSU.

Other institutional policies and procedures of note concern staff policies and policy revisions. In place of a staff handbook, Sam Houston State University has a staff employee section in Administrative Policies and Procedures, available in both paper version and on-line (available http://www.shsu.edu/shsu/administrative/policies/policy.html). These policies are also included in the New Employee Orientation Packet. All of such sources explain policies, benefits, and procedures for nonacademic personnel. The Human Resources Department conducts orientation meetings with new staff employees at the beginning of every payroll period. Updates of the program are handled by Personnel Bulletins, which are issued when needed to faculty and staff. Depending upon content, information in the Personnel Bulletins may become part of the New Employee Orientation Packet, Administrative Policies and Procedures, and/or The Faculty Handbook in subsequent updates. Both Administrative Policies and Procedures and The Faculty Handbook are available in paper versions and on-line via the Internet (available http://www.shsu.edu/administrative/policies/policy.html). Although revisions of a major policy publication such as The Faculty Handbook require some time to accomplish, faculty members are usually informed of any changes in administrative structure or policies through publications, such as the minutes of Academic Policy Council (APC) meetings, minutes of the Faculty Senate, and memos and newsletters from each of the four colleges.

Certain items of the Chair/Coordinator Survey 1997 relate to the dissemination of official policies. Responses showed that 72% of the respondents agreed or strongly agreed that " the administration effectively disseminates policy information to the faculty," and 64% agreed or strongly agreed that "University policies are clearly stated."

RECOMMENDATIONS AND SUGGESTIONS: SECTION 6.1.4

Having determined that the University complies with the criterion in this section, the Committee on Organization and Administration has no recommendations.

6.1.5 ADMINISTRATIVE ORGANIZATION

1. The administrative organization must reflect the purpose and philosophy of the institution and enable each functional unit to perform its particular responsibilities as defined by the stated purpose of the institution (Criteria 69).

The Committee found that the University complies with this "must" statement.

The administrative organization of SHSU, presented in organization charts in Appendix A of this report, is available on the University web page (available http://www.shsu.edu). The charts show an outline of the departments, divisions, and degree-granting programs within the University’s four colleges.

The existing organizational structure provides for direct communication to the President from the vice presidents. Also reporting directly to the President is the Executive Director of University Advancement, who is responsible for the offices of Public Relations and Alumni Relations. This assignment, made after the 1987-88 SACS Self-Study, is appropriate for the increased importance given to University advancement. Another change since 1988 makes the Internal Auditor's office directly responsible to the Board of Regents, The Texas State University System, rather than to University administration. This alignment gives the Internal Auditor an additional level of independence necessary to the watchdog function of the position.

The changes in the administrative organization indicate its evolution and growth over the past ten years and reflect the University’s decision to provide additional support for faculty research to complement its commitment to excellence in instruction and public service. Additions to the organizational structure include the Office of Institutional Research, Texas Regional Institute for Environmental Studies, and two new doctoral programs, one in Forensic Psychology, the other in Educational Leadership.

2. Administrative responsibility and authority for all educational offerings and functions of the institution must be clearly identified, and each institution must develop, publish, and make available an organizational chart clearly delineating lines of responsibility and authority (Criteria 69-70).

The Committee determined that the University complies with this "must" statement.

Although the President of the University is the chief executive officer and serves at the request and direction of the Board of Regents, the responsibility and authority for educational offerings on the university level reside with the Vice President for Academic Affairs. Responsibilities of the Vice President for Academic Affairs are clearly delineated in The Faculty Handbook, A-8, and on the University’s web page (available http://www.shsu.edu/shsu/Dept.html).

The administrative organization of Sam Houston State University, shown in Appendix A of this report, reflects the organizational structure as of July 16, 1998. The chart is designed to delineate lines of responsibility and authority and to demonstrate a structure that ensures the fulfillment of the purpose and specific mission of Sam Houston State University.

3. The duties of the chief executive officer, and other administrative officials directly responsible to the chief executive must be clearly defined and made known to faculty and staff (Criteria 70).

The Committee on Organization and Administration found that the University complies with this imperative.

The administration of Sam Houston State University is organized under the Board of Regents, The Texas State University System, appointed by the governor of Texas. The Board’s authority and policies of governance are delineated in the Rules and Regulation, Board of Regents, Texas State University System, adopted September 1, 1980, and amended annually. The President of the University reports directly to the Board of Regents. The titles and administrative responsibilities for the President and other administrative officers at Sam Houston State University are described in detail in The Faculty Handbook, A-5ff, October 1995, and are also available to faculty and staff on the University’s web page (available http://www.shsu.edu/shsu/Dept.html).

4. Administrative officers must possess the credentials, experience, and demonstrated competence appropriate to their areas of responsibility (Criteria 70).

The Committee found that the University complies with this criterion.

The President of Sam Houston State University determines, on an individual basis, the relevance of the credentials, experience, and competence of the administrative officers. Individual curricula vitae are available in the President’s office.

5. The effectiveness of all administrative officers, including the chief executive officer, must be evaluated periodically (Criteria 70).

The Committee determined that the University complies with this "must" statement.

In keeping with Human Resources administrative practice, Staff and Employee Performance Evaluation Policy ER6 includes formal written evaluations of those who report directly to the President. These evaluations are conducted annually by the President and the results retained for three years. Academic deans, associate vice presidents, and other administrative officers are formally evaluated by their respective vice presidents each year. The Board of Regents conducts an annual performance evaluation of all presidents in The Texas State University System.

RECOMMENDATIONS AND SUGGESTIONS: SECTION 6.1.5

Having found that the University complies with the imperatives in this section of the Criteria, the Committee on Organization and Administration makes no recommendations. To ensure the continued effectiveness of administrative organization, however, the Committee offers the following suggestion:

A system should be established to review periodically the job descriptions of upper-level administration to ensure that they are appropriate and accurate.

COMPLIANCE TABLES: SECTIONS 6.1.1—6.1.5

6.1.1: Descriptive Titles and Terms

6.1.2: Governing Board