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SACS
Off-Site Committee Finding:
The institution has a
governing board of at least five members that is the legal body
with specific authority over the institution. The board is an
active policy-making body for the institution and is ultimately
responsible for ensuring that the financial resources of the
institution are adequate to provide a sound educational program.
The board is not controlled by a minority of board members or by
organizations or interests separate from it. Neither the
presiding officer of the board nor the majority of other voting
members of the board have contractual, employment, or personal
or familial financial interest in the institution.
A military institution
authorized and operated by the federal government to award
degrees has a public board in which neither the presiding
officer nor a majority of the other members are civilian
employees of the military or active/retired military. The board
has broad and significant influence upon the institution’s
programs and operations, plays an active role in policy-making,
and ensures that the financial resources of the institution are
used to provide a sound educational program. The board is not
controlled by a minority of board members or by organizations or
interests separate from the board except as specified by the
authorizing legislation. Neither the presiding officer of the
board nor the majority of other voting board members have
contractual, employment, or personal or familial financial
interest in the institution. (Governing Board)
___ Compliance
_X_ Non-compliance
___ Did not review
Comments:
No documentation submitted
regarding whether or not the presiding officer or the majority
of other voting members have contractual, employment, or
personal or familial interest in the institution.
TTU Response:
As noted on our Certification of
Compliance document, Texas Tech University’s ethics policy
specifically mentions conflict of interest and applies to all
members of the board of regents. We present the following additional documentation to demonstrate that neither the presiding officer of the
board nor the majority of other voting board members have
contractual, employment, or personal or familial financial
interest in the institution.
Texas Government Code, Chapter
572 deals with conflicts of interest. This law states “It is the
policy of this state that a state officer or state employee may
not have a direct or indirect interest, including financial and
other
interests, or engage in a business transaction or professional
activity, or incur any obligation of any nature that is in
substantial conflict with the proper discharge of the officer's
or employee's duties in the public interest. The limitations on
business interest are defined in section 005 of this law.
Additional checks on conflict of
interest on the part of members of the board of regents
(including the presiding officer) are noted below.
1. All elected and
appointed state officers (members of public higher education
governing boards are “appointed state officers”) must file
annual personal financial disclosure statements with the Texas
Ethics Commission. The information required covers financial
activity of the officer and the officer’s spouse and dependent
children. Information that must be disclosed includes: sources
of occupational income (i.e., employers) … sources of retainers
and other fees … businesses in which the officer has an
ownership interest (e.g., stocks owned) … businesses in which
the officer holds a creditor interest (e.g., bonds, notes and
commercial paper held) … income from interest, dividends,
royalties and rents … personal notes and lease agreements …
interests in real property … other interests in business
entities … trust income … gifts received … assets and
liabilities of business associations … all board and executive
positions held … as well as other required information. [see
copy of personal financial disclosure statement form at:
http://www.ethics.state.tx.us/forms/pfs05.pdf]
The Texas Ethics Commission serves a “watchdog” role for
conflicts of interest and other ethics provisions, with the
disclosure statements filed with the Commission being public
documents that are subject to the state’s open records
provisions.
Copies of the annual personal
financial disclosure statements of Board of Regents members are
on file in the Board of Regents Office, Administration Building,
Room 202.
2. Before an appointed member of
a public higher education governing board in Texas may take
office, he or she must be duly sworn in. The oath of office
includes the following passage: “I, _____, do solemnly swear (or
affirm) that I have not directly or indirectly paid, offered,
promised to pay, contributed, or promised to contribute any
money or thing of value, or promised any public office or
employment for the giving or withholding of a vote at the
election at which I was elected or as a reward to secure my
appointment or confirmation, whichever the case may be, so help
me God.” A form that includes this language must the executed
and filed with the Texas Secretary of State. [see the attached
document: “oath of office.doc”]
3. When new regents are appointed
to the Board, the System administration conducts orientation
sessions to educate these new Board members about many issues.
These new regent orientation sessions address the topic of
conflicts of interest through discussions led by the System’s
general counsel under a topic entitled, “Board functions,
responsibilities & legal issues”.
4. Per state law … Sec. 61.084,
Education Code, State of Texas “… members of higher education
governing boards must attend during the first two years of their
appointment a training course conducted by the Texas Higher
Education Coordinating Board.” Topics covered by this training
course include “the requirements of conflict of interest laws
and other laws relating to public officials” [see Sec.
61.084(d)(7)].
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