Unit: Research, Technology Transfer, and Economic Development (RTTED)

Date: November 27, 2003
 

CORE REQUIREMENTS For every Core Requirement mandating a policy or procedure, it is implicit that the policy or procedure is in writing, approved through appropriate institutional processes, published in appropriate institutional documents accessible to those affected by the policy or procedure, and implemented and enforced by the institution. For obtaining or maintaining accreditation with the Commission on Colleges, an institution must meet the following Core Requirements:   1. The institution has degree-granting authority from the appropriate government agency or agencies.   - Not applicable to unit level.       2. 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.   - Not applicable to unit level.       3. The institution has a chief executive officer whose primary responsibility is to the institution and who is not the presiding officer of the board.   - Not applicable to unit level.       4. The institution has a clearly defined and published mission statement specific to the institution and appropriate to an institution of higher education, addressing teaching and learning and, where applicable, research and public service.   - Not applicable to unit level.       5. The institution engages in ongoing, integrated, and institution-wide research-based planning and evaluation processes that incorporate a systematic review of programs and services that (a) results in continuing improvement and (b) demonstrates that the institution is effectively accomplishing its mission.  Partial Compliance TTU has recently undergone an extensive strategic planning process throughout the entire university. Established to be an evolutionary, ongoing process with annual assessment reports based on the written strategic plans of all units, the RTTED Strategic Plan can be found here:  http://www.depts.ttu.edu/vprgs/images/vprgs%20strat%20plan.pdf. Assessments are given here:      http://techdata.irs.ttu.edu/stratreport/Reports2002/32_0_2002.pdf Strategic plans for constituent units (see organizational chart) are available as follows: Office of Research Services Office of Economic Development Northwest Texas Small Business Development Center (NWTSBDC) Texas Tech University System's Office of Technology Transfer and Intellectual Property (TTIP) The following constituent units do not have strategic plans per se, and consider their strategic planning to be part of the global RTTED strategic plan  (http://www.depts.ttu.edu/vprgs/images/vprgs%20strat%20plan.pdf.) TTU Research Centers and Institutes (Although the guidelines for oversight of Centers and Institutes, OP 30.17, states that each individual Center and Institute is required to have a strategic plan. At this point some of them are not in compliance with this recent requirement, leading to the partial compliance determination.) Undergraduate Research *** Continuing improvement?   Effectively accomplishing TTU’s mission? ****       6. The institution is in operation and has students enrolled in degree programs.   - Not applicable to unit level.       7. The institution   a. offers one or more degree programs based on at least 60 semester credit hours or the equivalent at the associate level; at least 120 semester credit hours or the equivalent at the baccalaureate level; or at least 30 semester credit hours or the equivalent at the post-baccalaureate, graduate, or professional level. The institution provides a written justification and rationale for program equivalency.   b. offers degree programs that embody a coherent course of study that is compatible with its stated purpose and is based upon fields of study appropriate to higher education.   c. offers a general education program at the collegiate level that is (1) a substantial component of each undergraduate degree, (2) ensures breadth of knowledge, and (3) is based on a coherent rationale. For degree completion in associate programs, the component constitutes a minimum of 15 semester hours or the equivalent; for baccalaureate programs, a minimum of 30 semester hours or the equivalent. These credit hours are to be drawn from and include at least one course from each of the following areas: humanities/fine arts; social/behavioral sciences; and natural science/mathematics. The courses do not narrowly focus on those skills, techniques, and procedures specific to a particular occupation or profession. The institution provides a written justification and rationale for course equivalency.   d. makes arrangements for some instruction to be provided by other accredited institutions or entities through contracts or consortia, where appropriate. The institution itself, however, provides instruction for all course work required for at least one degree program at each level at which it awards degrees, or provides an alternative approach to meeting this requirement. The alternative approach is approved by the Commission on Colleges. In all cases, the institution demonstrates that it controls all aspects of its educational program.     - Not applicable to unit level.       8. The number of full-time faculty members is adequate to support the mission of the institution. The institution has adequate faculty resources to ensure the quality and integrity of its academic programs. In addition, upon application for candidacy, an applicant institution demonstrates that it meets the comprehensive standard for faculty qualifications.   - Not applicable to unit level.       9. The institution, through ownership or formal arrangements or agreements, provides and supports student and faculty access and user privileges to adequate library collections as well as to other learning/information resources consistent with the degrees offered. These collections and resources are sufficient to support all its educational, research, and public service programs.   - Not applicable to unit level.       10. The institution provides student support programs, services, and activities consistent with its mission that promote student learning and enhance the development of its students. Compliance RTTED supports students through its office for undergraduate research, headed by Associate Vice President for Undergraduate Research and former Provost Dr. John Burns, Holden Hall, Suite 103, 806-742-3905.  This office runs the Howard Hughes Medical Institute Program and attempts to involve 10% of undergraduate students in Research projects.        11. The institution has a sound financial base and demonstrated financial stability, and adequate physical resources to support the mission of the institution and the scope of its programs and services. The institution provides the following financial statements: (a) an institutional audit (as distinct from a systemwide or statewide audit) and management letter for the most recent fiscal year prepared by an independent certified public accountant or an appropriate auditing agency employing the appropriate audit guide; (b) an annual budget that is preceded by sound planning, is subject to sound fiscal procedures, and is approved by the governing board; and (c) a schedule of changes in unrestricted net assets, excluding plant and plant related-debt (short and long-term debt attached to physical assets).   - Not applicable to unit level.     COMPREHENSIVE STANDARDS For every Comprehensive Standard mandating a policy or procedure, it is implicit that the policy or procedure is in writing, approved through appropriate institutional processes, published in appropriate institutional documents accessible to those affected by the policy or procedure, and implemented and enforced by the institution. For obtaining or maintaining accreditation with the Commission on Colleges, an institution must meet the following Comprehensive Standards:   Institutional Mission, Governance, And Effectiveness Institutional Mission 1. The institution has a clear and comprehensive mission statement that guides it; is approved by the governing board; is periodically reviewed by the board; and is communicated to the institution’s constituencies. Compliance RTTED and its sub-units publishes its mission statement in its strategic plan (http://www.depts.ttu.edu/vprgs/images/vprgs%20strat%20plan.pdf) and on its main website (http://www.depts.ttu.edu/vprgs/index.php)       Governance and Administration 2. The governing board of the institution is responsible for the selection and the evaluation of the chief executive officer.   - Not applicable to unit level.       3. The legal authority and operating control of the institution are clearly defined for the following areas within the institution’s governance structure:     a. The institution’s mission;   b. The fiscal stability of the institution;   c. Institutional policy, including policies concerning related and affiliated corporate entities and all auxiliary services;   d. Related foundations (athletic, research, etc.) and other corporate entities whose primary purpose is to support the institution and/or its programs.   Compliance. Operating control for all areas of RTTED is given by their organizational chart. Mission statements for RTTED and sub-units are given in strategic plans as follows: ·         Research, Technology Transfer, and Economic Development (RTTED) ·         Office of Research Services ·         Office of Economic Development ·         Northwest Texas Small Business Development Center (NWTSBDC) ·         Texas Tech University System's Office of Technology Transfer and Intellectual Property (TTIP) In addition, general counsel reviews all contractual obligations entered into by TTU and makes legislative interpretations when requested by appropriate officials of the institution; see the University Operating Policies and Procedures manual OP01.08, item 9.       4. The board has a policy addressing conflict of interest.   - Not applicable to unit level.       5. The governing board is free from undue influence from political, religious, or other external bodies, and protects the institution from such influence.   - Not applicable to unit level.       6. Members of the governing board can be dismissed only for cause and by due process.   - Not applicable to unit level.       7. There is a clear and appropriate distinction, in writing and practice, between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy.   - Not applicable to unit level.       8. The institution has a clearly defined and published organizational structure that delineates responsibility for the administration of policies. Compliance The organizational structure of TTU is contained in OP 01.08, http://www.depts.ttu.edu/opmanual/OP01.08.html, with current organizational chart http://www.irim.ttu.edu/SACS/test/OrgChart.htm.   The organizational structure of the RTTED unit can be found on the RTTED web site http://www.depts.ttu.edu/vprgs/ here: http://www.depts.ttu.edu/vprgs/images/VOCnew.pdf. In addition, Texas Tech Operating procedures for responsibilities and administration of policies relevant to RTTED may be found in the Operating Policies and Procedures manual as follows: 74.01 Office of Research Services 74.02 Conduct of Research and Scholarly Activity 74.03 Collecting Objects on State or Federal Land 74.04 Intellectual Property Rights 74.05 Institutional Biosafety for Research Involving Recombinant DNA Molecules 74.06 Disposition of Patent and Copyright Royalty Income 74.07 Identification Cards for Visiting Scholars 74.08 Allegations of Misconduct in Research or Scholarly Activity 74.09 Protection of Human Subjects in Research 74.10 Safeguarding Classified Information 30.17 Establishing, Modifying, Reviewing, or Dissolving Centers and Institutes         9. The institution has qualified administrative and academic officers with the experience, competence, and capacity to lead the institution.   Compliance. See here for the main administrative officers of RTTED. Head of RTTED unit:  Dr. Robert Sweazy, Ph.D., Environmental Engineering, University of Oklahoma. Office of Research Services:  Headed by Dr. Kathleen Harris, Ed.D., Higher Education, University of Kentucky. Office of Economic Development:  Headed by Dr. Robert McComb , Ph.D., Economics, University of Illinois at Urbana-Champaign. Northwest Texas Small Business Development Center (NWTSBDC): Headed by Craig Bean, MBA, Texas Tech University, and Dr. Allen Carrigo, Ph.D., Production/Operations Management, Texas Tech University. Texas Tech University System's Office of Technology Transfer and Intellectual Property (TTIP):  Headed by Lance Anderson, J.D., Texas Tech University, three years experience in the TTIP office. TTU Research Centers and Institutes:  Headed by Dr. Michael Allen, Ph.D., Engineering, University of California at Davis. Undergraduate Research:  Headed by Dr. John Burns, Ph.D., Biology, Indiana University.         10. The institution defines and publishes policies regarding appointment and employment of faculty and staff.   - Not applicable to unit level.       11. Evaluation of Administrators Partial Compliance While the RTTED vice president evaluates sub-unit heads annually, and while the RTTED vice president is evaluated annually be the president, with reports to be found (*****where????****) there appears to be no formal paperwork establishing this evaluation process.   Suggestion:  Create the appropriate evaluation paperwork in an OP, similar to OP30.15, which is used for the evaluation of academic administrators.       12. The institution’s chief executive officer has ultimate responsibility for, and exercises appropriate administrative and fiscal control over, the institution’s intercollegiate athletics program.   - Not applicable to unit level.       13. The institution’s chief executive officer has ultimate control of the institution’s fund-raising activities.   - Not applicable to unit level.       14. An institution-related foundation, not controlled by the institution, has a contractual or other formal agreement that (a) accurately describes the relationship between the institution and the foundation, and (b) describes any liability associated with that relationship. In all cases, the institution ensures that the relationship is consistent with its mission.   - Not applicable to unit level.       15. The institution’s policies are clear concerning ownership of materials, compensation, copyright issues, and the use of revenue derived from the creation and production of all intellectual property. This applies to students, faculty and staff.  Compliance Texas Tech University’s Operating Procedures manual directly establishes these policies in OP 74.04, Intellectual Property Rights.  The department of Technology Transfer and  Intellectual Property has as its main duty is to enforce this OP, as shown in its Mission Statement and Strategic Plan.       Institutional Effectiveness 16. The institution identifies expected outcomes for its educational programs and its administrative and educational support services; assesses whether it achieves these outcomes; and provides evidence of improvement based on analysis of those results. Compliance RTTED participates in the University’s Strategic planning process with its own strategic plan (http://www.depts.ttu.edu/vprgs/images/vprgs%20strat%20plan.pdf), tracks universal assessment data (http://techdata.irs.ttu.edu/stratreport/Reports2002/32_0_2002.pdf), and  updates policies and procedures as needed.  Specific strategic plans for sub-units are as noted above under Core Requirement 5: ·         Office of Research Services ·         Office of Economic Development ·         Northwest Texas Small Business Development Center (NWTSBDC) ·         Texas Tech University System’s Office of Technology Transfer and Intellectual Property (TTIP) As evidence of improvements, the NWTSBDC did ******       PROGRAMS Educational Programs Standards for All Educational Programs: 1. The institution demonstrates that each educational program for which academic credit is awarded is (a) is approved by the faculty and the administration, and (b) establishes and evaluates program and learning outcomes.   - Not applicable to unit level.       2. The institution’s continuing education, outreach, and service programs are consistent with the institution’s mission.   Compliance RTTED supports students through its office for undergraduate research, headed by Vice President and former Provost Dr. John Burns, Holden Hall, Suite 103, 806-742-3905.  This office runs the Howard Hughes Medical Institute Program and attempts to involve 10% of undergraduate students in Research projects.  These programs are consistent with the TTU mission, specifically the mission statement that Texas Tech “stimulates meaningful research”; see http://www.ttu.edu/stratplan/universitystratplan.php.       3. The institution publishes admissions policies consistent with its mission.   - Not applicable to unit level.       4. The institution has a defined and published policy for evaluating, awarding, and accepting credit for transfer, experiential learning, advanced placement, and professional certificates that is consistent with its mission and ensures that course work and learning outcomes are at the collegiate level and comparable to the institution’s own degree programs. The institution assumes responsibility for the academic quality of any course work or credit recorded on the institution’s transcript.   - Not applicable to unit level.       5. The institution publishes academic policies that adhere to principles of good educational practice. These are disseminated to students, faculty, and other interested parties through publications that accurately represent the programs and services of the institution.   - Not applicable to unit level.       6. The institution employs sound and acceptable practices for determining the amount and level of credit awarded for courses, regardless of format or mode of delivery.   - Not applicable to unit level.       7. The institution ensures the quality of educational programs/courses offered through consortia relationships or contractual agreements, ensures ongoing compliance with the comprehensive requirements, and evaluates the agreement against the purpose of the institution.   - Not applicable to unit level.       8. The institution awards academic credit for course work taken on a noncredit basis only when there is documentation that the noncredit course work is equivalent to a designated credit experience.   - Not applicable to unit level.       9. The institution provides appropriate academic support services. Compliance. RTTED supports students through its office for undergraduate research, headed by Associate Vice President for Undergraduate Research and former Provost Dr. John Burns, Holden Hall, Suite 103, 806-742-3905.  This office runs the Howard Hughes Medical Institute Program and attempts to involve 10% of undergraduate students in Research projects.        10. The institution defines and publishes general education and major program requirements for all its programs. These requirements conform to commonly accepted standards and practices for undergraduate programs as well as graduate and post-baccalaureate professional degree programs.   - Not applicable to unit level. 11. The institution protects the security, confidentiality, and integrity of its student academic records and maintains special security measures to protect and back up data.   - Not applicable to unit level. 12. The institution places primary responsibility for the content, quality, and effectiveness of its curriculum with its faculty.   - Not applicable to unit level.       13. For each major in a degree program, the institution assigns responsibility for program coordination, as well as for curriculum development and review, to persons academically qualified in the field. In those degree programs for which the institution does not identify a major, this requirement applies to a curricular area or concentration.   - Not applicable to unit level. 14. The institution’s use of technology enhances student learning, is appropriate for meeting the objectives of its programs, and ensures that students have access to and training in the use of technology.       Standards Specific to Undergraduate Programs: 15. The institution identifies competencies within the general education core and provides evidence that graduates have attained those college-level competencies.   - Not applicable to unit level.       16. The institution awards degrees only to those students who have earned at least 25 percent of the credit hours required for the degree through instruction offered by that institution.   - Not applicable to unit level.       Standards Specific to Graduate and Post-Baccalaureate Professional Programs: 17. The institution’s post-baccalaureate professional degree programs, and its master’s and doctoral degree programs are progressively more advanced in academic content than undergraduate programs.   - Not applicable to unit level. 18. The institution ensures that its graduate instruction and resources foster independent learning, enabling the graduate to contribute to a profession or field of study.   - Not applicable to unit level. 19. The majority of credits toward a graduate or a post-baccalaureate professional degree is earned through the institution awarding the degree. In the case of graduate and post- baccalaureate professional degree programs offered through joint, cooperative, or consortia arrangements, the student earns a majority of credits from the participating institutions.   - Not applicable to unit level.       Faculty 20. The institution employs competent faculty members qualified to accomplish the mission and goals of the institution. When determining acceptable qualifications of its faculty, an institution gives primary consideration to the highest earned degree in the discipline in accord with the guidelines listed below. The institution also considers competence, effectiveness, and capacity, including, as appropriate, undergraduate and graduate degrees, related work experiences in the field, professional licensure and certifications, honors and awards, continuous documented excellence in teaching, or other demonstrated competencies and achievements that contribute to effective teaching and student learning outcomes. For all cases, the institution is responsible for justifying and documenting the qualifications of all its faculty.   Credential Guidelines:   a. Faculty teaching general education courses at the undergraduate level: a doctoral or a master’s degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline).   b. Faculty teaching associate degree courses designed for transfer to a baccalaureate degree: a doctoral or a master’s degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (a minimum of 18 graduate semester hours in the teaching discipline).   c. Faculty teaching associate degree courses not designed for transfer to the baccalaureate degree: a baccalaureate degree in the teaching discipline, or an associate degree and demonstrated competencies in the teaching discipline.   d. Faculty teaching baccalaureate degree courses: a doctoral or a master’s degree in the teaching discipline or a master’s degree with a concentration in the teaching discipline (minimum of 18 graduate semester hours in the teaching discipline). At least 25 percent of the discipline course hours in each undergraduate major are taught by faculty members holding the terminal degree–usually the earned doctorate--in the discipline.   e. Faculty teaching graduate and post-baccalaureate course work: earned doctorate/ terminal degree in the teaching discipline or a related discipline.   f. Graduate teaching assistants: master’s in the teaching discipline or 18 graduate semester hours in the teaching discipline, direct supervision by a faculty member experienced in the teaching discipline, regular in-service training, and planned and periodic evaluations.   - Not applicable to unit level.       21. The institution regularly evaluates the effectiveness of each faculty member in accord with published criteria, regardless of contractual or tenured status.   - Not applicable to unit level.       22. The institution provides evidence of ongoing professional development of faculty as teachers, scholars, and practitioners. Compliance    The Office of Research Services provides three orientations annually for new faculty members covering the basics of submitting proposal and the policies and procedures governing research at the university. ORS also annually sponsors proposal development workshops conducted by external consultants. Throughout the year ORS offers staff-led workshops on the National Science Foundation’s electronic communication system (Fastlane) and the Community of Science, a funding opportunities database and organizes panel discussions on specific funding programs such as the Texas Advanced Technology Program and NSF’s Career program. In collaboration with the Health Sciences Center’s Office of Sponsored Projects, ORS hosts teleconferences produced by national organizations on topics related to proposal development and project administration.         23. The institution ensures adequate procedures for the safeguard and protection of academic freedom.   - Not applicable to unit level.       24. The institution publishes policies on the responsibility and authority of faculty in academic and governance matters.   - Not applicable to unit level.       Library and Other Learning Resources 25. The institution provides facilities, services, and other learning/information resources that are appropriate to support its teaching, research, and service mission.   - Not applicable to unit level.       26. The institution ensures that users have access to regular and timely instruction in the use of the library and other learning/information resources.   - Not applicable to unit level.