Budget Rules and Procedures for Fiscal Year 2009-2010

Responsible Officer: Vice President for Business Affairs and Controller

Sponsoring Department: Budgets and Financial Planning

Origination Date: 09 September 2009

Errors or changes to: aim@uta.edu

Procedures
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    Initial Budget

    1. Transfers

      Any transfers subsequent to the approval of the initial budget shall be made only after careful consideration of the allocations, transfer limitations, and general provisions of the current general appropriations act. (See II. Budget Amendments).

    2. Appointments.

      All appointments are subject to the provisions of the U. T. System Board of Regents' Rules and Regulations for the governance of The University of Texas System.

    3. Merit Principle

      The established merit principle will be observed in determining salary rates.

    4. Academic and Health-related Salary Rates

      All academic salary rates in the instructional departments of the academic institutions are nine‐month rates (September 1 ‐ May 31) unless otherwise specified. In the health‐related institutions, all salary rates are twelve‐month rates unless otherwise specified.

    5. Classified, Administrative, and Professional Personnel Rates

      All appointments of classified personnel are based on twelve‐month rates and are made within appropriate salary ranges as defined by the classified personnel Pay Plan approved by the president or Chancellor. All appointments of administrative and professional personnel are based on twelve‐month rates.

    6. Personnel Services

      Compensation for continuing personnel services (for a period longer than one month), though paid for on an hourly basis, is not to be paid out of maintenance and equipment, or like appropriations, except upon specific approval of the president of the institution or the Chancellor.

    7. Maintenance, Operation, Equipment, Travel

      All maintenance and operation, equipment, and travel appropriations are for twelve months (September 1 ‐ August 31) and should be budgeted and expended accordingly.

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      Budget Amendments

      1. Items Requiring Approval of the UT System Administration and Subsequent Approval by the UT System Board of Regents Through the Docket

        1. Transfers from Unappropriated Educational and General Fund Balance

        2. New appointments of tenured faculty

        3. Award of tenure to any faculty member

        4. New appointment as Dean Emeritus, Chair Emeritus, or Professor Emeritus

        5. Appointments, promotions, and salary increases involving the president

        6. Compensation changes, new contracts, or contract changes involving athletic directors or head coaches whose total annual compensation is $250,000 or above

        7. Compensation changes for employees whose total annual compensation is $1,000,000 or above

        8. Increases in budgeted amounts of $500,000 or more from income for Educational and General, Auxiliary Enterprises, Designated Funds, Service Departments, Revolving Funds, and Plant Funds

        9. Increases to Plant Funds of $500,000 or more, which result from transfers from Educational and General Funds, Auxiliary Enterprises, Designated Funds, Service Departments, and Revolving Funds

      2. Items Requiring Approval of UT System Administration (Non-Docket)

        1. Reappropriation of prior year Educational and General Fund balances of $100,000 or more

        2. Increases in budgeted amounts of $100,000‐$499,999 from income for Educational and General, Auxiliary Enterprises, Designated Funds, Service Departments, Revolving Funds, and Plant Funds

        3. Increases to Plant Funds of $100,000‐$499,999 which result from transfers from Educational and General Funds, Auxiliary Enterprises, Designated Funds, Service Departments, and Revolving Funds

        4. Compensation changes for employees whose total annual compensation is $500,000 or more but less than $1,000,000

        5. Salary increases involving tenured faculty of $10,000 or more at academic institutions and $25,000 or more at health‐related institutions, including one-time merit payments

        6. Appointments and promotions involving administrative and professional personnel reporting directly to the president, a vice president, or the equivalent

        7. Salary increases of $10,000 or more involving administrative and professional personnel reporting directly to the president, a vice president, or the equivalent, including one-time merit payments

        8. All appointments and salary increases of $10,000 or more involving employees, other than athletic directors and head coaches, serving under written employment contracts, including one-time merit payments

      3. Items Requiring Approval of the President Only

        1. All interdepartmental transfers

        2. All budget transfers between line‐item appropriations within a department

        3. Increases of less than $100,000 in budgeted amounts from income for Auxiliary Enterprises, Designated Funds, Service Departments, and Revolving Funds

        4. Reallocation of unallocated Faculty Salaries: all unfilled and uncommitted line‐item faculty salary positions will lapse to the institutional "Unallocated Faculty Salaries" account

        5. Reappropriation of Prior Year Educational and General Fund Balances less than $100,000

        6. Promotions involving tenured faculty

        7. Transactions involving all other personnel except those specified in II.A.2, II.A.3, II.A.4, II.A.5, II.A.6, II.A.7, II.B.4, II.B.5, II.B.6, II.B.7 and II.B.8 as defined above

        8. Changes in sources of funds, changes in time assignments, and other changes in status for personnel categorized in Item II.A, provided no change in the individual's salary rate is involved: in the case of Medical Faculty, this provision applies to "Total Compensation."

        9. Summer Session Budgets

        10. Clinical faculty appointments or changes, including medical or hospital staff, without salary

      4. Effective Date of Appointments and Salary Increases

        1. Any increase in an approved salary rate for the current fiscal year without a change in classification or position is not to be effective prior to the first day of the month in which the required final approval of the rate change is obtained

        2. A salary rate increase resulting from an appointment to another classification or to a position involving new and different duties may be made effective to the time of the first performance of duties under the new appointment

        3. The effective date of an appointment is the date on which the individual is first to perform service for the institution under that appointment

        4. The original appointment during a fiscal year of a person not in a budget for that year or not under an existing appointment for that year may relate back to the first performance of duties during the fiscal year although such person may have been employed in a previous fiscal year and although an increased salary rate for the same classification or position is involved.

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        Other Considerations

        1. Unencumbered and Unexpended Appropriations

          All appropriations not actually expended or encumbered by August 31 will automatically lapse to the Unappropriated Balance Account, except for those reallocated pursuant to Item II.B.1 and Item II.C.5.

        2. MSRDP, DSRDP, PRS, and Allied Health Faculty Services Plan Funds

          Compensation indicated as Medical Service Research and Development Plan (MSRDP) Funds, Dental Service Research and Development Plan (DSRDP) Funds, Physicians Referral Service Plan (PRS ) Funds or "Allied Health Faculty Services Plan" is contingent upon its being earned or available in accordance with applicable regulations.

        3. Budgeted Expenditures Authorized from Sources of Funds Other than Educational and General Funds

          Budgeted expenditures authorized from sources of funds other than Educational and General Funds are contingent upon receipt of such funds. Appointments from such fund sources will not become an obligation of the institution in the event the supplemental or grant funds are not realized.

        4. Leaves of Absence

          In accordance with provisions contained in UT System Board of Regents' Rules and Regulations, Rule 30201, leaves of absence for a first year or portion thereof or a second consecutive year's leave may be granted by the president.

          Except in very unusual circumstances as outlined in Section 3.2 and 3.3 of the Rule, as follows, a third consecutive year leave of absence will not be granted. Requests for third year leave of absence must be reviewed and approved by the appropriate executive vice chancellor.

          Section 3.2, "Second Year of Leave.: Except in unusual circumstances such as military service, reasons of health, continued graduate study, and public service or other activity that reflects credit on the institution and enhances an individual's ability to make subsequent contributions to the institution, a second consecutive year of leave will not be granted."

          Section 3.3, "Third Year of Leave. Except in very unusual circumstances a third consecutive leave of absence for one year will not be granted."