Unit: Research, Technology Transfer, and Economic Development (RTTED) Date:    August 31, 2004   Section 2: CORE REQUIREMENTS       2.1 The institution has degree-granting authority from the appropriate government agency or agencies.  (Degree-granting Authority)         Not applicable to unit level.            2.2 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.  (Governing Board)           Not applicable to unit level.             2.3 The institution has a chief executive officer whose primary responsibility is to the institution and who is not the presiding officer of the board. (Chief Executive Officer)         Not applicable to unit level.             2.4 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. (Institutional Mission)         Not applicable to unit level.             2.5 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. (Institutional Effectiveness)       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/vprgsstratplan.pdf. Assessments are given here:      http://www.irs.ttu.edu/SACS/AssessmentReports/32_0_2003.pdf Strategic plans for constituent units (see organizational chart located at http://www.depts.ttu.edu/vprgs/images/VOCnew.pdf) 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/vprgsstratplan.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             2.6 The institution is in operation and has students enrolled in degree programs.  (Continuous Operation)         Not applicable to unit level.             2.7 The institution   2.7.1   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. (Program Length)      Not applicable to unit level.         2.7.2 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. (Program Content)     Not applicable to unit level.         2.7.3 requires in each undergraduate degree program the successful completion of a general education component 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. (General Education)      Not applicable to unit level.               2.7.4 provides instruction for all course work required for at least one degree program at each level at which it awards degrees.  If the institution makes arrangements for some instruction to be provided by other accredited institutions or entities through contracts or consortia, or uses some other alternative approach to meeting this requirement, the alternative approach must be approved by the Commission on Colleges.  In all cases, the institution demonstrates that it controls all aspects of its educational program.  (Contractual Agreements for Instruction)         Not applicable to unit level.             2.8 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.  (Faculty)         Not applicable to unit level.             2.9. 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. (Learning Resources and Services)         Not applicable to unit level.             2.10 The institution provides student support programs, services, and activities consistent with its mission that promote student learning and enhance the development of its students. (Student Support Services)         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.          2.11 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 member institution provides the following financial statements: (a) an institutional audit (or Standard Review Report issued in accordance with Statements on Standards for Accounting and Review Services issued by the AICPA for those institutions audited as part of a systemwide or statewide audit) and written institutional management letter for the most recent fiscal year prepared by an independent certified public accountant and/or an appropriate governmental auditing agency employing the appropriate audit (or Standard Review Report) guide; (b) a statement of financial position of unrestricted net assets, exclusive of plant assets and plant-related debt, which represents the change in unrestricted net assets attributable to operations for the most recent year; and, (c) an annual budget that is preceded by sound planning, is subject to sound fiscal procedures, and is approved by the governing board. Audit requirements for applicant institutions may be found in the Commission policy entitled "Accreditation Procedures for Applicant Institutions".  (Resources)   Not applicable to unit level.         2.12 The institution has developed an acceptable Quality Enhancement Plan and demonstrated that the plan is part of an ongoing planning and evaluation process.  (Quality Enhancement Plan). (Not applicable for the Compliance Certification submitted by institution).               Section 3:  COMPREHENSIVE STANDARDS       Institutional Mission, Governance, And Effectiveness 3.1  Institutional Mission     3.1.1 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.       RTTED and its sub-units publishes its mission statement in its strategic plan (http://www.depts.ttu.edu/vprgs/images/vprgsstratplan.pdf) and on its main website (http://www.depts.ttu.edu/vprgs/index.php)             3.2  Governance and Administration     3.2.1 The governing board of the institution is responsible for the selection and the evaluation of the chief executive officer.         Not applicable to unit level.             3.2.2 The legal authority and operating control of the institution are clearly defined for the following areas within the institution’s governance structure:   3.2.2.1 the institution’s mission;   3.2.2.2 the fiscal stability of the institution;   3.2.2.3 institutional policy, including policies concerning related and affiliated corporate entities and all auxiliary services;   3.2.2.4 related foundations (athletic, research, etc.) and other corporate entities whose primary purpose is to support the institution and/or its programs.         Operating control for all areas of RTTED is given by their organizational chart (located at http://www.depts.ttu.edu/vprgs/images/VOCnew.pdf). 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.       3.2.3 The board has a policy addressing conflict of interest for its members.         Not applicable to unit level.             3.2.4 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.             3.2.5 Members of the governing board can be dismissed only for cause and by due process.           Not applicable to unit level.             3.2.6 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.             3.2.7 The institution has a clearly defined and published organizational structure that delineates responsibility for the administration of policies.       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/TTUOrganizationalChart.pdf.   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       3.2.8 The institution has qualified administrative and academic officers with the experience, competence, and capacity to lead the institution.       Head of RTTED unit:  Dr. Robert Sweazy, Ph.D., Environmental Engineering, University of Oklahoma (A brief biographical sketch for Dr. Sweazy is posted on the RTTED website http://www.depts.ttu.edu/vprgs/ at http://www.depts.ttu.edu/vprgs/images/VPBio.pdf). See here for the main administrative officers of RTTED subunits. 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.               3.2.9 The institution defines and publishes policies regarding appointment and employment of faculty and staff.         Not applicable to unit level.             3.2.10 The institution evaluates the effectiveness of its administrators, including the chief executive officer, on a periodic basis.       Partial Compliance While the RTTED vice president is evaluated annually by the President, with reports to be found in the President's Office, 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.             3.2.11 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.             3.2.12 The institution’s chief executive officer has ultimate control of the institution’s fund-raising activities.         Not applicable to unit level.             3.2.13 Any 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.             3.2.14 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.       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.       3.3  Institutional Effectiveness     3.3.1 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.       RTTED participates in the University’s Strategic planning process with its own strategic plan (http://www.depts.ttu.edu/vprgs/images/vprgsstratplan.pdf), tracks universal assessment data (http://www.irs.ttu.edu/SACS/AssessmentReports/32_0_2003.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, in 2004 the NWTSBDC created 1,463 new jobs in West Texas versus 1,150 new jobs in 2000, and provided 18,538 hours of counseling to small businesses versus 13,173 hours in 2000.       PROGRAMS 3.4  Educational Programs Standards for All Educational Programs: (Includes all on-campus, off-campus and distance learning programs)  3.4.1 The institution demonstrates that each educational program for which academic credit is awarded (a) is approved by the faculty and the administration, and (b) establishes and evaluates program and learning outcomes.         Not applicable to unit level.             3.4.2 The institution’s continuing education, outreach, and service programs are consistent with the institution’s mission.         RTTED supports students through its office for undergraduate research, headed by Associate 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.       3.4.3 The institution publishes admissions policies consistent with its mission.         Not applicable to unit level.             3.4.4 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.             3.4.5 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.             3.4.6 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.             3.4.7 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 consortial relationship and/or agreement against the purpose of the institution.         Not applicable to unit level.             3.4.8 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.             3.4.9 The institution provides appropriate academic support services.       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.              3.4.10 The institution defines and publishes general education requirements for its undergraduate programs and major program requirements for all its programs. These requirements conform to commonly accepted standards and practices for degree programs.         Not applicable to unit level.             3.4.11 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.             3.4.12 The institution places primary responsibility for the content, quality, and effectiveness of its curriculum with its faculty.         Not applicable to unit level.             3.4.13 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.       3.4.14 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.         Not applicable to unit level.         3.5  Standards Specific to Undergraduate Programs:     3.5.1 The institution identifies college-level competencies within the general education core and provides evidence that graduates have attained those competencies.       Not applicable to unit level.             3.5.2 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.           3.6  Standards Specific to Graduate and Post-Baccalaureate Professional Programs:     3.6.1 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.           3.6.2 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.           3.6.3 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.           3.7  Faculty     3.7.1 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 accordance 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.       Not applicable to unit level.           3.7.2 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.           3.7.3 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.  3.7.4 The institution ensures adequate procedures for safeguarding and protecting academic freedom.       Not applicable to unit level.           3.7.5 The institution publishes policies on the responsibility and authority of faculty in academic and governance matters.   Not applicable to unit level.             3.8  Library and Other Learning Resources     3.8.1 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.             3.8.2 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.           3.8.3 The institution provides a sufficient number of qualified staff--with appropriate education or experiences in library and/or other learning/information resources–to accomplish the mission of the institution.       Not applicable to unit level.           3.9  Student Affairs and Services     3.9.1 The institution publishes a clear and appropriate statement of student rights and responsibilities and disseminates the statement to the campus community.       Not applicable to unit level.           3.9.2 The institution protects the security, confidentiality, and integrity of its student records.       Not applicable to unit level.           3.9.3 The institution provides services supporting its mission with qualified personnel to ensure the quality and effectiveness of its student affairs programs.       Not applicable to unit level.           RESOURCES 3.10  Financial and Physical Resources     3.10.1 The institution’s recent financial history demonstrates financial stability.       Not applicable to unit level.           3.10.2 The institution provides financial statements and related documents, including multiple measures for determining financial health as requested by the Commission, that accurately and appropriately represent the total operation of the institution.       Not applicable to unit level.           3.10.3 The institution audits financial aid programs as required by federal and state regulations.       Not applicable to unit level.           3.10.4 The institution exercises appropriate control over all its financial and physical resources.       Not applicable to unit level.           3.10.5 The institution maintains financial control over externally funded or sponsored research and programs.       Compliance?  Accounts for externally funded projects are budgeted in accordance with Operating Policy 65.09 http://www.depts.ttu.edu/opmanual/OP65.09.pdf.  The institution’s policies governing expenditures on sponsored projects are set forth in OP 65.08 http://www.depts.ttu.edu/opmanual/OP65.08.htm.         3.10.6 The institution takes reasonable steps to provide a healthy, safe, and secure environment for all members of the campus community.       Not applicable to unit level.           3.10.7 The institution operates and maintains physical facilities, both on and off campus, that are adequate to serve the needs of the institution’s educational programs, support services, and mission-related activities.         Not applicable to unit level.         Section 4:  FEDERAL REQUIREMENTS   4.1 When evaluating success with respect to student achievement in relation to the institution’s mission, the institution includes, as appropriate, consideration of course completion, state licensing examinations, and job placement rates.         Not applicable to unit level.             4.2 The institution maintains a curriculum that is directly related and appropriate to the purpose and goals of the institution and the diplomas, certificates or degrees awarded.         Not applicable to unit level.             4.3 The institution makes available to students and the public current academic calendars, grading policies, and refund policies.         Not applicable to unit level.             4.4 The institution demonstrates that program length is appropriate for each of the degrees offered.         Not applicable to unit level.             4.5 The institution has adequate procedures for addressing written student complaints and is responsible for demonstrating that it follows those procedures when resolving student complaints. (See Commission Policy "The Review of Complaints Involving the Commission or its Accredited institutions.")         Not applicable to unit level.             4.6 Recruitment materials and presentations accurately represent the institution’s practices and policies.         Not applicable to unit level.             4.7 The institution publishes the name of its primary accreditor and its address and phone number.         Not applicable to unit level.             4.8 The institution is in compliance with its program responsibilities under Title IV of the 1998 Higher Education Amendments. (In reviewing the institution's compliance with these program responsibilities, the Commission relies on documentation forwarded to it by the Secretary of Education.)         Not applicable to unit level.