Minutes of the Board of Regents of Stephen F. Austin State University. 2007, Volume No. 239

              Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
October 29 and 30,2007
Volume 239
TABLE OF CONTENTS
BOARD MINUTES FOR OCTOBER 29 AND 30, 2007
Page
Monday, October 29,2007
Marketing Report 1
Executive Session items 2
Tuesday, October 30,2007
Executive Session items
Approval of Minutes
Board Order 08-01 4
Approval of July 9 and 10, 2007 and August 11, 2007 Minutes
Personnel
Board Order 08-02 4
Faculty Appointments for 2007-2008 4
Staff Appointments for 2007-2008 7
Changes of Status for 2007-2008 9
Retirements 13
Academic and Student Affairs
Board Order 08-03 13
Small Size Classes Spring II and Fall 2007 13
Request to Move Geography Program from Department of Political Science
and Public Administration into the Department of Sociology in the College
of Liberal and Applied Arts 14
Request Name Change for Department of Human Sciences to
School of Human Sciences 14
Approval of Licensing Agreement for Sponsored Research Project 14
Request to Merge the Department of Criminal Justice with the Department of
Political Science and Public Administration in the College of Liberal and
Applied Arts 15
Building and Grounds Affairs
Board Order 08-04.... 15
Real Estate Purchase of Wiggins Property 15
Naming of the James I. Perkins College of Education 16
Selection of a Construction Program Manager 18
Approval of the DeWitt Nursing School Facility Project Budget and
Authorization to Seek Coordinating Board Approval 18
Authorization to Issue a Request for Proposals for an Architect for the
DeWitt School of Nursing Facility 18
Concrete Contract with Cox Concrete Contractors 19
Equestrian Center Support Facility 19
Financial Affairs
Board Order 08-05 19
Approval of Annual Audit Plan, Audit Charter and Report 19
Resolution Authorizing a Request for Financing-Education Research Center 20
Resolution Declaring Expectation to Reimburse Expenditures for the
Education Research Center with Proceeds of Future Debt 20
Resolution Authorizing a Request for Financing-DeWitt Nursing School Facility 20
Resolution Declaring Expectation to Reimburse Expenditures for the DeWitt
School of Nursing Building with Proceeds of Future Debt 21
HEF Reallocations and Authorizations for Banner Purchase, Austin Building
Renovations, Library Renovations and Austin Street Property Purchases 21
Proposal to Allow Changes to Offer Discounted Tuition Rates to Students
from Border States 22
Proposal to Allow Changes to the Installment Agreement 22
University Policies and Procedures
Board Order 08-06 23
Policy Revisions
Reports 23
President
Audit Services Report
Faculty Senate
Student Government Association
Appendices
Appendix 1 - Small Size Classes for Summer II and Fall 2007
Appendix 2 - Licensing Agreement
Appendix 3 - Audit Charter
Appendix 4 - Resolution Authorizing a Request for Financing (Education Research
Center)
Appendix 5 - Resolution Declaring Expectation to Reimburse Expenditures with
Proceeds of Future Debt (Education Research Center)
Appendix 6 - Resolution Authorizing a Request for Financing (DeWitt School of
Nursing Building)
Appendix 7 - Resolution Declaring Expectation to Reimburse Expenditures with
Proceeds of Future Debt (DeWitt School of Nursing Building)
Appendix 8 - Policy Revisions
Academic Advising for Undergraduate Students (A-59) P-4
Academic and Professional Preparation (A-49) P-6
Academic Probation, Suspension and Reinstatement
for Undergraduates (A-3) P-8
Add/Drop (A-5) P-10
Alcohol/Drug-free Workplace (E-5) P-12
Annual Budget Preparation (C-2) P-14
Appeal Procedure Relating to the Provision of Accommodations
for Students with Disabilities (F-34) P-15
Awarding Academic Credit for
Noncollegiate Sponsored Instruction (A-52) P-18
Cellular Telephones and Wireless Communication Devices (NEW) P-23
Conflict of Interest in Sponsored Activities (A-l 1.5) P-26
Continuing Education, Outreach and Public Service Programs (A-32) . P-33
Designation of School Status (A-63) P-35
Developmental Education and Texas Success Initiative (A-57) P-37
Distance Distributed Education Faculty Compensation (A-5 8) P-45
Faculty Evaluation, Merit Pay, Promotion and Tenure (E-20A) P-47
Food Purchases (C-13) P-50
Fraud (C-46) P-52
Graduate Student Orientation and Advisement (A-61) P-58
Guarantees Relating to Matters Other Than Termination (E-26A) P-60
Guest Lecturers (A-21) P-62
Homer Bryce Stadium and W.R. Johnson Coliseum (B-12) P-63
Human Research Subjects Protection (A-62) P-65
Illicit Drugs and Alcohol Abuse (D-19) P-76
Inclement Weather and Other Emergencies (D-19.1) P-85
Intellectual Property rights for Distance Education (D-20A) P-86
Investments-Endowment Funds (C-41 A) P-92
Minimum Length of Courses (A-14) P-101
Overload Assignments (A-37) P-102
Performance Review of Officers Reporting to the VPAA (E-38A) P-103
Petitions and Handbills (D-25) P-104
Purchase Requisition (C-30) P-107
Reporting of Abuse, Exploitation or Neglect of Elderly or
Disabled Persons (D-46) P-108
Reporting the Annual Disclosure of Crime Statistics (D-52) NEW P-l 10
Residence Requirement (A-55) P-l 15
Salary Supplements, Stipends and Additional Compensation (E-9).... P-l 17
Student Evaluation of Instruction (A-48) P-124
Student Organization Risk Management Program (NEW) P-l26
Student Records (D-13) P-l27
Summer Teaching Appointments (A-18A) P-136
Timely Warning Policy (D-51) NEW P-137
Training and Certification of University Vehicle Operators (D-36).... P-l 39
University Center Operations (B-29) P-142
Stephen F. Austin State University
Minutes of the Meeting of the
Board of Regents
Nacogdoches, Texas
October 29 and 30, 2007
Austin Building 307
Monday, October 29,2007
The regular meeting of the Board of Regents was called to order at 8:00 a.m., Monday,
October 29, 2007, by Chair Valerie Ertz.
PRESENT:
Board Members: Ms. Valerie Ertz, Chair
Mr. Carlos Amaral
Mr. Richard Boyer
Mr. James Dickerson
Mr. Bob Garrett
Mr. Joe Max Green
Mr. Paul Pond
Mr. James Thompson
Mr. Melvin White
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors
The Building and Grounds Committee convened at 8:00 a.m. and adjourned at 10:28
a.m.
Reconvening at 10:40 a.m. in open session as a Committee of the Whole, the board heard
a marketing report from Andy Kesling on the following topics:
• University magazine
• University website
• Media outreach
The Committee of the Whole was recessed at 11:15 a.m.
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The Finance/Audit Committee convened at 11:15 a.m. The committee recessed at 11:55
a.m. to attend the Lumberjack Luncheon and a tour of the Phonejacks Calling Center and
the campus entrance signs on North Street. Reconvening and continuing with the
Finance/Audit Committee agenda at 2:13p.m., the Finance/Audit Committee adjourned
at 3:30p.m. The Academic and Student Affairs Committee convened at 3:36p.m. and
adjourned at 5:55 p. m.
Reconvening at 6:00 p.m. in open session, the chair called for an immediate executive
session to consider the following items:
Security Personnel and Devices
Deliberations Concerning Security Personnel and Devices (Texas Government
Code, Section 551.076), including but not limited to TAC 202 Information
Security Review and DIR Penetration Review
Real Estate
Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real
Property (Texas Government Code, Section 551.072), including a possible real
estate purchase
Legal Advice
Consultation with Attorney Regarding Legal Advice or Pending and/or
Contemplated Litigation or Settlement Offers (Texas Government Code, Section
551.071), including but not limited to license agreement, Watkins Trust, and
Attorney General agreement involving financial aid
Gifts and Donations
Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations
(Texas Government Code, Section 551.073), including a possible naming
opportunity related to a gift
Personnel Matters Regarding Specific University Employees
Consideration of Individual Personnel Matters Relating to Appointment,
Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an
Officer or Employee (Texas Government Code, Section 551.074), including but
not limited to the chief information officer, interim director of alumni affairs, the
vice president for development, baseball/softball coaches, vice presidents and the
president
The executive session ended at 7:00 p.m. and the board recessed for the day, with no
further action.
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Tuesday, October 30,2007
The chair reconvened the board meeting into open session at 7:30 a.m. on Tuesday,
October 30, 2007.
PRESENT:
Board Members: Ms. Valerie Ertz, Chair
Mr. Carlos Amaral
Mr. Richard Boyer
Mr. James Dickerson
Mr. Bob Garrett
Mr. Joe Max Green
Mr. Paul Pond
Mr. James Thompson
Mr. Melvin White
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors
The chair immediately called for a continuation of the October 29, 2007, executive
session to consider the following agenda items:
Security Personnel and Devices
Deliberations Concerning Security Personnel and Devices (Texas Government
Code, Section 551.076), including but not limited to TAC 202 Information
Security Review and DIR Penetration Review
Real Estate
Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real
Property (Texas Government Code, Section 551.072), including a possible real
estate purchase
Legal Advice
Consultation with Attorney Regarding Legal Advice or Pending and/or
Contemplated Litigation or Settlement Offers (Texas Government Code, Section
551.071), including but not limited to license agreement, Watkins Trust, and
Attorney General agreement involving financial aid
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Gifts and Donations
Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations
(Texas Government Code, Section 551.073), including a possible naming
opportunity related to a gift
Personnel Matters Regarding Specific University Employees
Consideration of Individual Personnel Matters Relating to Appointment,
Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an
Officer or Employee (Texas Government Code, Section 551.074), including but
not limited to the chief information officer, interim director of alumni affairs, the
vice president for development, baseball/softball coaches, vice presidents and the
president
The executive session ended at 8:55 a.m.
The chair reconvened the meeting into open session at 9:12 a.m.
The chair welcomed guests to the board meeting and called upon Regent Garrett to lead
the pledge to the flags. Regent Pond provided the invocation.
Dr. Allen Richman introduced the officers of the School of Honors, who presented the
first two Honors Medals to Dr. Baker Pattillo and Ms. Valerie Ertz.
APPROVAL OF MINUTES
Board Order 08-01
Upon motion by Regent Amaral, seconded by Regent Thompson, with all members
voting aye, it was ordered that the minutes of the July 9 and 10, 2007 and the August 11,
2007 meetings be approved.
PERSONNEL
Board Order 08-02
Upon motion by Regent Amaral, seconded by Regent Green, with all members voting
aye, it was ordered that the following personnel items be approved:
FACULTY APPOINTMENTS FOR 2007 - 2008
Business
Dale Spradling, Visiting Assistant Professor of Accounting, Ph.D. (University of
Houston) at a salary of $85,204 for 100 percent time for nine months, effective
September 1,2007.
Ted Whitmen Visiting Professor of Economics and Finance, J.D. (University of
Houston Law Center), at a salary of $75,000 for 100 percent time for nine
months, effective September 1, 2007.
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Education
Lavne DeBardelaben, Clinical Instructor of Human Services, M.A. (University of
Houston), at a salary of $47,000 for 100 percent time for nine months, effective
September 1,2007.
Amy Elizabeth Part Durham, Clinical Instructor of Human Services, M.S.
(Stephen F. Austin State University), at a salary of $47,000 for 100 percent time
for nine months, effective September 1, 2007.
Michael Munro, Clinical Instructor of Human Services, M.Ed. (Stephen F. Austin
State University), at a salary of $45,000 for 100 percent time for nine months,
effective September 1, 2007.
Frankie Swift, Lecturer of Human Services, M.A. (Angelo State University), at a
salary of $47,000 for 100 percent time for nine months, effective September 1,
2007.
Hallie Dianne Trautman, Assistant Professor of Secondary Education and
Educational Leadership, Ed.D. (Sam Houston State University) at a salary of
$48,925 for 100 percent time for nine months, effective September 1, 2007.
Fine Arts
Valerie A Austin, Visiting Instructor of Music, M.M. (University of Florida), at a
salary of $44,000 for 100 percent time for nine months, effective September 1,
2007.
Mr. Brad Maule, Lecturer of Theatre and Art, B.F.A. (Stephen F. Austin State
University), at a salary of $38,000 for 100 percent time for nine months, effective
September 1,2007.
Brett A. Richardson, Lecturer of Music, M.M. (Texas A&M Commerce) at a
salary of $42,000 for 100 percent time for nine months, effective September 1,
2007.
Gary James Schott Visiting Assistant Professor of Art, M.F.A. (University of
Illinois), at a salary of $40,000 for 100 percent time for nine months, effective
September 1,2007.
Christopher A. Scott, Instructor of Music, M.M. (Florida State University), at a
salary of $42,000 for 100 percent time for nine months, effective September 1,
2007.
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Forestry and Agriculture
Shervll B. Jerez., Assistant Professor of Environmental Science, M.S. (Kansas
City University), at a salary of $52,000 for 100 percent time for nine months,
effective November 1, 2007, contingent upon completion of Ph.D. by October 15,
2007.
Liberal and Applied Arts
Alan Baily, Visiting Assistant Professor of Political Science, Geography and
Public Administration, Ph.D. (Louisiana State University), at a salary of $40,000
for 100 percent time for nine months, effective September 1, 2007.
Charles E. KrolL Senior Lecturer of English and Philosophy, Ph.D. (University of
Texas), at a salary of $30,000 for 100 percent time for nine months, effective
September 1,2007.
Billy Monroe, Visiting Instructor of Political Science, Geography and Public
Administration, B.A. (University of Texas), at a salary of $38,000 for 100 percent
time for nine months, effective September 1, 2007.
Cindy Pressley. Visiting Instructor of Political Science, Geography and Public
Administration, J.D. (T.C. Williams School of Law), at a salary of $38,000 for
100 percent time for nine months, effective September 1, 2007.
Rebecca J. Woods, Visiting Assistant Professor of Psychology, Ph.D. (Texas
A&M University), at a salary of $40,000 for 100 percent time for nine months,
effective September 1, 2007.
Sciences and Mathematics
Carol Athey, Clinical Instructor of Nursing, B.S.N. (Stephen F. Austin State
University) at a salary of $49,000 for 100 percent time for nine months, effective
September 1,2007.
Susan P. Ballard, Clinical Instructor of Nursing, B.S.N. (University of Arlington)
at a salary of $49,000 for 100 percent time for nine months, effective September
1,2007.
Angela L. West, Lecturer of Mathematics and Statistics, M.S. (Stephen F. Austin
State University) at a salary of $34,000 for 100 percent time for nine months,
effective September 1, 2007.
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STAFF APPOINTMENTS FOR 2007 - 2008
Admissions
Jennifer M. Bruner, Regional Admissions Coordinator, at a salary of $39,733 for
100 percent time for 12 months, effective September 4, 2007.
Douglas J. Daigle, Counselor/Recruiter, at a salary of $29,840 for 100 percent
time for 12 months, effective August 13, 2007.
Athletics
Amber M. Burdge, Assistant Director Athletics, at a salary of $53,000 for 100
percent time for 12 months, effective August 13, 2007.
Cody Evans Clark, Assistant Track Coach, at a salary of $24,000 for 100 percent
time for 10.5 months, effective September 1, 2007.
Lori Dianne Kowaleski, Assistant Softball Coach, at a salary of $24,000 for 100
percent time for 10.5 months, effective September 1, 2007.
Stephen Brad Laird, Assistant Football Coach, at a salary of $38,000 for 100
percent time for 10.5 months, effective September 1, 2007.
Rebecca Gay McNutt Head Softball Coach, at a salary of $44,205 for 100 percent
time for 10.5 months, effective July 9, 2007.
Jaye Dee Nayreau. Instructor/Assistant Coach Women's Basketball, at a salary of
$45,661 for 100 percent time for 10.5 months, effective September 1, 2007.
Ryder L. Peacock, Assistant Track Coach, at a salary of $24,000 for 100 percent
time for 10.5 months, effective September 1, 2007.
William Craig Snider, Assistant Softball Coach, at a salary of $29,881 for 100
percent time for 10.5 months, effective September 1, 2007.
Counseling and Career Services
Binta Yaisa Lorde, Counselor, at a salary of $38,000 for 100 percent time for 12
months, effective October 22, 2007.
Ronald Jeffrey Smith, Counselor, at a salary of $38,000 for 100 percent time for
12 months, effective October 29, 2007.
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Education
Janiece L. Buck. Coordinator Project Certification Preparation English Language
Learners, at a salary of $55,000 for 100 percent time for 12 months, effective
September 1,2007.
Mary C. Nino, Certification Officer/Post Baccalaureate Initial Certification
Coordinator, at a salary of $45,000 for 100 percent time for 12 months, effective
July 24, 2007.
Donnva E. Stephens, Gear Up Special Project Coordinator, at a salary of $35,000
for 41 percent time for 12 months, effective September 1, 2007.
Fine Arts
Christian H. Cutler, Gallery Director, at a salary of $42,000 for 100 percent time
for 12 months, effective July 16, 2007.
Forestry and Agriculture
David Creech, Associate Director of Mast Arboretum, at a salary of $46,860 for
46 percent time for 12 months, effective October 1, 2007.
Human Services
Casey Danielle Perry, Clinical Audiologist, at a salary of $70,000 for 100 percent
time for 12 months, effective July 18, 2007.
Information Technology Services
Seana Lee Utley, Programmer Analyst II, at a salary of $40,000 for 100 percent
time for 12 months, effective August 6, 2007.
Library
Lori C. Wiintjes, Writing Program Director of the Library/Academic Assistance
and Resource Center, at a salary of $40,000 for 100 percent time for 12 months,
effective August 20, 2007.
PlNEYWOODS AHEC
Lurah M. Bryant, Coordinator Area Health Education Center, at a salary of
$30,000 for 100 percent time for 12 months, effective July 16, 2007.
Randall M. Scott, Coordinator Area Health Education Center, at a salary of
$31,500 for 100 percent time for 12 months, effective September 10, 2007.
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Public Affairs
Amy Frances Roquemore. Editorial Coordinator, at a salary of $40,000 for 100
percent time for 12 months, effective October 1, 2007.
CHANGES OF STATUS FOR 2007 - 2008
Academic Affairs
Mary Nelle Brunson, from Assistant Professor of Elementary Education at a
salary of $76,568 for 100 percent time for 12 months, to Interim Assistant Provost
and Assistant Professor of Elementary Education at a salary of $100,000 for 100
percent time for 12 months, effective September 1, 2007.
Alumni Affairs
Jeffrey H. Davis, from Director of Development for Alumni Affairs at a salary of
$50,393 for 100 percent time for 12 months, to Interim Director for Alumni
Affairs at a salary of $80,393 for 100 percent time for 12 months, effective
September 7, 2007.
Athletics
Aaron Delatoree, from Intern/Coach at a salary of $8.00 per hour for 100 percent
time for 10.5 months, to Assistant Football Coach at a salary of $24,000 for 100
percent time for 10.5 months, effective September 1, 2007.
Erin Lycan, from Intern/Coach at a salary of $7.00 per hour for 100 percent time
for 10.5 months, to Assistant Soccer Coach at a salary of $24,000 for 100 percent
time for 10.5 months, effective September 1, 2007.
Loree M. McCary, from Athletic Trainer at a salary of $52,034 for 100 percent
time for 12 months, to Athletic Trainer and Senior Women's Administrator at a
salary of $57,034 for 100 percent time for 12 months, effective September 1,
2007.
Erin C. McClanahan, from Intern/Coach at a salary of $7.00 per hour for 100
percent time for 10.5 months, to Assistant Volleyball Coach at a salary of $24,000
for 100 percent time for 10.5 months, effective September 1, 2007.
Brian J. McNutt, from Intern/Coach at a salary of $5.85 per hour for 100 percent
time for 10.5 months, to Assistant Football Coach at a salary of $24,000 for 100
percent time for 10.5 months, effective September 1, 2007.
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Brandon R. North, from Intern/Coach at a salary of $8.00 per hour for 100 percent
time for 10.5 months, to Assistant Football Coach at a salary of $24,000 for 100
percent time for 10.5 months, effective September 1, 2007.
Education
Marie D. Davenport, from Adjunct Faculty in Secondary Education at a salary of
$2,500 for Summer II, to Certification Preparation Coordinator at a salary of
$55,000 for 100 percent time for 12 months, effective September 1, 2007.
Finance and Administration
Deborah L. Sellman, Coordinator of Planning, Resources and Accountability for
Academic Affairs at a salary of $57,960 for 100 percent time for 12 months, to
Interim Budget Director at a salary of $75,000 for 100 percent time for 12
months, effective August 22, 2007.
Fine Arts
Mario P. Aiero, from Instructor of Music at a salary of $41,756 for 100 percent
time for nine months, to Assistant Professor of Music at a salary of $42,756 for
100 percent time for nine months, effective September 1, 2007.
Information Technology Services
John W. Parker, from Programmer Systems II at a salary of $45,905 for 100
percent time for 12 months, to Programmer Systems Il/Interim Assistant Director
of ITS at a salary of $45,905 for 100 percent time for 12 months, with an
additional salary supplement of $500 per month for the interim duties, effective
April 1, 2007 through August 31, 2007; and from Programmer Systems II at a
salary of $48,528 for 100 percent time for 12 months to Programmer Systems
Il/Interim Assistant Director of ITS at a salary of $48,528 for 100 percent time for
12 months, with an additional salary supplement of $500 per month for the
interim duties, effective September 1, 2007.
Stephen J. Watson, from Programmer Systems I at a salary of $44,037 for 100
percent time for 12 months, to Programmer Systems I/Interim Assistant Director
of ITS at a salary of $44,037 for 100 percent time for 12 months, with an
additional salary supplement of $350 per month for the interim duties, effective
April 1, 2007 through August 31, 2007; and from Programmer Systems I at a
salary of $45,798 for 100 percent time for 12 months, to Programmer Systems
Il/Interim Assistant Director of ITS at a salary of $45,798 for 100 percent time for
12 months, with an additional salary supplement of $350 per month for the
interim duties, effective September 1, 2007.
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Liberal and Applied Arts
Mark Barringer, from Associate Professor of History and Associate Dean of
Liberal and Applied Arts at a salary of $85,443 for 100 percent time for 12
months, to Associate Professor of History and Associate Dean of Liberal and
Applied Arts with an increase in administrative duties at a salary of $90,000 for
100 percent time for 12 months, effective September 1, 2007.
Barbara Carr, from Chair and Professor of English and Philosophy at a salary of
$96,430 for 100 percent time for 11 months, to Professor of English and
Philosophy at a salary of $76,520 for 100 percent time for nine months, effective
September 1,2007.
Ray Darville, from Professor of Sociology at a salary of $73,984 for 100 percent
time for nine months, to Interim Chair of Communication and Professor of
Sociology at a salary of $73,984 for 100 percent time for nine months, with an
additional stipend of $1,100 per month for the interim duties, effective September
24, 2007.
Ann Doyle-Anderson, from Chair and Professor of Modern Languages at a salary
of $89,622 for 100 percent time for 11 months, to Chair and Professor of Modern
Languages at a salary of $97,122 for 100 percent time for 11 months, effective
September 1, 2007, as a budget correction.
Wanda Mouton, from Interim Chair and Associate Professor of Communication at
a salary of $56,533 for 100 percent time for nine months, with an additional
stipend of $1,111 per month for the interim duties, to Associate Professor of
Communication at a salary of $56,533 for 100 percent time for nine months,
effective September 21, 2007.
Lee W. Payne, from Visiting Lecturer of Political Science, Geography and Public
Administration at a salary of $18,000 for 100 percent time for four months, to
Visiting Instructor of Political Science, Geography and Public Administration at a
salary of $38,000 for 100 percent time for nine months, effective September 1,
2007.
Becky L. Price-Mayo, from Lecturer of Social Work and Interim Director at a
salary of $52,365 for 100 percent time for 12 months, to Lecturer of Social Work
and Director at a salary of $44,947 for 100 percent time for 10 months, effective
September 1,2007.
Kandy J. Stahl, from Chair and Professor of Psychology at a salary of $94,816 for
100 percent time for 11 months, to Chair and Professor of Psychology at a salary
of $102,316 for 100 percent time for 11 months, effective September 1, 2007, as a
budget correction.
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Library
Susan D. Clarke, from Librarian II at a salary of $39,747 for 100 percent time for
12 months, to Librarian II/Digital Projects Librarian with additional
administrative duties at a salary of $48,000 for 100 percent time for 12 months,
effective October 15 2007.
Shirley Dickerson, from Interim Library Director at a salary of $68,843 for 100
percent time for 12 months, with a stipend of $1,000 per month for additional
duties, to Library Director at a salary of $95,000 for 100 percent time for 12
months, effective August 1, 2007.
Rachel B. Galan, from Acting Associate Library Director and Librarian II at a
salary of $48,963 for 100 percent time for 12 months, to Associate Library
Director at a salary of $70,000 for 100 percent time for 12 months, effective
September 1,2007.
Reginald L. Gossett from Assistant Manager Library Systems at a salary of
$43,768 for 100 percent time for 12 months, to Manager Library Systems at a
salary of $47,589 for 100 percent time for 12 months, effective September 1,
2007.
Christine E. Hennessey, from Library Assistant II at a salary of $ 21,000 for 100
percent time for 12 months, to Librarian I at a salary of $35,000 for 100 percent
time for 12 months, effective July 23, 2007.
David W. Justus, from Manager Library Systems at a salary of $64,667 for 100
percent time for 12 months, to Associate Director Library Technology at a salary
of $69, 667 for 100 percent time for 12 months, effective October 1, 2007.
Mary E. McWilliams, from Program Director of Academic Assistance and
Resource Center at a salary of $41,548 for 100 percent time for 12 months, to
Program Director of Academic Assistance and Resource Center with additional
administrative duties at a salary of $47,106 for 100 percent time for 12 months,
effective September 1, 2007.
Linda L. Reynolds, from Interim Director East Texas Research Center and
Librarian II at a salary of $39,134 for 100 percent time for 12 months, to Director
of East Texas Research Center and Librarian II at a salary of $41,000 for 100
percent time for 12 months, effective September 1, 2007.
Sciences and Mathematics
Casandra L. Wright, from Program Director of Academic Assistance and
Resource Center at a salary of $41,208 for 100 percent time for nine months, to
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Lecturer of Mathematics and Statistics at a salary of $34,000 for 100 percent time
for nine months, effective September 1, 2007.
RETIREMENTS
Harvey R. Brown. Grant Director, College of Education, effective August 31,
2007
Ray Eastman, Associate Professor of Psychology, effective December 31, 2007
Stephanie George, Lecturer of Communication, effective July 31, 2007
David L. Creech, Regents Professor of Agriculture, effective August 31, 2007
Mary E. Garrett, Coordinator of A & P Laboratory in Biology, effective
December 31, 2007
Ernest Ledger, Professor of Geology, effective May 31, 2008
William J. Oliver, Professor of Communication, effective December 31, 2007
Marlin Young, Provost/Vice President for Academic Affairs, effective August 31,
2007
ACADEMIC AND STUDENT AFFAIRS
Board Order 08-03
Upon motion by Regent Boyer, seconded by Regent Dickerson, with all members voting
aye, it was ordered that the following academic and student affairs items be approved:
SMALL-SIZE CLASSES SUMMER II AND FALL 2007
Whereas, the following was considered by the board of regents: Coordinating board
rules require that all regular organized undergraduate classes with fewer than ten student
enrolled and regular graduate classes with fewer than five students enrolled be approved
by the board of regents. Under policies established by the board, such classes can only be
taught for specific reasons, such as the course being needed for students to meet
graduation requirements, etc. Courses for Summer II and Fall 2007 are listed in Appendix
1.
Therefore, it was ordered that the Summer II and Fall, 2007 small-size class list be
approved, as presented in Appendix 1.
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REQUEST TO MOVE THE GEOGRAPHY PROGRAM FROM THE DEPARTMENT
OF POLITICAL SCIENCE AND PUBLIC ADMINISTRATION INTO THE
DEPARTMENT OF SOCIOLOGY IN THE COLLEGE OF LIBERAL AND APPLIED
ARTS
Whereas, the following was considered by the board of regents: The College of Liberal
and Applied Arts is requesting that the geography program be moved into the Department
of Sociology. This move is highly appropriate in light of the natural synergies that exist
between the two disciplines. A merger would enable the deepening and expansion of
opportunities for students both at the undergraduate and graduate levels. Moreover,
faculty in these areas will be in a position to interact more frequently to develop mutual
research agendas. It is significant that the individuals involved in the potential
consolidation of disciplines are uniformly supportive of the initiative. Thus the move is in
the best interest of the faculty, students and university.
Therefore, it was ordered that the geography program be moved into the Department of
Sociology in the College of Liberal and Applied Arts.
REQUEST NAME CHANGE FOR DEPARTMENT OF HUMAN SCIENCES TO
SCHOOL OF HUMAN SCIENCES
Whereas, the following was considered by the board of regents: In accordance with
guidelines in policy A-63, Designation of School Status, "the subdivision of a college
organized for the common purpose of providing higher education in specialized or
professional fields that lead to a degree, certificate, or licensure, and headed by a director
or associate dean" may seek school status. The following department change is requested:
The Department of Human Sciences will be changed to the School of Human Sciences.
The change in status will better reflect the specialized and professional programs leading
to seven diverse degrees in the field of human sciences. In addition, the department
currently has five accrediting agencies to which it reports that are specific to human
sciences, and five of the programs in human sciences require professional
exams/certifications for practice in the field. The designation of school status will more
accurately reflect the educational experience of graduates within these areas of study.
Therefore, it was ordered that the Department of Human Sciences be renamed the
School of Human Sciences.
APPROVAL OF LICENSING AGREEMENT FOR SPONSORED RESEARCH
PROJECT WITH DECKER OPERATING COMPANY
Whereas, the following was considered by the board of regents: The university has
negotiated a sponsored research agreement with Decker Operating Company, LLC that
involves potential intellectual property licensing rights. The sponsor desires to support the
university's biotechnology program and wishes to fund two areas of basic research. A
licensing agreement has been negotiated as a companion to the research agreement
should intellectual property rights be discovered within the course and scope of the
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sponsored research projects. The university's policy on Intellectual Property, D-20,
requires approval by the board of regents for all agreements which grant a third party the
right to make, use, or sell a patented invention, invention know-how or trade secret that
has been disclosed or assigned to, or otherwise owned by the university. A sample copy
of the licensing agreement is included in Appendix 2.
Therefore, it was ordered that the president be authorized to sign a license agreement
with Decker Operating Company, LLC, upon review and recommendation by the general
counsel.
REQUEST TO MERGE THE DEPARTMENT OF CRIMINAL JUSTICE WITH THE
DEPARTMENT OF POLITICAL SCIENCE AND PUBLIC ADMINISTRATION IN
THE COLLEGE OF LIBERAL AND APPLIED ARTS
Whereas, the following was considered by the board of regents: The College of Liberal
and Applied Arts is requesting the merger of the Department of Criminal Justice and the
Department of Political Science and Public Administration. The disciplines share
numerous areas of common ground - law, judicial system, public administration - in
which genuine collaboration among the faculty can be developed. Faculty members are
uniformly in support of the proposal and are in active discussion about how instructional
and research agendas can be integrated. The change will be effective Fall 2008.
Therefore, it was ordered that Department of Criminal Justice be merged with the
Department of Political Science and Public Administration in the College of Liberal and
Applied Arts, effective Fall 2008.
BUILDING AND GROUNDS
Board Order 08-04
Upon recommendation by the Building and Grounds Committee, with Carlos Amaral
voting aye, Richard Boyer voting aye, James Dickerson voting nay, Valerie Ertz voting
aye, Bob Garrett voting aye, Joe Max Green voting aye on all items except the Concrete
Contract with Cox Concrete Contractors, for which he recused himself from the
discussion and the vote, Paul Pond voting aye, James Thompson voting aye, and Melvin
White voting aye, it was ordered that the following Building and Grounds items be
approved:
REAL ESTATE PURCHASE OF WIGGINS PROPERTY
Whereas, the board of regents considered the following: The university has the
opportunity to purchase 83.56 acres owned by Junell Heldenbrand Wiggins on County
Road 124 in the Central Heights community. The tract joins farm property that is owned
by the university. The farm property that the university owns is used for teaching and
research purposes. The property was appraised for $210,000. The property would provide
expanded teaching and research opportunities for the agriculture and forestry programs.
-15-
Therefore, it was ordered that the university be authorized to offer Ms. Wiggins the
appraised value of the property, $210,000, plus all associated closing costs. It was further
ordered that the director of physical plant be authorized to sign necessary documents. The
source of funds for the purchase will be the Higher Education Fund.
NAMING OF THE JAMES I. PERKINS COLLEGE OF EDUCATION
Whereas, the following was considered by the board of regents: In accordance with
Board Rules and Regulations, academic colleges may be named for a living person who
makes a significant donation to the university. The board was asked to consider the
appropriate naming of the College of Education.
Therefore, it was ordered that the board adopt the appropriate gift agreement to name
the James I. Perkins College of Education, by which the president is authorized to sign,
and the following resolution:
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RESOLUTION
Adopted on October 30, 2007 by the
Board of Regents
of
Stephen F. Austin State University
WHEREAS, James I. Perkins III has served Stephen F. Austin University as a member of the
Board of Regents from 1969 until 1981, serving as board chairman from 1977 to 1978; and
WHEREAS, he was one of the founders of the Stephen F. Austin State University Foundation,
serving as a member of the Board of Trustees from 1975 until 1993 and board chairman from
1990 until 1993; and
WHEREAS, he continues to faithfully serve Stephen F. Austin State University with distinction
and honor as a dedicated and loyal alumnus; and
WHEREAS, he has distinguished himself as an innovative leader in the banking industry of East
Texas; and
WHEREAS, he and his family recognize that education is the key to creating a higher standard of
living for the East Texas community; and
WHEREAS, he has contributed and continues to contribute generously to the programs of
Stephen F. Austin State University; and
WHEREAS, in his loyal dedication to Stephen F. Austin State University and his generous spirit
of service and standards of excellence, he has set a distinguished example for others;
NOW THEREFORE, LET IT BE RESOLVED, for his record of effective and devoted service to
Stephen F. Austin State University, the Board of Regents expresses its admiration, gratitude and
high regard by naming the College of Education at Stephen F. Austin State University the
James I. Perkins College of Education
Valerie E. Ertz, Chair
/be/Max Green, Secretary
SELECTION OF A CONSTRUCTION PROGRAM MANAGER
Whereas, the following was considered by the board of regents: As a result of the
amount of construction in which the university will be engaged, the administration has
issued a request for proposals for construction program management. Program
management firms offer construction program assessment, planning, management and
review. A group of finalists, Turner Construction, Parsons, and Carter-Burgess, has been
presented to the board of regents for consideration. The Building and Grounds
Committee received a copy of the responses to the RFP issued and has interviewed each
of the three selected firms. The committee unanimously recommended Turner
Construction as the most qualified consultant for the Program Management Services with
which to open negotiations. The Building and Grounds Committee voted unanimously to
recommend Carter-Burgess as the alternate choice if the university is unable to finalize
negotiations with Turner Construction.
Therefore, it was ordered that Turner Construction be selected as the construction
program management firm to assist the university in construction projects and authorize
the president to sign the contract. It was further ordered that, if a satisfactory contract
cannot be negotiated with Turner Construction, Carter-Burgess is the alternate choice.
APPROVAL OF THE DEWITT NURSING SCHOOL FACILITY PROJECT BUDGET
AND AUTHORIZATION TO SEEK COORDINATING BOARD APPROVAL
Whereas, the following was considered by the board of regents: In the 80th regular
session of the Texas legislature, H. B. 1775 was passed that authorized $13,000,000 of
tuition revenue bonds to construct a nursing facility on property donated to the university
by Richard and Lucille DeWitt. The total estimated cost for the project, including
construction, furnishing, infrastructure, and bond issuance costs is $13,000,000.
Therefore, it was ordered that a project budget be authorized to construct the nursing
facility at a cost not to exceed $13,000,000 and the administration be authorized to seek
coordinating board approval for the project.
AUTHORIZATION TO ISSUE A REQUEST FOR PROPOSALS FOR AN
ARCHITECT FOR THE DEWITT SCHOOL OF NURSING FACILITY
Whereas, the board of regents considered the following: Pursuant to nursing facility
project authorization, the university wishes to begin the DeWitt School of Nursing
facility construction project with the selection of an architect.
Therefore, it was ordered that the university be authorized to issue a request for
proposals for a nursing facility architect. The finalists will be presented to the board of
regents for selection at the January 29, 2008 meeting.
-18-
CONCRETE CONTRACT WITH COX CONCRETE CONTRACTORS
Whereas, the board of regents considered the following: In October 2005, the university
established a blanket contract with one annual renewal for minor improvements of
$25,000 or less involving concrete site repair, concrete new construction and other
associated minor alterations. Individual orders are issued for each job. FY06 expenditures
totaled $169,543.49 and FY07 expenditures were $81,035.48.
Therefore, it was ordered that a contract be awarded to Cox Concrete Contractors for a
blanket contract for minor improvements of $25,000 or less involving concrete site
repair, concrete new construction and other associated minor alterations. The contract
will be established for one year, with four one-year renewal options, subject to
administrative approval. The administration recommends that the president be authorized
to sign the contract.
EQUESTRIAN CENTER SUPPORT FACILITY
Whereas, the following was considered by the board of regents: The university is
proceeding with development of facilities at the Equestrian Center. The proposed support
facility when completed will contain offices, locker rooms, restrooms, showers, tack
room, break room, and team meeting room. The first phase of this project is to construct
the building shell. The interior build out will be in a subsequent fiscal year. The site of
the building is west of the practice arena.
Therefore, it was ordered that the university be authorized to proceed with the
Equestrian Center project and that Scott and Strong be approved as project architect
under the university's contract with that firm, that a lump sum construction contract for
the building shell be awarded to the lowest qualified bidder, that this phase of the project
cost be approved to not exceed $125,000, that the president be authorized to sign the
contracts, and that the bid results be reported to the building and grounds committee at
the next proposed meeting. The source of funds will be intercollegiate athletics funds.
FINANCIAL AFFAIRS
Board Order 08-05
Upon motion by Regent Thompson, seconded by Regent White, with Regent Boyer,
Regent Ertz, Regent Garrett, Regent Green, Regent Pond, Regent Thompson, and Regent
White voting aye, Regent Amaral and Regent Dickerson voting nay, it was ordered that
the following financial items be approved:
APPROVAL OF ANNUAL AUDIT PLAN, AUDIT CHARTER AND REPORT
Whereas, the following was considered by the board of regents: According to the Rules
and Regulations of the Board of Regents, the director of audit services shall annual
submit information on the annual audit plan, work schedule, and staffing plan to the
president for his review and to the board of regents for their approval. The director shall
-19-
submit an annual report as required by Art. 6252-5d, V.T.C.S., recodified at Government
Code, Chapter 2102. The annual report shall be submitted to the president and the board
for review prior to public dissemination.
In addition, the Internal Standards for the Professional Practice of Internal Auditing
require the internal audit charter to be approved on an annual basis. It is included as
Appendix 3.
Therefore, it was ordered that the annual audit plan, the audit charter, and the audit
report be approved.
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING - EDUCATION
RESEARCH CENTER
Whereas, the following was considered by the board of regents: At the April 24, 2007
meeting the board of regents authorized the university to seek Texas Higher Education
Coordinating Board approval for the Education Research Center at a project cost not to
exceed $28,000,000. The coordinating board approved the project on June 13, 2007. The
project will be funded with the issuance of tuition revenue bonds and HEF bonds. The
portion of the project to be funded with tuition revenue bonds is $20,178,000.
Therefore, it was ordered that the Resolution Authorizing a Request for Financing
(Appendix 4) be approved to permit the university to begin work with the Texas Public
Finance Authority for purposes of issuing tuition revenue bonds to help fund the
Education Research Center project.
RESOLUTION DECLARING EXPECTATION TO REIMBURSE EXPENDITURES
FOR THE EDUCATION RESEARCH CENTER WITH PROCEEDS OF FUTURE
DEBT
Whereas, the following was considered by the board of regents: The university has
incurred necessary startup expenditures to begin the Education Research Center project.
The university wishes to use bond proceeds to reimburse all or a portion of those costs.
Board adoption of the Resolution Declaring Expectation to Reimburse Expenditures with
Proceeds of Future Debt provides this option.
Therefore, it was ordered that the Resolution Declaring Expectation to Reimburse
Expenditures with Proceeds of Future Debt be adopted for the Education Research
Center as shown in Appendix 5.
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING - DEWITT
NURSING SCHOOL FACILITY
Whereas, the following was considered by the board of regents: At the October 30, 2007
meeting, the board of regents authorized the university to seek Texas Higher Education
Coordinating Board approval for the construction of a nursing facility at a project cost not
-20-
to exceed $13,000,000. The project will be funded with the issuance of tuition revenue
bonds.
Therefore, it was ordered that the Resolution Authorizing a Request for Financing
(Appendix 6) be approved to permit the university to begin work with the Texas Public
Finance Authority to issue tuition revenue bonds to help fund the nursing facility project.
RESOLUTION DECLARING EXPECTATION TO REIMBURSE EXPENDITURES
FOR THE DEWITT SCHOOL OF NURSING BUILDING WITH PROCEEDS OF
FUTURE DEBT
Whereas, the following was considered by the board of regents: Expenditures for work
to construct the nursing facility will precede the issuance of tuition revenue bonds to fund
the project. The university wishes to use bond proceeds to reimburse all or a portion of
those costs. Board adoption of the Resolution Declaring Expectation to Reimburse
Expenditures with Proceeds of Future Debt provides this option.
Therefore, it was ordered that the Resolution Declaring Expectation to Reimburse
Expenditures with Proceeds of Future Debt shown in Appendix 7 be adopted for the
nursing facility.
HEF REALLOCATIONS AND AUTHORIZATIONS FOR BANNER PURCHASE,
AUSTIN BUILDING RENOVATIONS, LIBRARY RENOVATIONS, AND AUSTIN
STREET PROPERTY PURCHASES
Whereas, the following was considered by the board of regents: The Higher Education
Fund (HEF) is used to support education and general fund capital and construction needs.
Those include construction, renovation, HEF bond debt service, library materials,
computer software, and capital equipment.
Therefore, it was ordered that reallocation of the Higher Education Fund be approved to
incorporate the following initiatives, and authorization was given for the president to sign
the necessary purchase orders and documents:
A. The Banner conversion project budget of $1,355,497 includes $862,253 of
fiscal year 2007 funds. Authority was approved, not to exceed $370,000, to
purchase Banner related hardware and associated maintenance.
B. Reallocation was authorized for $110,000, for a total project budget not to
exceed $260,000, for Austin Building meeting rooms. Renovation will include
renovations, furniture, technology/equipment upgrades, and specific authority
to purchase furniture through design consultant.
C. Reallocation of $52,000 for total project budget not to exceed $602,000 was
authorized for library relocation projects to support architectural fees for the
Office of Instructional Technology, Academic Advising Center, Teaching
Excellence Center, and SFA 101 library renovations.
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D. Reallocation of $480,779 was authorized to reimburse the designated fund for
property purchases on 430 and 514 East Austin Street.
PROPOSAL TO ALLOW DISCOUNTED NON-RESIDENT TUITION RATES TO
STUDENTS FROM BORDER STATES
Whereas, the following was considered by the board of regents: In the past, Stephen F.
Austin State University was allowed to offer a border state non-resident tuition discount
to students in Louisiana and Arkansas. Instead of those students paying non-resident
tuition rates, the university was allowed to charge $30 more than the Texas resident rate
for tuition. In fiscal year 2006, the Texas Higher Education Coordinating Board
(THECB) disallowed the university's discounted tuition rate for those students.
Subsequently, in fiscal year 2007, the THECB established that we could again provide
the discounted rate with governing board and commissioner of the THECB approval. The
fiscal year 2007-08 non-resident tuition rate without a discount is $328 per semester
credit hour and the Texas resident rate is $50 per semester credit hour.
Therefore, it was ordered that the non-resident tuition border state rate be extended to
all states that border Texas, including Arkansas, Louisiana, New Mexico, and Oklahoma.
It was further ordered that the rate be established at $30 more than the rate for Texas
resident students and become effective for the 2008 spring semester. The board of regents
acknowledged that the discounted tuition rate is in the best interest of the university and
found that such a rate will not cause unreasonable harm to any other institution. The
administration was authorized to seek approval from the commissioner of the THECB,
acknowledging that legislation requires that approval be obtained at least every two
years.
PROPOSAL TO ALLOW CHANGES TO THE INSTALLMENT AGREEMENT
Whereas, the following was considered by the board of regents: Recently passed
legislation allows state universities to provide new tuition and fee installment plan
options for students. The legislation allows for payments "in installments under one or
more payment plan options that require the first payment to be made in advance of the
beginning of the semester and the final payment to be made before the last day of the
semester." The new legislation also gives the governing board authority to provide an
installment plan option in the summer terms.
Therefore, it was ordered that the following tuition and fee installment payment
schedule be authorized, effective for fall and spring semesters, beginning with the spring
2008 semester:
50 percent due Prior to the first class day
25 percent due On or before the 60th day of the semester
25 percent due On or before the 90th day of the semester
-22-
The schedule aligns the second installment payment with the due date of the short
term loan program.
It was further ordered that a tuition and fee installment payment schedule be authorized
for summer terms, offering two equal installments during the summer term, under the
following plan:
50 percent due Prior to the first class day
50 percent due On or before the 30th day of the summer term.
UNIVERSITY POLICIES AND PROCEDURES
Board Order 08-06
Upon motion by Regent Green, seconded by Regent Pond, with all members voting aye,
the proposed policy revisions were adopted, as presented in Appendix 8.
REPORTS
President Pattillo made a report to the regents concerning the following topics:
• President's Christmas Reception, December 13
• Possible Called Board Meeting, December 14
• Dinner Friday Evening, December 14
• Commencement, December 15
Gina Oglesbee, director of audit services, reported on:
• Audit Plan
• Annual Risk Assessment
Marc Guidry, chair of the Faculty Senate, reported on the following:
• Faculty accomplishments
• The effect of low salaries on faculty hires and retention
• Raising funding for graduate assistants
• The results of a Faculty Senate-administered baseball complex survey
Kent Willis, president of the Student Government Association, made the following
report:
• Student Discount Cards
• Busses to away games
• Students desire for new welcome signs at campus entrances
• Thank Physical Plant and UPD for the upcoming ride around.
• Traveling trophy with Sam Houston
At the conclusion of the reports, Chair Ertz announced an executive session at 10:25 a.m.
to continue discussion on the previously listed executive session items. The executive
session ended at 11:55 a.m. and the board adjourned with no further action.
-23-
SMALL CLASSES Fall 2007 Appendix 1
Total Estimated Credit Hours in Small Classes
Total Estimated SFA Credit Hours Fall 2007
Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours
520
145,669
.36%
Date: Approval;
SMALL CLASSES Summer II 2007 Appendix 1
Total Estimated Credit Hours in Small Classes
Total Estimated SFA Credit Hours Summer II 2007
Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours
256
18,433
.13%
Date:
Appendix 2
LICENSE AGREEMENT
This Agreement is between the Stephen F. Austin State University ("University"), an
educational and research institution and agency of the State of Texas with its principal
administrative office in Nacogdoches, Texas, and Decker Operating Company, LLC, a Texas
limited liability company, having its principal administrative office located at 1706 Seamist,
Suite 590, Houston, Texas 77008 ("Licensee"). Certain capitalized terms used herein are defined
in Section 2 hereof.
Recitals
A. Dr. Alexandra Martynova - VanKley, is an Assistant Professor in Biotechnology
at the University ("Dr. VanKley").
B. Mr. Arman Nalian is a Research Associate in Biotechnology at the University
("Mr. Nalian").
C. In those capacities and based on the Research Agreement of even date herewith,
as it may be amended from time to time ("Research Agreement"), Dr. VanKley
and Mr. Nalian will lead a team of researchers which includes Ms.Irina Teplova,
and Ms. Yulia Leontieva (collectively, the "Research Team").
D. Licensee has funded the research of Dr. VanKley and Mr. Nalian in the "Field"
(hereinafter defined) and has agreed to fund additional research in the Field under
the Research Agreement.
E. In the course of the research funded by the Licensee, Dr. VanKley, Mr. Nalian
may make certain discoveries in the Field arising out of the research funded under
the Research Agreement.
F. The University owns any "Patent Rights" (hereinafter defined) and "Technology
Rights" (hereinafter defined) that are developed, discovered, invented or disclosed
by Dr. VanKley and/or Mr. Nalian, as well as other member of the Research
Team pursuant to its University Policy and as acknowledged and agreed by Dr.
VanKley, Mr. Nalian and other members of the Research Team under this
Agreement.
G. The University has the right to grant licensees to Licensee of for future
developments, discoveries and inventions ("Future Discoveries") within the Field
arising out of research funded under the Research Agreement or otherwise.
Appendix 2
Terms and Conditions
NOW, THEREFORE, in consideration of the mutual covenants and promises herein
contained, the parties agree as follows:
1. Effective Date
This Agreement is effective September 1, 2007 ("Effective Date")
2. Definitions
As used in this Agreement, the following terms have the meanings indicated:
2.1 "Affiliates" means any business entity more than 50% owned by Licensee, any
business entity which owns more than 50% of Licensee, or any business entity
that is more than 50% owned by a business entity that owns more than 50% of
Licensee.
2.2 "Field" means the two unrelated project areas conducted by the biotechnology lab
of the research team involving 1) the development of Eimeria diagnostic assay
using Real-Time PCR and 2) Integration of dilute acid pretreatment and
enzymatic hydrolysis of lignocellulosic feedstock using hyperthermophilic
cellulases. See Attachment A.
2.3 "Future Discoveries" shall mean any Inventions in the Field made, developed,
discovered or disclosed by Dr. VanKley , Mr. Nalian or other members of the
Research Team arising out of research funded by Dr. Decker under the Research
Agreement or otherwise within seven (7) years of the Effective Date, and include
any rights of the University under any domestic or foreign patent application with
respect thereto, and any continuation, continuations-in-part and divisional and
any domestic or foreign patents issuing with respect thereto, including substitutes
or reissues thereof.
2.4 "Licensed Product" means any product sold by Licensee and its Affiliates and
sublicensees utilizing the Licensed Subject Matter pursuant to this Agreement.
2.5 "Licensed Subject Matter" means Future Discoveries that constitute Patent Rights
or Technology Rights in the Field.
2.6 "Licensed Territory" means the world.
2.7 "Net Sales" means the gross revenues actually received by Licensee and its
affiliates from Sales of Licensed Products less allowances to customer for spoiled
goods, lost quantities, trade and cash discounts, and sales and/or use taxes actually
paid, import and/or export duties actually paid, outbound transportation costs paid
or allowed, and amounts allowed or credited due to returns (not to exceed the
original billing or invoice amount). For avoidance of doubt, no sales on credit or
Appendix 2
account shall be gross revenues actually received until the funds related to such
credits or accounts are actually collected by Licensee.
2.8 "Patent Rights" means University's rights in information or discoveries covered
by patents and/or patent applications, whether domestic or foreign, and all
divisions, continuations, continuations-in-part, reissues, reexaminations or
extensions thereof, and any letters patent that issue thereon, which are for
inventions in the Field.
2.9 "Research Team" shall mean the following researchers: Dr. Alexandra VanKley,
Mr. Armen Nalian, Ms. Irina Teplova, Ms.Yulia Leontieva and other scientists
who shall be added to the Research Team from time-to-time notification to
Licensee of the addition by the University within thirty (30) days of such addition.
Notice of removal of a member of the Research Team for any reason shall be
given to Licensee within thirty (30) days of such removal. Each member shall
execute this Agreement and acknowledge that he or she is bound by this
Agreement.
2.10 "Sale or Sold" means the sale of a Licensed Product for value to a party other than
Licensee and its Affiliates.
2.11 "Technical Information" means any know-how, technical information, process,
procedure, protocol, technique, design, drawing, data, devices, models, layouts,
quality standards, specifications, manuals, process of manufacture, manufacturing
techniques, test systems specifications, simulated designs, and all other data
relating to the use, manufacture, marketing, maintenance, and sale of products in
the Field created at the University which are not included in the Patent Rights.
2.12 "Technology Rights" means all rights to the Technical Information.
3. Certain Representations
3.1 University represents and warrants that (i) it is the owner of the entire right, title,
and interest in and to Licensed Subject Matter, (ii) it has the sole right to grant
licenses for the use thereof, and (iii) it has not granted licenses therefor to any
other person or entity.
3.2 Licensee understands and acknowledges that University, by this Agreement,
makes no representation as to the operability or fitness for any use, safety,
efficacy, ability to obtain regulatory approval, patentability, and/or breadth of the
Licensed Subject Matter.
3.3 Licensee, by execution hereof, acknowledges, covenants and agrees that (i) it has
conducted sufficient due diligence with respect to all items and issues pertaining
to this Agreement; and (ii) Licensee has adequate knowledge and expertise, or has
utilized knowledgeable and expert consultants, to adequately conduct the due
diligence, and agrees to accept all risks inherent herein.
Appendix 2
4. License
4.1 University hereby grants to Licensee and its Affiliates a royalty-bearing,
exclusive license under the Licensed Subject Matter to use the Licensed Subject
Matter and to manufacture, have manufactured, sell, have sold or otherwise
commercialize Licensed Products, and to sublicense the above rights (subject to
providing in any sublicense royalties payable to the University by sublicensee the
same as royalties payable hereunder excepting the provisions of the last sentence
of Section 5.1 below), within the Licensed Territory. Licensee shall reasonably
pursue the commercial production and sales of commercially feasible Licensed
Products. Licensee shall notify the University of any sublicensing agreement and
provide a copy thereof to the University within thirty (30) days after the execution
of any such agreement.
4.2 Regarding subsequent research in the Field:
(a) If the University funds continued research, up to $100,000 in the Field
beyond the provisions of the Research Agreement as it may be amended,
extended or supplemented, University shall license to Licensee any Patent
Rights or Technology Rights in the Field without further obligation on the
part of Licensee. To the extent the University funds continued research
over $100,000 in the Field, University shall offer Licensee the opportunity
to fund such research under an amendment to the Research Agreement or
a new research agreement between such parties.
(b) If Licensee wishes not to fund any such additional research (beyond the
$100,000 funded by the University), then University may agree with one
or more other parties to fund such additional research and grant a license
to commercially exploit any Inventions (as defined in the Research
Agreement) under said additional research, and any such Invention may be
licensed by the University, and it shall be joined in by Licensee hereunder,
conditional on the following.
(c) The parties acknowledge and agree that to the extent that Licensee has
funded the initial research in the Field upon which any additional research
is based, Licensee shall be reasonably compensated for such funding by
any new licensees of any developments, discoveries and inventions in the
Field arising from the additional research funding (beyond the $100,000
funded by the University). Thus, University hereby agrees to include in
any license granted for any such Invention a royalty payable to Licensee in
the same amount and on the same terms as any royalty payable to the
University. Licensee agrees to join into any such license agreement to
verify the licensee's rights thereunder as well as to verify Licensee^
rights.
(d) Likewise, for any license granted to other parties which sponsor the
research for products in the Field where the Licensee in this contract did
Appendix 2
not fund the research in whole, and for which the new research and
products are not based in anyway upon the research funded by Licensee,
then Licensee will not be entitled to any royalties or remuneration under
such independent license. The Licensee agrees to execute appropriate
documentation necessary to release the University from this Agreement
for any research not funded by Licensee and not based on whole or in part
upon the research which has been funded by Licensee. The University
agrees to pay for a third party scientist to review and advise whether such
subsequent research was in any way related to research funded by
Licensee before such a release is executed.
4.3 University further grants and assigns to Licensee all rights and causes of action at
law or in equity on account of past, present and future authorized or unauthorized
use of the Licensed Subject Matter by others and for infringement by others of
said Licensed Subject Matter and like protection, including, but not limited to,
patent prosecution, interference proceedings, actions for infringement, opposition
proceedings, cancellation proceedings, priority contests, actions for unfair
competition, dilution, license breach, customs proceedings, and royalty collection
proceedings.
5. Royalty Payments
5.1 In consideration of rights granted by University to Licensee under this
Agreement, Licensee will pay University a royalty equal to three percent (3%) of
Net Sales of Licensed Products by Licensee and its Affiliates in accordance with
the following. This royalty shall begin to accrue and be payable on the Net Sales
after the earlier to occur of (1) Licensee and its Affiliates having aggregate,
cumulative Net Sales in the amount of $500,000, or (2) the expiration of two
years after the first date of a Sale of any Licensed Product.
5.2 Licensee shall notify University in writing of the first date of a Sale of any
Licensed Product within thirty (30) days of such Sale. Within 30 days after each
anniversary date of such date of first Sale, Licensee will deliver to University a
true and accurate written report, even if no payments are due University, giving
the Sales and Net Sales of each Licensed Product and other relevant information
about the business conducted by Licensee and its Affiliates during the preceding
year under this Agreement as are pertinent to calculating the royalty hereunder.
Any royalties that accrued for Net Sales during the preceding year shall be paid
along with the delivery of such report within thirty (30) days after each such
anniversary.
5.3 During the term of this Agreement and for five years thereafter, Licensee and its
Affiliates agree to keep complete and accurate records of Sales and Net Sales of
Licensed Products under the license granted in this Agreement in sufficient detail
to enable the royalties payable hereunder to be verified. Licensee agrees to permit
the University or its representatives, at University's expense, to periodically, but
Appendix 2
not more than once per year, examine and/or audit its books, ledgers, and records
during regular business hours and after not less than fourteen (14) days written
notice, for the purpose of and to the extent necessary to verify any report required
under this Agreement. If the amounts due to University are determined to have
been underpaid by more than five percent (5%) of the amount paid, Licensee will
pay accrued interest on underpaid amounts for the time underpaid at 12% per
annum.
5.4 On or before each anniversary of the Effective Date, Licensee will deliver to
University a written report as to Licensee's and its Affiliates' efforts and
accomplishments during the preceding year in commercializing the Licensed
Subject Matter in the Licensed Territory.
5.5 All amounts payable hereunder by Licensee must be paid in United States funds
without deductions for taxes, assessments, fees, or charges of any kind unless
expressly allowed hereunder. Checks must be made payable to Stephen F. Austin
State University and sent to the University address noted in Paragraph 14.2.
Conversions of amounts due to the University hereunder from foreign currency
amounts to United States Dollars shall be at the prevailing rate for bank cable
transfers in the New York City foreign exchange market as quoted by J.P.
Morgan/Chase Bank for the last day of the one-year period on which royalties are
paid.
6. Patents
6.1 Licensee shall reasonably pursue, prosecute and maintain at its own expense U.S.
Patent Rights for all parts of the Licensed Subject Matter that, in the opinion of
Licensee, are patentable and have reasonable commercialization prospects for
Licensee, which Patent Rights, shall be in the name of and owned by the
University. Licensee shall also pursue patent prosecutions for corresponding non-domestic
applications, also at its own expense, in jurisdictions where reasonable
commercialization of the Licensed Subject Matter is to be pursued by Licensee,
which Patent Rights shall be in the name of and owned by the University.
University shall cooperate with Licensee as reasonable and appropriate to pursue
the above Patent Rights.
7. Patent Marking and Infringement by Third Parties
7.1 To the extent Licensee can reasonably mark a product and packaging and
documentation" manufactured or sold by it under this Agreement, Licensee must
permanently and legibly mark all products and documentation manufactured or
sold by it under this Agreement with a patent notice as may be permitted or
required under Title 35, United States Code.
7.2 Licensee, at its expense, shall, to the extent commercially reasonable in
Licensee's opinion, enforce any patent exclusively licensed hereunder against
infringement by third parties and it is entitled to retain recovery from such
Appendix 2
enforcement, which includes, but is not limited to, lawsuits and/or settlement
negotiations, provided that Licensee shall pay University the royalty hereunder on
any monetary recovery it receives net of its reasonable out-of-pocket costs for
such recovery. If Licensee does not file suit against a substantial infringer of
Patent Rights within 6 months of knowledge thereof, then University may enforce
any patent licensed hereunder on behalf of itself and Licensee. University shall
retain recoveries from such enforcement in an amount to pay its reasonable out-of-
pocket costs of such enforcement plus its royalty on such recovery hereunder
net of its reasonable out-of-pocket costs for such recovery, and remit the balance
of such recovery to the Licensee.
7.3 In any infringement suit or dispute, the Licensee and University agree to
cooperate fully with each other in all reasonable respects. At the request and
expense of the party bringing suit, the other party will permit access to all relevant
personnel, records, papers, information, samples, specimens, etc., during regular
business hours.
8. Indemnification and Insurance
8.1 Licensee agrees to hold harmless and indemnify University, its Regents, officers,
employees and agents from and against any claims, demands, or causes of action
whatsoever, including without limitation, those arising on account of any injury or
death of persons or damage to property caused by, or arising out of, or resulting
from, the exercise or practice of the license granted hereunder by Licensee, its
Affiliates or their officers, employees, agents or representatives.
8.2 Licensee represents and warrants that it is covered by comprehensive general
liability insurance in the minimum amount of $1,000,000, and shall maintain such
insurance during the term of this Agreement and for the period of time required
below. Licensee and its Affiliates and sublicensees shall maintain on an ongoing
basis such comprehensive general liability insurance which covers all activities
and obligations of the Licensee and its Affiliates and sublicensees per the terms of
the Agreement hereunder.
8.3 Commencing not later than thirty (30) days prior to the first use in humans of a
Licensed Product, and thereafter for the time period required below, Licensee
shall obtain and maintain on an ongoing basis product liability insurance covering
Licensed Products.
8.4 Licensee will provide written notice to University at least forty-five (45) days
prior to any cancellation or material change in any required insurance coverage.
8.5 Promptly after the effective date of this Agreement with respect to the
comprehensive general liability coverage, and not later than thirty (30) days prior
to the first use in humans of a Licensee Product with respect to the product
liability coverage, Licensee will provide to University certificates evidencing each
such coverage.
Appendix 2
8.6 Licensee shall maintain, and require all Affiliates and sublicensees to maintain,
such insurance coverage without interruption during the term of this Agreement,
and beyond the expiration or termination of this Agreement, during the period that
any Licensed Product is being commercially distributed or sold by Licensee, its
Affiliates or sublicensees.
9. Use of University's Name
Licensee may not use the name of University without prior express written consent.
10. Confidential Information and Publication
10.1 University and Licensee each agree that all information contained in documents
forwarded to one by the other concerning the subject matter of this Agreement (i)
are to be received in strict confidence, (ii) used only for the purposes of this
Agreement, and (iii) not disclosed by the recipient party, its agents or employees
without the prior written consent of the other party, except to the extent that the
recipient party can establish competent written proof that such information:
(a) was in the public domain at the time of disclosure;
(b) later became part of the public domain through no act or omission of the
recipient party, its employees, agents, successors or assigns;
(c) was lawfully disclosed'to the recipient party by a third party having the
right to disclose it without obligation of confidentiality;
(d) was already known by the recipient party at the time of disclosure as
shown by written records of the recipient party at the time of the
disclosure;
(e) was independently developed by the recipient without reference to the
disclosing party's information; or
(f) is required by law or regulation to be disclosed.
10.2 Each party's obligation of confidence hereunder shall be fulfilled by using at least
the same degree of care with the other party's confidential information as it uses
to protect its own confidential information. This obligation shall exist while this
Agreement is in force and for a period of three years after its termination.
11. Term and Termination
11.1 The period for which this Agreement shall be in effect is from the Effective Date
through the earlier of September 1, 2017 or end of the life of all of the patents
under the Patent Rights, subject to earlier termination as provided below.
Appendix 2
11.2 Any time after five (5) years from the completion of the research under the
Research Agreement, as it may be extended, University has the right to rescind
the exclusive license granted herein and convert it to a non-exclusive license if
Licensee or its Affiliates has failed to reasonably commercialize at least one
Licensed Product within 3 years after discovery of a patentable invention. For this
Agreement, "reasonably commercialize" shall mean that Licensee and/or its
Affiliates and sublicensees have paid to University at least $15,000 in aggregate
royalties for one or more Licensed Products within three (3) years after royalty
payments begin to accrue under Section 5.1.
11.3 Subject to the provisions of Paragraph 13.1, this Agreement may also terminate:
(a) automatically if Licensee becomes bankrupt or insolvent and/or if the
business of Licensee is placed in the hands of a receiver for debt relief or
trustee for a trust created for debt relief, whether by voluntary act of
Licensee or otherwise; or
(b) upon the expiration of 60 days after delivery to Licensee of written notice
from the University if Licensee breaches or defaults on its obligation to
make payments or reports in accordance with the terms of Section 5
hereunder, unless, before the end of the 60 day period, Licensee has cured
the default or breach by the University's receipt of the required report or
payment; or
(c) upon the expiration of 90 days after delivery of written notice from
University if Licensee breaches or defaults on any other obligation
hereunder, unless, before the end of the 90-day period, Licensee has cured
the default or breach; or
(d) at any time upon written notice from Licensee to University stating that it
has determined that the rights it has received under this Agreement
constitute an infringement on the rights of others to a material portion of
the Licensed Subject Matter; or
(e) at any time upon 90 days written notice from Licensee to University
stating that it has determined that the rights it has received under this
Agreement are insufficient to protect or continue to protect a Licensed
Product; or
(f) upon the expiration of 90 days after delivery of written notice from
Licensee if University breaches or defaults on any obligation hereunder,
unless, before the end of the 90-day period, University has cured the
default or breach; or
(g) at any time by mutual written agreement between Licensee and
University, subject to any terms herein which survive termination.
Appendix 2
11.4 If this Agreement is terminated:
(a) nothing herein will be construed to release either party of any obligation
matured prior to the effective date of the termination;
(b) after the effective date of the termination, Licensee may sell all Licensed
Products and parts thereof it has on hand at the date of termination, if it
pays earned royalties thereon according to the terms of Article 5; and
(c) the parties hereto will continue to be bound by the provisions of Articles 8
(Indemnification and Insurance), 9 (Use of University's Name), 10
(Confidential Information and Publication), 13 (Alternate Dispute
Resolution) and 14 (General) of this Agreement.
12. Assignment
12.1 Except to an assignee of the entire business of Licensee associated with the
Licensed Subject Matter who expressly assumes the obligations of Licensee under
this Agreement; this Agreement may not be assigned to any entity or person not
an Affiliate of Licensee without the prior written consent of University. This
Agreement may be assigned at any time by Licensee to an Affiliate of Licensee.
13. Alternate Dispute Resolution
13.1 To the extent that Chapter 2260, Texas Government Code, is applicable to this
Agreement and is not preempted by other applicable law, the dispute resolution
process provided for in Chapter 2260 and the related rules adopted by the Texas
Attorney General pursuant to Chapter 2260, shall be used by University and the
Licensee to attempt to resolve any claim for breach of contract made by Licensee
that cannot be resolved in the ordinary course of business. The Vice President for
Finance and Administration of University shall examine Licensee's claim and any
counterclaim and negotiate with Licensee in an effort to resolve such claims. The
parties hereto specifically agree that (i) neither the occurrence of an event giving
rise to a breach of contract claim nor the pendency of a claim constitute grounds
for the suspension of performance by Licensee; (ii) neither the issuance of this
Agreement by University nor any other conduct, action or inaction of any
representative, of University relating to this Agreement constitutes or is intended
to constitute a waiver of University's or the state's sovereign immunity to suit;
and (iii) University has not waived its right to seek redress in the courts.
14. General
14.1 This Agreement constitutes the entire and only agreement between the parties for
the license hereunder, and all other prior negotiations, representations,
agreements, and understandings are superseded hereby. No agreements altering or
supplementing the terms hereof may be made except by a written document
signed by both parties.
10
Appendix 2
14.2 Any notice or report required by, or appropriate in connection with, this
Agreement must be given by prepaid, first class, certified mail, return receipt
requested, addressed in the case of University to:
Vice President for Finance and Administration
Stephen F. Austin State University
P.O. Box 6108
Nacogdoches, Texas 75962-6108
Fax: 936-468-7027
Telephone: 936-468-2203
With a copy to:
General Counsel
Stephen F. Austin State University
P.O. Box 13065
Nacogdoches, Texas 75962-3065
Fax: 936-468-3875
Telephone: 936-468-4305
or such other addresses as may be given from time to time under the terms of this
notice provision.
And in the case of Licensee to:
With a copy to (which shall not constitute notice):
Porter & Hedges, L.L.P.
1000 Main Street, 36th Floor
Houston, Texas 77002
Attention:
Fax:
Telephone:.
14.3 Licensee must comply with all applicable federal, state and local laws and
regulations in connection with its activities pursuant to this Agreement.
14.4 This Agreement will be construed and enforced in accordance with the laws of the
United States of America and of the State of Texas.
11
Appendix 2
14.5 Failure of a party to enforce a right under this Agreement will not act as a waiver
of that right or the ability to later assert that right relative to the particular
situation involved.
14.6 Headings are included herein for convenience only and shall not be used to
construe this Agreement.
14.7 If any part of this Agreement is for any reason found to be unenforceable, all
other parts nevertheless remain enforceable.
IN WITNESS WHEREOF, parties hereto have caused their duly authorized
representatives to execute this Agreement.
UNIVERSITY
By: Baker Pattillo, President
Stephen F. Austin State University
Date:
LICENSEE
By: _
Title:
Date:
12
Appendix 2
Acknowledged and Agreed:
13
Appendix 2
ATTACHMENT A
JUSTIFICATION FOR DEVELOPMENT OF EIMERIA
DIAGNOSTIC ASSAY
Problem. Coccidiossis, caused by the protozoan Eimeria is a common disease in poultry. It is
estimated that it costs $700 million annually to combat this disease. A severe outbreak leads to
weight loss and high mortality among the birds. The severity of the disease and clinical
characteristics of the infection differ among seven Eimeria species known to infect chickens. The
precise identification and quantification of the species affecting the flock is essential for monitoring
and control of coccidiossis and for selection of appropriate treatment. Morphological observations
of oocyst and counting of oocysts in the ceca and intestines of chickens is a common method of
Eimeria identification used in the poultry industry. This approach is laborious and inaccurate.
Done (Nov 05-Aug 07). Our laboratory has developed an assay for identification of five out of
seven known species of Eimeria. A patent application to cover this innovation in collaboration with
the USDA is being submitted. In order to offer a tool to monitor coccidiosis in the industry our
laboratory has developed a quantification assay for E. acervulina and E. tenella, the two most
ubiquitous species causing coccidiosis in poultry. We have obtained excellent correlation between
morphological quantification which is routinely carried out in the industry and the Real-Time PCR
data. These findings suggest that the Real-Time PCR approach is feasible and it can be used to
quantify other species of Eimeria as well.
To be done. To deliver this assay to the market, identification of other species as well as drug
resistant strains is required. Therefore our research efforts will concentrate on both finding other
genetic markers and on quantification of E. maxima, E brunetti, E. mivatis and E. praecox. This
will allow us to offer this diagnostic assay to the broiler industry and to manufacturers of vaccines
and coccidiostats. In addition, investigation of other assay technologies will allow development of a
field assay.
14
Appendix 2
To be done with RDF funding. Additional funding will allow our research team to investigate
several lead proteins which were identified from a draft of the Eimeria genome by bioinformatics
analysis. The identified proteins could potentially be used as a vaccine. Plant host will be used to
produce the protein. The efficacy of the protein will be tested as SFA poultry research center.
15
Appendix 2
Integration of dilute acid pretreatment and enzymatic
hydrolysis of lignocellulosic feedstock using
hyperthermophilic cellulases
Lignocellulosic feedstock (such as agricultural residues, grasses, forestry waste) can
provide source of fermentable sugars for ethanol production. Production of cellulosic ethanol can
be achieved in three steps: Pretreatment, enzymatic hydrolysis of cellulose and fermentation of
sugars to ethanol. High lignin content and the crystalline structure of cellulose in lignocellulosic
biomass are the main impediments to efficient bioethanol production. Current processes overcome
these difficulties by pretreatment to disrupt lignin structure prior to hydrolysis. The most effective
known pretreatment involves processing lignocellulose with dilute acid at high temperatures.
However, such high temperatures are incompatible with currently available mezophilic enzymes;
pretreatment and hydrolysis must occur as separate steps.
The discovery of hyperthermophilic enzymes isolated from an organism with an optimal
0
growth temperature above 95 C provides an opportunity to develop a combined process of
pretreatment and hydrolysis thereby reducing ethanol production costs. Hyperthermostable
enzymes offer many advantages. High temperatures result in low viscosity, high bioavailability,
high catalytic rates, and low risk of microbial contamination. The conversion of cellulose into
glucose consist of two steps: In the first step (3-1,4 endoglucanase breaks the cellulose to cellobiose
which is a glucose dimer. Subsequently, the cellobiose is broken to glucose by p -glucosidase.
Done (June 05-Aug 07). Our laboratory has successfully cloned and produced the wild type and
a mutant of p -1,4 endoglucanase from Pyrococcus horikoshii. The protocols for mutations,
production and catalytic assays have been developed and tested. The mutation in the active site of
the enzyme increased the rate of product release and thus improved the catalytic activity of the
enzyme. In addition, several mutations were proposed based on molecular dynamics
simulations of this enzyme.
16
Appendix 2
To be done. Clone and produce p - glucanase from Pyrococcus horikoshii and to carry out the
proposed mutations in both enzymes an attempt to improve their catalytic activity.
To be done with RDF funding. Additional funding will allow our research team to investigate
integration of dilute acid pretreatment and enzymatic hydrolysis of lignocellulosic feedstock in a
small pilot scale study.
17
Appendix 3
STEPHEN F. AUSTIN STATE UNIVERSITY
DEPARTMENT OF AUDIT SERVICES
INTERNAL AUDIT CHARTER
October 30, 2007
Purpose
Internal auditing is an independent, objective assurance and consulting activity
designed to add value and improve the university's operations. It helps the
university accomplish its objectives by bringing a systematic, disciplined
approach to evaluate and improve the effectiveness of risk management, control
and governance processes.
The purpose of the Department of Audit Services is to provide the Board of
Regents and the President an independent appraisal of the adequacy and the
effectiveness of the University's system of internal administrative and accounting
controls and the quality of performance when compared with established
standards. The primary objective is to assist the Board of Regents, the President
and University management in the effective discharge of their responsibilities.
Authority
The Department of Audit Services is an integral part of Stephen F. Austin State
University and functions within established policies. The Director of Audit
Services reports functionally to the Board of Regents and administratively to the
President.
The Department of Audit Services will have unrestricted access to all University
activities; records, both manual and electronic; property; and personnel relevant
to any area being reviewed. Members of the Audit Services' staff will handle all
documents and other information acquired in the course of their duties prudently.
Standards and Independence
The Department will operate within the guidelines of the Institute of Internal
Auditors (MA) International Standards for the Professional Practice of Internal
Auditing, HA Code of Ethics, and the Texas Internal Auditing Act (Article 6252 -
5d.,V.A.C.S.).
Internal auditors are and will remain independent of the activities or operations
they review; they will not engage in any activity which would impair their
independence.
Appendix 3
Responsibility
The Department of Audit Services will fulfill its responsibility to the Board and the
President by:
• developing an audit plan based on risk analysis which includes the
concerns of management
• providing audit coverage that consistently meets the needs and
expectations of management
• following up on identified weaknesses, findings and recommendations
from previous audit work
• participating in a program of quality assurance designed to ensure the
increasing professionalism of the department and standard of the work
performed
• performing consulting services including advisory and related service
activities, the nature and scope of which are agreed upon and which are
intended to add value and improve the university's governance, risk
management, and control processes without assuming management
responsibility. Examples include counsel, advice, facilitation, training, and
committee service.
Annually the Director of Audit Services will submit information on the annual audit
plan, work schedule, and staffing plan to the President for his review and to the
Board of Regents for their approval. Quarterly the Director will provide activity
reports to the President and the Board detailing progress against the annual
audit plan, audit accomplishments, and highlights of any significant audit findings
and recommendations. The Director of Audit Services will submit reports as
required to the State Auditor's Office, Governor's Office, Legislative Budget
Board and Sunset Advisory Commission.
The scope of audit activities will include all controls, reports and operations of the
University. The Department of Audit Services will examine and evaluate:
• The reliability and integrity of financial and operating information and the
means used to identify, measure, classify and report information.
• The systems established to ensure compliance with policies, plans,
procedures, laws and regulations that could have a significant impact on
the University.
• The means of safeguarding assets and verifying their existence.
• The economy and the efficiency with which resources are employed.
• The extent to which the operations and programs of the University are
consistent with its objectives and goals.
Appendix 4
Board of Regents
Stephen F. Austin State University
Nacogdoches, Texas
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING
Stephen F. Austin State University
Education Research Center
WHEREAS, the Texas Public Finance Authority (the Authority) has the exclusive authority
to act on behalf of Stephen F. Austin State University (the University) in the issuance of
bonds pursuant to Texas Government Code, Section 1232.101, as amended; and
WHEREAS, the University has been authorized to acquire, purchase, construct, improve,
renovate, enlarge, or equip property, buildings, structures, facilities, roads and related
infrastructure for an education research facility (the "Project"), to be financed by the issuance
of tuition revenue bonds pursuant to Texas Education Code 55.1758, in the aggregate
principal amount not to exceed $20,178,000; and
WHEREAS, the Board of Regents of Stephen F. Austin State University (the Board of
Regents) now desires to approve and authorize financing for the Project, and authorize the
President of the University (the President) or his designee to submit a request for financing to
the Authority to issue tuition revenue bonds in an aggregate amount not to exceed
$20,178,000 to finance the Project and to take other actions related thereto; and
WHEREAS, the Board of Regents of Stephen F. Austin State University (the Board of
Regents) has approved an estimated project budget of $28,000,000 and plans to authorize
the issuance of Higher Education Fund bonds to support project costs in excess of tuition
revenue bond authority.
THEREFORE, BE IT RESOLVED BY THE BOARD OF REGENTS OF STEPHEN F.
AUSTIN STATE UNIVERSITY THAT:
The University is duly authorized by law pursuant to Texas Education Code, Section 57.1758
to acquire, purchase, construct, improve, renovate, enlarge, or equip property, buildings,
structures, facilities, roads and related infrastructures to be financed by the issuance of tuition
revenue bonds for the Project in the aggregate amount not to exceed $20,178,000;
Dr. Baker Pattillo, President, or his designee is hereby authorized and directed to submit a
request to the Authority to issue tuition revenue bonds in an aggregate amount not to exceed
$20,178,000 to finance the major portion of the Project as is hereby specifically approved
by the Board of Regents and further approved by the Texas Higher Education Coordinating
Board as may be required;
Appendix 4
The President or his designee is hereby further authorized to approve, execute, and deliver or
cause to be delivered those documents and such other instruments including but not limited
to the financing documents required by the Authority's rules, and to take such other actions
as are necessary and appropriate in connection with the issuance, sale, or delivery of the
bonds. Due notice of the meeting and the subject matter of this Resolution was given as
required by law; and a quorum of the Board of Regents was present at the meeting at which
this resolution was considered.
Adopted by a vote of 7 yeas, 2 nays effective as of October 30,2007.
-"Valerie Ertz, Chair
Board of Regents
Stephen F. Austin State University
Joe Max Green( Secretary
Board of Regents
Stephen F. Austin State University
Appendix 5
Board of Regents
Stephen F. Austin State University
Nacogdoches, Texas
RESOLUTION DECLARING EXPECTATION TO REIMBURSE
EXPENDITURES WITH PROCEEDS OF FUTURE DEBT
WHEREAS, Stephen F. Austin State University (the University) intends to make a capital
expenditure not to exceed of $20,178,000 to construct, equip and furnish an education research facility
on its campus in Nacogdoches, Texas (the Project), which is to be funded with proceeds of tuition
revenue bonds to be issued by the Texas Public Finance Authority (the Authority) as authorized by
Texas Education Code, Section 55.1758; and
WHEREAS, the University intends to expend an amount not to exceed $20,178,000 (the
Expenditure) for Project costs funded from other legally available funds and intends the Expenditure
to be reimbursed from proceeds of tuition revenue bonds to be issued by the Authority for the Project;
and
WHEREAS, under Treas. Reg. Section 1.150-2 (the Regulation), to fund such reimbursement
with proceeds of tax-exempt obligations, the University must declare its expectation of such
reimbursement before making the Expenditure; and
WHEREAS, the University and the Authority desire to preserve the ability to reimburse the
Expenditure with proceeds of tax-exempt obligations;
NOW, THEREFORE, THE UNIVERSITY HEREBY RESOLVES that it reasonably
expects to reimburse the Expenditure occurring after the date of this resolution with the proceeds of
the bonds to be issued hereafter by the Authority, and this Resolution shall constitute a declaration of
official intent under the Regulation.
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of
the October 30, 2007 meeting of the Board of Regents of Stephen F. Austin State University.
This Resolution will be available for public inspection at the office of the Authority at 300
West 15th Street, Suite 411, Austin, Texas, and at the office of the University at 1936 North Street,
Austin Building, Office 315, Nacogdoches, Texas.
Adopted by a vote of 7 yeas, 2 nays, effective as of October 30, 2007.
Valerie Ertz, Chair
Board of Regents
Stephen F. Austin State University
fUs _^ ^
Max Green, Secretary
£/Board of Regents
Stephen F. Austin State University
Appendix 6
Board of Regents
Stephen F. Austin State University
Nacogdoches, Texas
RESOLUTION AUTHORIZING A REQUEST FOR FINANCING
Stephen F. Austin State University
Nursing Facility
WHEREAS, the Texas Public Finance Authority (the "Authority") has the exclusive
authority to act on behalf of Stephen F. Austin State University (the "University") in the
issuance of bonds pursuant to Texas Government Code, Section 1232.101 as amended;
and
WHEREAS, the University has been authorized to acquire, purchase, construct,
improve, renovate, enlarge, or equip property, buildings, structures, facilities, roads or
related infrastructure to expand the nursing school facilities of the University (the
"Project") to be financed by the issuance of bonds pursuant to Texas Education Code
55.1768 in the aggregate principal amount not to exceed $13,000,000, and to renovate
other facilities, with any portion of this amount not needed for the Project; and
WHEREAS, the Board of Regents of Stephen F. Austin State University (the "Board of
Regents") now desires to approve and authorize financing the Project, and authorize the
President of the University (the "President") or his designee to submit a request for
financing to the Authority to issue bonds in an aggregate amount not to exceed
$13,000,000 to finance the Project and to take other actions related thereto.
THEREFORE, BE IT RESOLVED BY THE BOARD OF REGENTS OF
STEPHEN F. AUSTIN STATE UNIVERSITY THAT:
1) The University is duly authorized by law pursuant to Texas Education Code, Section
57.1768 to acquire, purchase, construct, improve, renovate, enlarge, or equip
property, buildings, structures, facilities, roads or related infrastructures for the
Project to be financed by the issuance of bonds in the aggregate amount not to exceed
$13,000,000;
2) Dr. Baker Pattillo, President, or his designee is hereby authorized and directed to
submit a request to the Authority to issue bonds in an aggregate amount not to
exceed $13,000,000 to finance the Project as hereby specifically approved by the
Board of Regents and further approved by the Texas Higher Education Coordinating
Board as may be required;
3) The President or his designee is hereby further authorized to approve, execute, and
deliver or cause to be delivered those documents and such other instruments including
but not limited to the financing documents required by the Authority's rules, and to
Appendix 6
take such other actions as are necessary and appropriate in connection with the
issuance, sale, or delivery of the bonds;
4) Due notice of the meeting and the subject matter of this Resolution was given as
required by law; and a quorum of the Board of Regents was present at the meeting at
which this resolution was considered.
Adopted by a vote of 7 yeas, 2 nays effective as of October 30,2007.
Valerie Ertz, Chair
Board of Regents
Stephen F. Austin State University
ax Green, Secretary
of Regents
tephen F. Austin State University
Appendix 7
Board of Regents
Stephen F. Austin State University
Nacogdoches, Texas
RESOLUTION DECLARING EXPECTATION TO REIMBURSE
EXPENDITURES WITH PROCEEDS OF FUTURE DEBT
WHEREAS, Stephen F. Austin State University (the "University") intends to make a capital
expenditure not to exceed $13,000,000 to construct, equip and furnish a nursing facility on its campus
in Nacogdoches, Texas (the "Project"), which is to be funded with proceeds of bonds to be issued by
the Texas Public Finance Authority (the "Authority") as authorized by Texas Education Code, Section
55.1768 (enacted by House Bill 1775, Acts of the 80th Legislature, Regular Session (2007); and
WHEREAS, the University intends to expend an amount not to exceed approximately
$13,000,000 (the "Expenditure") for Project costs funded from other legally available funds and
intends the Expenditure to be reimbursed from proceeds of bonds to be issued by the Authority for
the Project; and
WHEREAS, under Treas. Reg. Section 1.150.2 (the "Regulation"), to fund such
reimbursement with proceeds of tax-exempt obligations, the University must declare its expectation of
such reimbursement before making the Expenditure; and
WHEREAS, the University and the Authority desire to preserve the ability to reimburse the
Expenditure with proceeds of tax-exempt obligations;
NOW, THEREFORE, THE UNIVERSITY HEREBY RESOLVES that it reasonably
expects to reimburse the Expenditure occurring after the date of this resolution with the proceeds of
the bonds to be issued hereafter by the Authority, and this Resolution shall constitute a declaration of
official intent under the Regulation.
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of
the October 30, 2007 meeting of the Board of Regents of Stephen F. Austin State University.
This Resolution will be available for public inspection at the office of the Authority at 300
West 15th Street, Suite 411, Austin, Texas, and at the office of the University at 1936 North Street,
Austin Building, Office 315, Nacogdoches, Texas.
Adopted by a vote of 7 yeas, 2 nays, effective as of October 30,2007.
Ertz, Chair
Board of Regents
Stephen F. Austin State University
Max Green, Secretary
t'Board of Regents
Stephen F. Austin State University
Appendix 8
Policies for Board Review
October 30,2007
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Appendix 8
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Appendix 8
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Appendix 8
Academic Advising for Undergraduate Students (A-59)
Original Implementation: October 31, 2000
Last Revision: April 20, 2001 October 30, 2007
Introduction
The mission of undergraduate academic advising at SFASU is to support students in
reaching their full potential through personal exploration, goal setting and academic
mastery. Advisors provide information and encouragement as students define, plan and
accomplish their educational, career and life goals and vocational objectives.
Each academic unit will provide all its undergraduate students, both full-time and part-time,
with a systematic, effective advising program. All students who are required and
those who choose to be advised prior to every registration period are to be advised
according to the following guidelines:
all students with fewer than 60 earned hours of credit and all students on
academic probation must be advised prior to each registration period;
■ students with 60 or more earned hours of credit must be advised on an annual
basis and may be advised more frequently if desired, and should have an official
degree plan on file;
■ individual academic units may specify additional requirements of students for
mandatory advising.
The responsibilities of the advisor may include but are not limited to the following areas
of planning and mentoring:
■ Exploring and clarifying educational, career and life goals
Creating short- and long-term plans to accomplish their educational objectives
Selecting a program of study to reflect their goals, interests and abilities
■ Understanding and following academic regulations, procedures and requirements
■ Identifying appropriate courses
' Notifying students of course drop and semester credit hour limitations
Each academic unit responsible for advising students must have an appropriate number of
advisors available on a published schedule daily each registration period for the following
tasks:
■ advising the student on degree requirements such as core, major or other required
courses, proper sequencing of courses, minimum hours of credit, minimum grade-
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Appendix 8
point averages, removal of withheld grades and time limits for completion of degree
programs;
■ advising the student on University requirements such as minimum course load to
be classified as a full-time student, impact of repeat courses on grade point average,
timetable for dropping individual courses and the impact on grade point average,
residency requirements;
■ referring the student to the/r Office of the Dafean at the appropriate time for
completing the signed degree plan and/or final graduation plan.
Academic advising programs for undergraduate students must be appropriately evaluated
and included in the annual unit assessment report, including information on how the
results of the assessment will be used to enhance effective assistance to students.
Source of Authority: Provost and Vice President for Academic Affairs
Cross Reference: General Bulletin, Student Handbook
Responsible for Implementation: Provost and Vice President for Academic Affairs.
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
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Appendix 8
Academic and Professional Preparation (A-49)
Original Implementation: April 20, 1999
Last Revision: April 30, 2002October 30, 2007
The selection, development, and retention of a competent faculty at all academic levels is
of major importance in providing the students an education of the highest quality.
Recruitment and appointment procedures for faculty are specified in Index-policy E-24A,
Faculty Search. Approved appointment titles are specified in Index-policy E-01 A,
Academic Appointments and Titles.
Prior to selection, minimum standards for all faculty must be met and documented. Each
full-time and part-time faculty member teaching credit courses leading toward the
baccalaureate degree, other than physical education activities courses, must have
completed at least 18 graduate semester hours in the teaching content discipline and, at a
minimum, hold at least a master's, or hold tho minimum of a master's degree with a major
in the teaching discipline. In exceptional cases, outstanding professional experience and
demonstrated contributions to the teaching content discipline may be presented in lieu of
formal academic preparation. Appropriate documentation and justifications must be
provided by the academic unit department and college on an individual basis.
Each faculty member teaching courses at the master's degree level must hold the-a
terminal degree, usually the earned doctorate, in the teaching content or related discipline
or a related discipline. The M.F.A. and M.S.W. are considered terminal degrees in thoir
respective fields. In other areas, a master's degree in the teaching content discipline
coupled with a doctoral degree in a related discipline is considered appropriate. It is the
responsibility of the department and co\\®gQacademic unit to justify the master's degree,
or master's in the teaching content discipline coupled with a related doctorate, as the
terminal degree for faculty members teaching in those disciplines.
All faculty members teaching courses at the doctoral degree level must hold the earned
doctorate a terminal degree in the teaching content or relateddiscipline or a related
discipline. In unusual cases, graduate faculty may be utilized who have demonstrated
exceptional scholarly or creative activity, or professional experience, but who may not
possess the required academic credentials. Such exceptional cases must be completely
justified and documented by the department and collogQacademic unit.
Graduate teaching assistants who have primary responsibility for teaching a course for
credit and/or for assigning final grades for such a course must have earned at least 18
graduate semester hours in their teaching content discipline, be under the direct
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Appendix 8
supervision of a faculty member experienced in the teaching content discipline, receive
regular in-service training, and be evaluated regularly.
It is expected that t7he highest earned degree presented as the credential qualifying the
faculty member to teach must be is-from a regionally accredited institution. If the degree
is from a non-regionally accredited institution within the United States or an institution
outside the United States, the academic unit department and college must show evidence
that the faculty member has appropriate academic preparation and/or professional
experience.
Appropriate documentation includes official transcripts and, if applicable for
demonstrating competence, official documentation of professional and work experience,
technical and performance competency, records of publications, certifications and other
qualifications. All such documentation must be kept current and on file. Official
university files are maintained in the office of the Provost and Vice President for
Academic Affairs.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Faculty Handbook and-, Southern Association of Colleges and
Schools; Commission on Colleges; Criteria for Accreditation, 1998
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
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Appendix 8
Academic Probation, Suspension and Reinstatement for
Undergraduates (A-3)
Original Implementation: January 30, 1981
Last Revision: July 15, 2003October 30, 2007
Good Standing
A student must maintain a minimum cumulative grade point average of 2.0 in order to
remain in good academic standing at the university.
Probation
A student is placed on academic probation after the first regular semester in which the
grade point average fails to meet the minimum standard. Probation students whose
semester grade point average is 2.0 or higher will be placed on "extended academic
probation" until the cumulative grade point average is 2.0 or higher. Academic probation
will continue until the student achieves good standing or is suspended from the
university.
Suspension
A student is placed on academic suspension after a regular semester that immediately
follows a semester of probation if the student's semester grade point average falls below
2.0.
Reinstatement
A student on academic suspension may be allowed to continue in the university through
any of the following procedures:
1. Following the student's first suspension, attend summer school at Stephen F.
Austin State University and:
a. Raise his/her grade point average to the minimum university standard as
specified in the General Bulletin, or
b. Pass with a C average or better at least 9 semester credit hours as specified
by his/her dean.
2. Following the student's first suspension be reinstated on probation automatically
after one regular semester's absence from the university. Following the student's
second or subsequent suspension, be reinstated on probation automatically after an
absence from the university of two regular semesters. Summer terms are exempted
from periods of academic suspension.
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Appendix 8
3. Follow procedures established by his/her dean.
Change of Major
A student on probation or suspension may not change his/her major.Students on
academic probation, extended academic probation, or students returning after serving a
suspension may change majors upon approval from their current and receiving deans.
Source of Authority: Provost and Vice President for Academic Affairs
Cross Reference: General Bulletin, Faculty Handbook, Student Handbook and Activities
Calendar
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
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Appendix 8
Add/Drop (A-5)
Original Implementation: April 27, 1986
Last Revision: January 30, 2007 October 30, 2007
Students may add courses through the 2nd second class day during the summer semesters
and through the 4th fourth class day during the fall or spring semesters. Academic
chairs/directors may reconcile class schedules through the official reporting date.
Students may drop classes through five working days past mid-semester or mid-session
as applicable. A student will not be allowed to drop a course after these dates, unless he
or she withdraws from the university.
The following applies:
1. Through the official reporting date, withdrawals or a course dropped will not be
recorded on a student's transcript.
2. After the official reporting date defined as twelfth class day in fall/spring and fourth
class day in a summer tefmsession through five working days past mid-term for full
semester courses or mid-session for partial semester courses, a drop, as well as a
withdrawal, will be noted as a "WM on the transcript and- At that time, the student's
withdrawal will be reflected on the student information system. Undergraduate students
who enroll in a Texas public institution for the first time during the fall 2007 academic
term and thereafter may not drop a total of more than six courses with a W grade,
including any course a transfer student has dropped at another Texas public institution
but excluding full semester withdrawals and exceptions as defined in Texas Education
Code section 51.907 (e.g. severe illness or debilitating condition, responsibility for the
care of another, death of a family member, active military duty of the student or
immediate family member, work conflicts or other exceptions as determined by the
institution). After all Wys (6 drops) have been used by a student who was a first-time
freshmen entering a Texas public institution in the fall of 2007 or thereafter, the student
must complete all courses taken and receive a grade.
3. If a student has been found guilty of cheating/plagiarism according to policy A-9.1,
Cheating and Plagiarism, the grade of "W" may be changed to "WF" at the discretion of
the faculty member involved. In the case of a grade change to "WF", the course will not
count toward the six course drop limit referenced in section 2 since the student is
incurring an academic penalty.
4. Beginning on the sixth working day after mid-term for full semester courses or mid-session
for partial semester courses, a drop will not be permitted unless the student
withdraws from all courses for the term. This withdrawal will be noted on the transcript
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Appendix 8
as a "WP" if the student is passing at the time or a "WF" if the student is failing at the
time.
5. Approved medical withdrawals may be granted for mental and physical conditions
that prevent the student from completing the semester. Medical withdrawal is not
intended as a device to shield a student from unsatisfactory progress or any other
academic irregularity. Students wishing to request a medical withdrawal must do so
within one year of the affected semester. Medical withdrawal requests should be made
through the Office of the Registrar and will be considered by a committee comprised of
the Registrar in conjunction with other university officials as appropriate.
Cross Reference: General Bulletin, Graduate Bulletin, Schedule of Classes, Texas
Education Code Section 51.907
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Registrar
Forms: None
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Appendix 8
Alcohol/Drug-Free Workplace (E-5)
Original Implementation: Unpublished
Last Revision: October 11, 2001 October 30, 2007
It is the declared policy of the United States government to create a drug-free America.
The board of regents of Stephen F. Austin State University adopts this policy to comply
with the requirements of state and federal law and because of its desire to have a drug-free
campus.
Definitions
1. Controlled substance means a controlled substance in schedules I through V of
section 812 of the Controlled Substances Act, 21 U.S.C. 812. Examples include, but
are not limited to: heroin, marihuana, mescaline, peyote, and cocaine. This definition
does not include medication prescribed by a physician.
2. Conviction means a finding of guilt (including a plea of nolo contendere) or
imposition of sentence, or both, by any judicial body charged with the responsibility
to determine violations of the federal or state criminal drug statutes.
3. Criminal drug statute means a criminal statute involving manufacture, distribution,
dispensation, use, or possession of any controlled substance.
4. Federal agency means an agency as that term is defined in section 55 1(1) of Title 5,
United States Code.
Prohibition, Discipline, and Treatment
1. The university prohibits all employees(full-time and part-time faculty, staff, and
students) from engaging in the unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance or alcoholic beverage in the workplace,
or reporting to work under the influence of alcoholic beverages or illegal drugs.
None of the funds appropriated to the university by the state legislature for travel
expenses may be expended for alcoholic beverages.
2. Observance of this policy is a condition of employment for all employees of the
university.
3. An employee violating this policy shall:
1. be subject to employment discipline up to and including termination; or
2. be required to undergo satisfactory participation in a drug abuse assistance or
rehabilitation program, such as the Employee Assistance Program of the
university.
4. Any employee directly engaged in the performance of work pursuant to the
provision of a federal grant or contract who is convicted of violating a criminal drug
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Appendix 8
statute shall notify his/her immediate supervisor of the conviction no later than five
days after the conviction. The immediate supervisor shall promptly report the
conviction to the appropriate vice president and the director of research services. On
behalf of the university, the director of research services shall notify the federal
agency grantor or contractor of the conviction within ten days of the university
receipt of notice from the employee or of receipt of other actual notice.
Good Faith Effort
Stephen F. Austin State University shall make a good faith effort to maintain a drug-free
workplace by implementing and enforcing this policy. The university shall also comply
with United States Department of Transportation regulations regarding drug testing of
drivers with a commercial driver's license.
Source of Authority: 41 USC Sec. 701 et seq.; General Appropriations Act; Board of
Regents; President
Cross Reference: 41 USC Sec. 701 et seq ; Faculty Handbook, Non-Academic
Employee Handbook, State of Texas Travel Allowance Guide, Drug and Alcohol Testing
Policy E-61
Responsible for Implementation: President
Contact for Revision: General Counsel
Forms: None
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Appendix 8
Annual Budget Preparation (C-2)
Original Implementation: March 1, 1989
Last Revision: April 20, 2001 -October 30, 2007
Preparation of the annual operating budget is coordinated through the Office of the Vice
President for Business Affairs-Finance and Administration. Guidelines are established by
the president based upon legislative appropriations, student fees and other local income,
non-pledged and pledged auxiliary system student fees and other income, available the
university's allocation of the Higher Education Assistance - Fund, and estimates of other
fund revenues. Guidelines will reflect current legislative appropriation riders in effect and
any other legal restrictions. Budgets will be prepared by operating department heads,
submitted to the next appropriate level of review, to the vice president in charge of the
division, to the president for review, and then to the board of regents for final
consideration. The schedule for preparation of the budget will be determined by the vice
president for Business Affairs-finance and administration in association with the
president's cabinet. Generally the schedule may allow for board of regents review in
April on even-numbered years and for review in July for odd-numbered years. Approved
budgets will be announced to the university departments through administrative channels
following approval of the board of regents.
All budgets are based on available funds and no expenditures may be made except as
provided for in the approved budget or in accordance with changes approved by the
board.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Vice President for Business AffairsFinance and Administration
Forms :None
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Appendix 8
Appeal Procedure Relating to the Provision of
Accommodations for Students with Disabilities (F-34)
Original Implementation: July 14, 1998
Last Revision: October 14, 200<\October 30, 2007
Students enrolled at Stephen F. Austin State University, or faculty or staff members
requested to make accommodations for persons with disabilities, who disagree with the
provision of accommodations or the denial of accommodations may submit an appeal to
the director of disability services/ADA coordinator (director) located in disability
services, Room 325 of the Human Services Building. Appeals covered under this policy
may be initiated by: 1) student or faculty member, regarding the provision of academic
accommodations; 2) student or staff member, regarding the provision of accommodations
for non-academic programs or activities; 3) student, regarding the denial of
accommodations by the director of disability services; 4) student, regarding the denial of
housing accommodations by the director of housing.
Appeals of decisions of the director of disability services (number 3 above) should be
submitted to the vice president for university affairs, or their designee (VPUA/Diee
President), located in Room 314 of the Austin Building. Grievances or complaints of
discrimination based on disability relating to other circumstances not described above
should be addressed through the university's "Discrimination Complaints/Sexual
Harassment" policy, E-46, a copy of which may be obtained from the director of
disability services/ADA coordinator or the university's general counsel.
The appeal should be written; should state the specific nature and basis of the appeal;
and, should be signed and dated by the individual making the appeal. It should be
provided to the director or Vice PresidentVPUA/D in a timely manner following the
decision being appealed, but not later than 180 days from the date of notification of the
decision being appealed.
Within two (2) working days of receipt of the appeal, the director or Viee
President VPUA/D will schedule a meeting with the chair/director of the department
involved, the faculty or staff member involved, and the student. The purpose of this
meeting will be to review the circumstances and, if possible, to reach a mutually agreed
upon resolution.
If unresolved, the appeal will be forwarded by the director or Vice President VPUA/D to
an Appeal Review Committee (Committee) for a second and final decision.
Depending upon the administrative or academic area involved in the decision being
appealed, the Appeal Review Committee will be composed of three members selected by
the director or Vice President VPUA/D. The director will serve as chair and ex officio
member of the committee in situations listed above with the exception of number three
(3) when the Vice President VPUA/D will appoint a faculty member or academic
administrator with background and/or experience in disability-related matters to serve as
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Appendix 8
chair. In academic appeals (number 1 above), the committee will be composed oft one
faculty member from the department involved; the dean of the college involved; and a
member of the ADA Advisory Committee. For appeals in non-academic programs and
activities and housing accommodations (numbers 2 and 4 above), the committee will be
composed of: one staff member from the department involved; the director of the
department involved; and a member of the ADA Advisory Committee. In appeals relating
to denial of accommodations (number 3 above), the committee will be composed of one
faculty member from the Department of Human Services; and two members of thetwo
additional members knowledgeable about ADA issues ADA Advisory Committee. When
selecting committee members, the director or Vice President VPUA/D shall exclude
individuals who served on the Academic Assessment Committee or the Housing
Assessment Committee that provided initial review of the documentation and/or request.
The director or Vice President VPUA/D will communicate the decision and /or
recommendations of the Appeal Review Committee to the individual seeking the appeal.
In all circumstances listed above, the Appeal Review Committee may seek input from
appropriate parties other than committee members, including the student making the
appeal, a faculty or staff member with experience relevant to the circumstances, the Viee
President VPUA/D for academic affairs, dean of another college, or another director or
department head with relevant experience. The Appeal Review Committee may seek
advice from the university's general counsel.
It is the intent of the university that meetings related to the appeal are informal in nature
to allow all parties the opportunity for reasonable input and discussion. The appeal
process, including the initial meeting, the meeting of the Appeal Review Committee and
communication of the final decision to the individual making the appeal should be
completed with expediency, ideally within seven (7) to ten (10) working days to avoid
any delay in provision of accommodations or support services.
For specific information regarding provision of academic assistance, refer to policy F-33,
Academic Accommodation of Students with Disabilities. Refer to Animals on University
Property D-3, for service animal information. For general policy information, refer to
policy F-16, Accessibility for Persons with Disabilities.
Cross Reference: Policy F-16, Accessibility for Persons with Disabilities; Academic
Accommodation of Students with Disabilities F-33, Animals on University Property D-3
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of Disability Services
Forms: None
Source of Authority : Section 504 of the Rehabilitation Act of 1973 and the Americans
with Disabilities Act of 1990
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Appendix 8
Cross Reference; Policy F 16, Accessibility for Persons with Disabilities; Academic
Accommodation of Students with Disabilities F 33, Animals on University Property D 3
Contact for Revision; Director of Disability Sendees
Forms; None
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Appendix 8
Awarding Academic Credit for Noncollegiate Sponsored
Instruction (A-52)
Original Implementation: October 26, 1999
Last Revision: July 25, 2002October 30, 2007
Role and Scope
The purpose of this policy statement is to provide an approved methodology and
procedures for students wishing requesting to be awarded academic credit for
extrainstitutional learning experiences on the Bachelor of Applied Arts and Sciences
(BAAS) degree. Further, this policy provides a rationale for the credit awarded and
definitions of the significant elements ef- in the process; it also establishes guidelines for
developing the life-experience portfolio, and provides a means for monitoring the policy.
Review
It is the respo