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Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas January 24 and 25,2010 Meeting 257 TABLE OF CONTENTS BOARD MINUTES JANUARY 24 AND 25, 2010 MEETING 257 Page Approval of Minutes Board Order 10-13 Approval of October 11 and 12, 2009 and December 18, 2009 Minutes 1 Personnel Board Order 10-14 Staff Appointments for 2009-2010 .2 Changes of Status for 2009-2010 3 Retirements .5 Academic and Student Affairs Board Order 10-15 Memorandum of Agreement Between SFA and SFA Charter School Parent-Teacher Organization .6 Revision of Admission Standards 7 Financial Affairs Board Order 10-16 Chemistry Building Renovation Project Expansion and Budget Increase 8 Approval of the Fiscal Year 2008-2009 Annual Financial Report 9 Resolution to Acknowledge Review of Investment Policy and Strategy 9 Resolution to Approve Qualified Financial Institutions and Investment Brokers 9 Grant Awards 10 Additional Oracle Site Licenses 10 Information Technology Services Intrusion Detection System 11 Touchnet Application Service Provider Installment Payment and Cashiering Services 12 Approval of the SFA Charter School FY 2008-2009 Annual Financial Report 12 University Policies and Procedures Board Order 10-17 Policy Revisions 13 Reports President Audit Services Report Faculty Senate Student Government Association Board Order 10-18 Election of Officers 2010-2011 13 Appendices Appendix 1 - SFA Charter School PTO Agreement Appendix 2 - Resolution to Acknowledge Review of Investment Policy and Strategy Appendix 3 - Resolution to Approve Qualified Financial Institutions and Investment Brokers Appendix 4 - Grant Awards for Fiscal Year 2010 Appendix 5 - Policy Revisions Affirmative Action (E-4) Appearances before the Board of Regents (D-4) At Will Employment (E-66) Communication Services (F-29) Continuing Education, Outreach and Public Service Programs (A-32) Distribution of SFA Alumni Foundation Scholarships (C-51) Employee Recruitment Plan (E-69) Faculty/Staff ID Cards (F-13) Final Examinations (A-19) Food and Beverages in Academic Areas (B-8) Health and Safety (D-17) Hiring of Non-Academic Personnel (E-27N) Indirect Cost Recovery, Distribution and Use (A-51) Intellectual Property (D-20) Interlibrary Loan (A-23) Investments (C-41) Investments—Endowment Funds (C-41 .A) Issuance and Control of Campus Keys (B-15) Library Borrowing (A-26) Meeting and Conducting Classes (A-31) Markers and Monuments (D-47) Naming Guidelines (D-22) Norton HPE Complex (B-20) Procurement Card (C-44) Property Inventory and Management (C-42) Return to Work (E-62) Second Baccalaureate Degrees (A-73) NEW Selection of President, General Counsel, Director of Audit Services and Assistant to the Board of Regents (D-30) Skating and Skateboarding (D-32) Student Fiscal Appeals (C-57) Transfer Credits (A-45) Travel (C-49) Use of University Facilities (B-l) Withdrawal without Financial Clearance (C-39) Work Requests (B-32) Workers Compensation Coverage (E-55) Stephen F. Austin State University Minutes of the Meeting of the Board of Regents Nacogdoches, Texas January 24 and 25,2010 Austin Building 307 Meeting 257 Sunday, January 24, 2010 The regular meeting of the Board of Regents was called to order in open session at 4:00 p.m., Sunday, January 24, 2010, by Chair James Thompson. PRESENT: Board Members: President: Vice-Presidents: Mr. James Thompson, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Mr. Steve McCarty Ms. Morgan Tomberlain Mr. Melvin White Dr. Baker Pattillo 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 4:00p.m. and adjourned at 4:15 p.m. The Finance/Audit Committee convened at 4:15 p.m. and adjourned at 5:00 p.m. The Academic and Student Affairs Committee convened at 5:00 p.m. and adjourned at 6:08 p.m. The chair called for an executive session at 6:22 p.m. to consider the following items: Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations (Texas Government Code, Section 551.073) Consideration of Individual Personnel Matters Relating to Appointment, Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee, including but not limited to football coaches, executive director of marketing, executive director for alumni affairs, vice presidents and the president. (Texas Government Code, Section 551.074) The executive session ended at 8:00 p.m. and the board meeting was recessed for the evening with no further action. Monday, January 25,2010 The chair reconvened the board meeting in open session at 9:05 a.m. on Monday, January 25,2010. PRESENT: Board Members: Mr. James Thompson, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Mr. Steve McCarty Ms. Morgan Tomberlain Mr. Melvin White President: Vice-Presidents: Dr. Baker Pattillo Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Ms. Yvette Clark Other SFA administrators, staff, and visitors Regent Coleman led the pledge to the flags and provided the invocation. RECOGNITIONS Dr. Richard Berry introduced students from Rose Bruford College in England. Dr. Glenda Walker, director of the DeWitt Nursing School described an award received by the nursing school as a center of excellence in medical simulation and introduced faculty members instrumental in achieving that award. Robert Hill introduced the coaches and returning members of the 2008-2009 championship Lumberjack Football Team. -2- APPROVAL OF MINUTES Board Order 10-13 Upon motion by Regent Amaral, seconded by Regent Dickerson, with all members voting aye, the minutes of the October 11 and 12, 2009, regular meeting and the December 18, 2009, special meeting of the Board of Regents were approved. PERSONNEL Board Order 10-14 Upon motion by Regent Garrett, seconded by Regent Boyer, with all members voting aye, the following personnel items were approved: STAFF APPOINTMENTS FOR 2009 - 2010 Athletics Kurt Corbin, Assistant Football Coach, at a 10.5 month salary of $48,000 for 100 percent time, effective February 1, 2010. Shannon Dawson, Assistant Football Coach, at a 10.5 month salary of $76,139 for 100 percent time, effective February 1, 2010. David Gibbs, Assistant Football Coach, at a 10.5 month salary of $76,139 for 100 percent time, effective February 1, 2010. James C. Harper, Head Football Coach, at an annual salary of $131,143 for 100 percent time, effective February 1, 2010. Mark Nichols, Assistant Coach - Men's Basketball, at a 10.5 month salary of $33,256 for 100 percent time, effective August 10, 2009. Brandon North, Assistant Football Coach, at a 10.5 month salary of $26,000 for 100 percent time, effective February 1, 2010. Arlington Nunn, Assistant Head Football Coach, at a 10.5 month salary of $65,843 for 100 percent time, effective February 1, 2010. Todd Schonhar, Assistant Football Coach, at a 10.5 month salary of $59,460 for 100 percent time, effective February 1, 2010. Bruce Erik Slaughter, Assistant Football Coach, at a 10.5 month salary of $50,398 for 100 percent time, effective February 1, 2010. Harold Christopher Truax, Assistant Football Coach, at a 10.5 month salary of $65,639 for 100 percent time, effective February 1, 2010. -3- Jacob Willingham, Assistant Football Coach, at a 10.5 month salary of $26,000 for 100 percent time, effective February 1, 2010. Development Sid Walker, Vice President of Development, at an annual salary of $150,000 for 100 percent time, effective January 1,2010. Education Susan Broussard, Academic Advisor, at an annual salary of $36,000 for 100 percent time, effective November 2, 2009. Angela Lopez, Project Coordinator, at an annual salary of $30,000 for 55% time, effective October 19, 2009. Financial Aid Debra LaGrone, Financial Aid Officer, at an annual salary of $38,000 for 100 percent time, effective November 2, 2009. Library Ellen Caplan, Librarian III, at an annual salary of $50,000 for 100 percent time, effective December 7, 2009. Public Affairs Robin Johnson, Internal Communication Specialist, at an annual salary of $36,000 for 100 percent time, effective September 28, 2009. Residence Life Dennis Gregory, Manager of Residence Life Administration, at an annual salary of $40,300 for 100 percent time, effective January 4,2010. Gregory Rhodes, Hall Director, at an annual salary of $28,000 for 100 percent time, effective January 4, 2010. Student Affairs Terrence Frazier, Director of Multicultural Affairs, at an annual salary of $60,000 for 100 percent time, effective November 23, 2009. -4- CHANGES OF STATUS FOR 2009 - 2010 Biology Jennifer Edwards, from Research Specialist Lab Management at an annual salary of $19,643 for 100 percent time, to Laboratory Coordinator at an annual salary of $35,143 for 100 percent time, effective November 1, 2009. Communication and Contemporary Culture Sherry Williford, from Instructor of Communication at an annual salary of $53,182 for 100 percent time, to Instructor of Communication an annual salary of $53,182 for 100 percent time with a supplement of $437.50 per month for eight months for additional duties, effective October 1, 2009. Controller's Office Pamela R. Corman, from Interim Assistant Bursar at an annual salary of $45,000 for 100 percent time, to Assistant Bursar at an annual salary of $45,000 for 100 percent time, effective November 1, 2009. Bobby F. Williams, from Interim Bursar at an annual salary of $60,000 for 100 percent time, to Bursar at an annual salary of $60,000 for 100 percent time, effective November 1, 2009. Education Lisa Stone, from Coordinator of Advising at an annual salary of $41,560 for 100 percent time, to Director of Student Services and Advising at an annual salary of $62,000 for 100 percent time, effective January 18, 2010. Forestry and Agriculture Hans Williams, from Professor of Forestry at an academic year salary of $73,191 for 100 percent time, to Professor and Associate Dean of Forestry and Agriculture at an annual salary of $84,480 for 100 percent time, effective October 1, 2009. Liberal and Applied Arts Haskell Cooper, from Assistant Professor of Social Work at an academic year salary of $49,560 for 100 percent time, to Associate Dean of Liberal and Applied Arts and Assistant Professor of Social Work at an academic year salary of $49,560 for 100 percent time, effective January 4, 2010. -5- William Harris, from Adjunct Faculty in English at a salary of $14,375 for 100 percent time for four months, to Academic Advisor at an annual salary of $36,000 for 100 percent time, effective January 4, 2010. Library Michael Gillen, from Assistant Systems Administrator at an annual salary of $29,300 for 100 percent time, to Web Design Specialist at an annual salary of $34,400 for 100 percent time, effective December 14, 2009. Joseph StrahL from Database Administrator at an annual salary of $33,072 for 100 percent time, to Supervisor of Library Systems at an annual salary of $41,000 for 100 percent time, effective November 23, 2009. Registrar Lynda Langham, from Associate Registrar at an annual salary of $48,255 for 100 percent time, to Interim Registrar at an annual salary of $48,255 for 100 percent time with a supplement of $1,100 per month for interim duties until the position is filled, effective January 5, 2010. Student Rights and Responsibilities Peggy Scott, from Judicial Officer at an annual salary of $59,496 for 100 percent time, to Director of Student Rights and Responsibilities at an annual salary of $59,496 for 100 percent time, effective September 1, 2009. RETIREMENTS The following retirements were accepted: John Boyd, Associate Professor of Government, effective August 31, 2010. Tim Cherry, Professor of Agriculture, effective January 1, 2010. George Ann Leonard, Director of Assessment and Educational Accountability, Educator Certification, effective January 15, 2010. Max L. Morley, Associate Professor of Music, effective December 31, 2009. -6- ACADEMIC AND STUDENT AFFAIRS Board Order 10-15 Upon motion by Regent Dickerson, seconded by Regent Amaral, with all members voting aye, the following academic items were approved: MEMORANDUM OF AGREEMENT BETWEEN SFA AND SFA CHARTER SCHOOL PARENT-TEACHER ORGANIZATION Whereas, the board considered the following: University policy and state law require the Board of Regents to enter into a written agreement with any private support organization that assists the university in furthering its purposes and duties. The Charter School has recently organized a Parent-Teacher Organization (PTO). Meetings and discussions have been held proposing an agreement that reflects the understandings between the parties. Therefore, the Memorandum of Agreement between Stephen F. Austin State University and the Stephen F. Austin State University Charter School Parent-Teacher Organization was approved as presented and the president was authorized to sign the final document. REVISION OF ADMISSION STANDARDS Whereas, the board considered the following: The first specific strategy included in the university's strategic plan, Strategic Plan 2013: Preparing for the Future, is "Raise freshman admission standards to be effective no later than Fall 2012." As part of the institutional effort to increase student retention rates and enhance institutional excellence, an ad hoc committee appointed by the president crafted a recommended set of freshman admission guidelines that will place SFA on an equal footing with other comprehensive regional state universities in Texas. The recommendations are as follows: 1. Receipt of high school diploma (Recommended High School Program or the Distinguished Achievement Program) -and- 2. Meeting the following class rank and minimum test scores: -7- Therefore, the admissions standards were adopted for first-time freshmen as detailed above, to be effective with the freshman class of Fall 2012. FINANCIAL AFFAIRS Board Order 10-16 Upon motion by Regent Ertz, seconded by Regent Amaral, with all members voting aye, the following financial affairs items were approved: CHEMISTRY BUILDING RENOVATION PROJECT EXPANSION AND BUDGET INCREASE Whereas, the board considered the following: At the July 21, 2009 meeting the Board of Regents approved a project budget of $6 million for the Chemistry Building renovation. The regents further authorized the architectural firm of Perkins and Will to develop plans to renovate the building. At the October 12, 2009 meeting the regents selected J. E. Kingham Construction as construction manager at risk (CMR) for the project. The architectural assessment included life/safety issues, academic delivery considerations, infrastructure, mechanical, electrical, and plumbing needs, and building code compliance. Additional funding for the project is needed to address necessary life/safety issues, comprehensive infrastructure needs, and building code compliance. The project increase will be funded from a reallocation of the $10 million deferred maintenance projects. The project reallocation will be as follows: Currently Approved Budgets Recommended Budgets Chemistry Building Renovation $6,000,000 $7,350,000 SFA Theatre Renovation $700,000 $700,000 Power Plant 2 HVAC Upgrade $2,450,000 $1,600,000 Life Safety $700,000 $200,000 Science Research Center $ 150,000 $ 150,000 Total $10,000,000 $10,000,000 Therefore, the board approved the reallocation of the $10 million deferred maintenance tuition revenue bond funding to establish the Chemistry Building renovation project budget at a cost not to exceed $7,350,000. APPROVAL OF THE FISCAL YEAR 2008-09 ANNUAL FINANCIAL REPORT Whereas, the board considered the following: On November 19, 2009, the Stephen F. Austin State University Annual Financial Report for the fiscal year that ended August 31, 2009, was submitted to the Governor, Comptroller of Public Accounts, Legislative Budget Board and State Auditor as required by state law. Therefore, the Stephen F. Austin State University Annual Financial Report was approved as submitted. -8- RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY Whereas, the board considered the following: In accordance with the Texas Public Funds Investment Act, the university's investment policy and strategy must be annually reviewed by the governing board of the institution. In addition, the law requires the governing body to adopt a written instrument by rule, order, ordinance, or resolution stating that it has reviewed the investment policy and strategy. The resolution, included in Appendix 2, acknowledges the board's annual review of Policy C-41, Investments. Policy C-41 is included in the Policy Revisions, Appendix 5. Therefore, the Resolution to Acknowledge Review of Investment Policy and Strategy was approved as presented in Appendix 2. RESOLUTION TO APPROVE QUALIFIED FINANCIAL INSTITUTIONS AND INVESTMENT BROKERS Whereas, the board considered the following: The Texas Public Funds Investment Act requires the university to adopt a resolution by the governing body of the institution that approves qualified investment brokers. The following brokers/investment managers are listed in the resolution, submitted in Appendix 3: Merrill Lynch, Inc.; Alliance Bernstein International; Fayez Sarofim&Co.; LazardAsset Management; Cadence SCG-MAA; Columbus Circle Investors; Blackrock Investment Management, LLC; ING Investment Management; NFJ Investment Group L.P.; Davis Advisors; The Endowment Fund; Renaissance Access, LLC; and Torrey Asia Access, LLC; Citizens 1st Bank; Austin Bank; BancorpSouth; Commercial Bank of Texas NA; First Bank and Trust; Regions Bank; Regions Morgan Keegan Trust; US Bank, Texas Bank and Texpool. Therefore, approval was given to the financial institutions, investment managers and brokers presented in Appendix 3. GRANT AWARDS Whereas, the board considered the following: Since the fiscal year 2009-10 budget was approved, the university has received grant awards that total $8,763,386. Those include multi-year awards and represent a total increase of $657,651. Total grant awards allocable to fiscal year 2010 are $6,690,246. That total represents an increase of $533,962. The grant awards result from extensive faculty research engagement across many academic disciplines. The grants include direct federal, federal pass through, state and private awards. Therefore, the Board of Regents approved and ratified the additional fiscal year 2010 grant awards that total $553,962. The grant awards are detailed in Appendix 4. -9- ADDITIONAL ORACLE SITE LICENSES Whereas, the board considered the following: The Oracle operating system is required to run Banner software applications. In 2003, the university entered into an enterprise agreement with Oracle as one of the first steps to the Banner migration. As part of this agreement, the university is required to purchase additional site licenses when total headcount increases beyond the number already licensed with Oracle. Since the university experienced a large student headcount increase in the fall it is necessary to purchase additional site licenses to stay in compliance. The university anticipates continued growth and has included projected growth in price negotiations. In order to secure better pricing, the university wishes to purchase 1,600 additional Oracle licenses. The university has negotiated with Oracle to pay for the additional licenses over a three year period. The additional site licenses include the Oracle Database Enterprise Edition, the Diagnostics Pack, Tuning Pack, and Internet Application Server Enterprise Edition. The cost of the additional 1,600 additional licenses will not exceed $178,000, plus additional annual maintenance costs of approximately $40,000. Therefore, the additional Oracle licenses were approved at a cost not to exceed $178,000, plus additional annual maintenance costs. The additional licenses and annual maintenance will be paid from Information Technology Services (ITS) budgeted funds. INFORMATION TECHNOLOGY SERVICES INTRUSION DETECTION SYSTEM Whereas, the board considered the following: To further the university's efforts to secure its network and to further comply with Texas Administrative Code 202, the university would like to implement an network intrusion detection system. Information Technology Services (ITS) is currently evaluating several network intrusion detection solutions. Therefore, approval was given for the administration to select and implement an ITS intrusion detection system at a cost not to exceed $120,000. The fund source is higher education and designated funds. TOUCHNET APPLICATION SERVICE PROVIDER INSTALLMENT PAYMENT AND CASHIERING SERVICES Whereas, the board considered the following: Touchnet is an application service provider that the university utilizes to accept credit card payments. The university has been using a variety of Touchnet services since 1996. Recently, as Payment Card Industry (PCI) rules were created and being rigorously enforced, SFA moved the bulk of credit card processing to Touchnet's secure hosting solution. The university also engaged Touchnet to provide online stores to be set up in a PCI compliant environment. Touchnet meets PCI standards and provides SFA a safe harbor in the payment card industry. -10- In order to replace internally developed system applications and enhance functionality, installment payment capability and cashiering products need to be added to existing Touchnet services. The Touchnet components interface with and enhance the Banner student billing system. The total cost to implement both services will not exceed $140,000. Therefore, the Board of Regents approved purchase of the expanded Touchnet services to include installment payment and cashiering services. The fund source is higher education funds included in the fiscal year 2010 Banner project budget. APPROVAL OF THE SFA CHARTER SCHOOL FISCAL YEAR 2008-09 ANNUAL FINANCIAL REPORT Whereas, the board considered the following The SFA Charter School was established in July 2008; the first official school year for operations was 2008-2009. The Texas Education Agency requires a separate audit for the charter school. The SFA Charter School Annual Financial Report for the fiscal year that ended August 31, 2009, will be submitted to the Texas Education Agency by January 31, 2010. Therefore, the Board of Regents approved the SFA Charter School Annual Financial Report as submitted. UNIVERSITY POLICIES AND PROCEDURES Board Order 10-17 Upon motion by Regent Dickerson, seconded by Regent White, with all members voting aye, the policy revisions were approved as presented in Appendix 5. REPORTS PRESIDENT Dr. Baker Pattillo highlighted some upcoming events: February 18 Lone Star Legislative Summit, February 20 Showcase Saturday, March 9-13 Southland Conference Basketball Conference, and a possible board meeting on February 26. Because there is a need for Vice President Sid Walker to have an appropriate office, there will be a relocation of some administrative offices on the third floor of the Austin Building. The university received a letter from Governor Perry asking for a 5% reduction in expenditures for this biennial budget, which will amount to approximately $4 million. AUDIT SERVICES REPORT Director of Audit Services Gina Oglesbee presented a report on the following: Effort Reporting Audit Charter School Audit NCAA Compliance Audit Status of SAO Audits Update on Audit Plan -11- FACULTY SENATE Dr. Kevin Langford gave a presentation concerning a recent graduate, Michael Hitchcock, SFA '04, who is currently a medical student at UT Southwestern Medical School. STUDENT GOVERNMENT ASSOCIATION Ms. Courtney Harvey reported on activities for the Student Government Association including the move of the SGA offices, the spirit bus program, the SGA retreat, fall citizenship efforts, and spring events (MLK Day of Service, Big Event, Springfest, SFA Student Leadership Awards). REPORT FROM NOMINATING COMMITTEE AND ELECTION OF OFFICERS Board Chair Thompson named a nominating committee prior to the meeting as follows: Committee Chair James Dickerson, Bob Garrett, and Scott Coleman. Chair Dickerson announced the slate from the nominating committee for 2010-2011 officers: Melvin White as chair, Bob Garrett as vice chair and Richard Boyer as secretary. Upon motion by Regent Dickerson, seconded by Regent Amaral, with all members voting aye, the slate was elected. These officers will begin their terms at the beginning of the business portion of the full board meeting on April 20, 2010. The meeting was adjourned at 10:30 a.m. -12- Appendix 1 AGREEMENT BETWEEN STEPHEN F. AUSTIN STATE UNIVERSITY CHARTER SCHOOL AND SFA CHARTER SCHOOL PTO This agreement is made and entered into as of its approval at the January 25, 2010 SFA Board of Regents meeting between Stephen F. Austin State University for the benefit of its Charter School, hereinafter referred to as Charter School, and the SFA Charter School PTO, hereinafter referred to as the PTO. Whereas, the Charter School is part of the university as a whole and the university Board of Regents formally adopts this agreement in accordance with its policies and state law; Whereas, the PTO is an independent association which exists solely for the support of the university and its Charter School adopts this Agreement with its Bylaws; Whereas, the Charter School and the PTO provide and make available certain services and benefits to each other; Whereas, the Charter School and PTO work together for the sole purpose of promoting the education and educational experiences of the students enrolled at the Charter School; Now, therefore, in consideration of the covenants, promises, terms and provisions herein contained, the parties mutually agree to the following: GENERAL PROVISIONS ARTICLE 1 1. To the extent allowed by state law, this agreement shall remain in full force and effect until terminated by either party or suspended by a subsequent agreement. While every effort will be made to provide 60 days written notice for termination of this agreement by either party, Stephen F. Austin State University in accordance with its policy and state law may terminate this agreement at anytime. 2. This agreement is solely between the parties and cannot be assigned to another party without written approval from the non-assigning party. 3. This agreement in entered into in Nacogdoches County and proper venue shall be in Nacogdoches County, Texas. 4. This agreement is subject to and shall be construed under the laws of the State of Texas including Chapter 2255 of the Texas Government Code. The invalidity or illegality of any provision in this agreement shall not affect other terms or conditions of the agreement. 5. This agreement contains the entire agreement of the parties and no change or modification of this agreement is binding unless in writing and signed by the parties. ARTICLE II PTO agrees to provide the following services: 1. Serve as a conduit between the Charter School and the Charter School community with 1 Appendix 1 the PTO activities directly focused on the Charter School; 2. Offer support for the educational experiences of the Charter School; and 3. Support and execute fund-raising activities for the benefit of the Charter School, within any guidelines or limitations imposed by the university, Charter School, and state or federal law. ARTICLE III Charter School will provide the following: 1. To the extent available and allowable, reasonable space such as meeting rooms and opportunities to host approved events will be provided in the Charter School to the PTO to carry out its obligations under this Agreement; 2. To the extent available and allowable, Charter School staff may assist in formulating PTO communication materials, using staff time, computers, copy machines and telephones, but only to the extent that the content and costs are approved by the Charter School Leader. Extraordinary use of university and Charter School staff time, equipment and materials will not be permitted. 3. Upon receipt of monies raised through PTO fundraising activities (university receipt must occur within 24 hours of the conclusion of the fundraising event), all fundraising gift receipts and deposits will be managed by the university's Office of Development, in the same manner that all other university gifts are managed. Procedurally, monies should be delivered to the Charter School Leader by the PTO, whereby it will be counted and signed off by the PTO and Charter School Leader, then placed in a locked money bag with a transmittal form and delivered to the Business Office within 24 hours. The transmittal form and check copies will be provided to the Office of Development for gift processing and acknowledgement. 4. The Charter School hereby expressly recognizes that the president, vice-president, advancement officers, deans, faculty members, and teachers may reasonably assist from time to time in the development programs or may be needed or helpful in coordinating those PTO activities with the operations of the Charter School. No monetary or pecuniary enrichment will be made to any officer or employee of the university by PTO or its donors. Conduct of employees is governed by the university and when conflicts arise university policies shall govern the conduct of its employees. The Leader of the Charter School, the Chair of Elementary Education and the Dean of the College of Education shall serve in an ex-officio capacity on the PTO Board; 5. Assistance in research and investigation of individuals, foundations, businesses and corporations best qualified as prospective donors; and 6. Assistance in the coordination of follow-up activities after each solicitation and fundraising event. 7. Charter School shall not be required to provide the above resources if to do so in that particular situation would interfere with or have an adverse impact on the daily operation of the Charter School and/or the education of the students. Any determination of interference shall be in the sole discretion of the university and Charter School. Appendix 1 ARTICLE IV The Officers of PTO assure the Charter School that the activities of the PTO will always be in support of the objectives, goals and priorities of the Charter School, as communicated to it by the Dean of the College Education. PTO will only raise funds in the name of the university. The Charter School will provide a complete financial report to the PTO on the allocation and use of resources made available through the PTO. ARTICLE V Because the PTO will only raise money in the name of the university, the moneys will be deposited in university accounts, invested through the university investment program, and governed in accordance with university policy. ARTICLE VI Disbursement from PTO accounts will be supervised by the Dean of the College of Education and will be made only for expenditures consistent with the explicit purposes for which the accounts were established and the restrictions of the donors. Full documentation will be required for each disbursement. The university/Charter School reserves the right to accept or deny any gift or donation within its sole discretion. ARTICLE VII The allocation and budgeting of unrestricted funds is to be determined by the Dean of the College Education. Resources raised by other support organizations and for which the Charter School may serve as a Trustee of funds shall be allocated by the restrictions of the donor and by the support organization. Restricted gifts shall be allocated by the restrictions of the donor and by the Dean of the College of Education. The allocation, expenditure, and transfer of all resources will be reported to the Officers of the PTO regularly by the Leader of the Charter School. The Dean of the College of Education will assure that all expenditures, irrespective of the allocation process, are consistent with state law and the charter of the PTO. When in conflict, state law shall always supersede. Agreed to this the day of ,2010. SFA CHARTER SCHOOL PTO STEPHEN F. AUSTIN STATE UNIVERSITY By: President of the PTO SFA Charter School PTO By: Interim Dean, College of Education Appendix 1 By: Chair, Elementary Education By: Leader, SFASU Charter School By: President Appendix 2 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, The Texas Public Funds Investment Act requires that each university's investment policy and strategy must be annually reviewed by the governing board of the institution; and WHEREAS, the law also requires the governing body to adopt a written instrument stating that is has reviewed the investment policy and strategy; NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this resolution, does hereby approve the investment policy and strategy as reviewed on January 25, 2010; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25, 2010 meeting of the board. Attest: ^ JaiWs A. Thompson, Chair John R. Garrett, Secretary Appendix 3 BOARD OF REGENTS OF STEPHEN F, AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION APPROVING FINANCIAL INSTITUTIONS AND BROKERS FOR INVESTMENT TRANSACTIONS WHEREAS, The Texas Public Funds Investment Act requires the university to submit a resolution approving a list of qualified investment brokers to the governing body of the institution for adoption and/or review; and WHEREAS, the following firms are approved investment brokers: Merrill Lynch, Inc. Alliance Bernstein International Fayez Sarofim&Co. LazardAsset management, LLC ING Investment Management NFJ Investment Group L.P. Davis Advisors The Endowment Fund Renaissance Access, LLC Torrey Asia Access, LLC WHEREAS, the following firms are approved financial institutions: Citizens 1st Bank Austin Bank BancorpSouth Commercial Bank of Texas NA First Bank and Trust Regions Bank Regions Morgan Keegan Trust US Bank Texas Bank Texpool NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this resolution, does hereby approve the above listed firms for investment transactions by Stephen F. Austin State University; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25, 2010 meeting of the board. s A. Thompson, Chair John R. Garrett, Secretary Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Report to the Board of Regents Direct Federal Awards More Bugs in the Woods FY10 FY 2010 Award: $2,000 Total Award: $2,000 (Challenge Cost Share Agreement) Sponsor: Forest Service, U.S. Department of Agriculture Term (this action): September 23, 2009 - September 30, 2014 Description: This project will provide interpretation/conservation education programming at elementary schools, community events, after school programs, and on-site for family groups and children at National and State forests in Texas and will train bilingual high school or college students in associated programming at the various outreach venues. PI/PD: Dr. David Kulhavy, Forestry Subtotal FY 2010 Awards (this report) = $2,000 Subtotal Direct Federal Awards (this period) =$2,000 Federal Pass-through Awards Pineywoods Area Health Education Center (AHEC) FY 2010 Award: $89,000 Total Award: $89,000 (Subcontract - renewal) Sponsor: U.T. Medical Branch - Galveston (DHHS) Term (this action): September 1, 2009 - August 31,2010 Description: The purpose of this project is to build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics StateView Program Development and Operations for the State of Texas FY 2010 Award: $17,364 Total Award: $ 17,364 (Subaward - renewal) Sponsor: AmericaView, Inc. (U.S.G.S., Department of the Interior) Term (this action): October 1, 2009 - June 30, 2010 Description: Texas View is a consortium of 14 universities, federal, state, and local entities dedicated to promoting remote sensing through a comprehensive program of research, education, and outreach activities. PI/PD: Mr. P.R. Blackwell, Forestry Special Education Recruitment and Retention FY 2010 Award: $14,245 Total Award: $ 14,245 (Subaward - renewal) Sponsor: Texas A&M - Texarkana (U.S. Department of Education) Term (this action): September 1, 2009 - June 30, 2010 Description: The objective of this agreement is to implement and support work related to the State of Texas special education grant, which may include workshops, scholarships, and stipends. PI/PD: Dr. Melanie Jephson, Human Services Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Special Education IDEAS (ARRA Stimulus Funds) FY 2010 Award: $11,952 Total Award: $26,891 (Formula) Sponsor: Texas Education Agency (U.S. Department of Education) Term (this action): July 9, 2009 - September 30, 2011 Description: These funds will be used by the SFA Charter School for a counselor and the services of a speech pathologist, diagnostician, and ARD/IEP facilitator. PI/PD: Lysa Hagan, Elementary Education Geriatric Education Center (GEC) FY 2010 Award: $8,459 Total Award: $8,459 (Interagency Contract - renewal) Sponsor: U.T. Medical Branch - Galveston (DHHS) Term (this action): October 27, 2009 - June 30, 2010 Description: The purpose of this federally sponsored program is to help provide high-quality, continuing education in geriatrics and to improve health care for older adults including those in rural communities. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Child Care Quality Improvement (ARRA Stimulus Funds) FY 2010 Award: $6,000 Total Award: $6,000 (Interlocal Agreement) Sponsor: Workforce Solutions Deep East Texas (DHHS) Term (this action): September 21, 2009 - November 5, 2009 Description: Funds were provided for the purchase of equipment, materials, and supplies that will improve the quality of care in the Early Childhood Laboratory. PI/PD: Ms. Lori Harkness, Elementary Education Etiquette + Protocol = Success FY10 FY 2010 Award: $5,000 Total Award: $5,000 (Interlocal Agreement - renewal) Sponsor: Angelina College (THECB, U.S. Department of Education) Term (this action): October 14, 2009 - April 30, 2010 Description: The purpose of this project is to better prepare Career and Technology students for success in the workplace by inviting each regional school district to select two students to attend an intensive, one-day training on etiquette and professionalism as it relates to the work world. PI/PD: Ms. Mary Olle, Human Sciences MLKDay of Service FY 2010 Award: $1,000 Total Award: $ 1,000 (Grant) Sponsor: North Carolina Campus Compact (Corporation for National & Community Services) Term (this action): October 1, 2009 - January 18,2010 Description: The goal of this grant is to honor the memory of Dr. King by making the national holiday a day of service. SFA will engage a minimum of 150 student volunteers and 10-15 faculty and staff volunteers to complete 15-18 community projects for a total of 825 service hours. PI/PD: Dr. Jamie Bouldin, Student Life Prepared by the Office of Research & Sponsored Programs 9 Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Fall Counselor's Network Program FY 2010 Award: $800 Total Award: $800 (Interlocal Agreement) Sponsor: Angelina College (THECB, U.S. Department of Education) Term (this action): October 1, 2009 - November 15, 2009 Description: Funds are provided to host a Counselor's Network Workshop for counselors in regional public schools. PI/PD: Dr. Le'Ann Solmonson, Human Services Subtotal FY 2010 Awards (this report) = $153,820 Subtotal Federal Pass-through Awards (this period) =$168,759 State Awards Pineywoods Area Health Education Center (AHEC) FY 2010 Award: $154,999 Total Award: $ 154,999 (Subcontract - renewal) Sponsor: U.T. Medical Branch - Galveston Term (this action): September 1, 2009 - August 31,2010 Description: The purpose of this project is to build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Master College Readiness Special Advisor FY 2010 Award: $80,000 Total Award: $ 160,000 (Interagency Agreement - renewal) Sponsor: Texas Higher Education Coordinating Board Term (this action): September 1, 2009 - August 31, 2011 Description: Funding is provided for a Master College Readiness Special Advisor to serve as a regional liaison, to offer presentations on College and Career Readiness (CCR), and to assist higher education faculty in refining and furthering CCR Standards and implementation strategies . PI/PD: Debra Kiesel, Academic Affairs. Disability Services - Reader Services 10-11 FY 2010 Award: $60,000 Total Award: $60,000 (Interagency Agreement - renewal) Sponsor: Texas Department of Assistive and Rehabilitative Services Term (this action): September 1, 2009 - August 31, 2011 Description: This contract provides qualified readers for eligible visually impaired students during classes, associated labs, and outside the classroom. PI/PD: Mr. Chuck Lopez, Disability Services Pine Tip Moth Impact Project FY 2010 Award: $11,475 Total Award: $ 11,475 (Interagency Agreement) Sponsor: Texas Forest Service Term (this action): January 1, 2010 - September 30, 2010 Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Description: This cooperative project on Pine Tip moths provides research services for the Texas Forest Service in the form of an SFA graduate student's thesis research. PI/PD: Dr. Dean Coble, Forestry Charter School Technology Allotment FY 2010 Award: $6,418 Total Award: $6,418 (Formula) Sponsor: Texas Education Agency Term (this action): September 1, 2009 - August 31,2011 Description: These funds will be used by the SFA Charter School for technology improvements. PI/PD: Lysa Hagan, Elementary Education Subtotal FY2010 Awards (this report) = $312,892 Subtotal State A wards (this period) = $392,892 Private Awards Pulmonary Health Initiative FY 2010 Award: $20,000 Total Award: $20,000 (Grant) Sponsor: University of North Texas (Pfizer Foundation) Term (this action): October 1, 2009 - September 30, 2010 Description: The Pineywoods Area Health Education Center (AHEC) and the SFA School of Nursing will partner with Nacogdoches Memorial Hospital to implement and coordinate a Pulmonary Health Initiative in Nacogdoches County. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Geospatial Support for the City of Nacogdoches FY 2010 Award: $20,000 Total Award: $20,000 (Interlocal Agreement) Sponsor: City of Nacogdoches Term (this action): September 1, 2009 - August 31,2010 Description: Services include geodatabase maintenance, access, backup services, technical support, and data distribution and coordination for the City. PI/PD: Mr. P.R. Blackwell, Forestry Development of an ArcGIS Extension for Urban Watershed Management Assistance FY 2010 Award: $10,000 Total Award: $ 10,000 (Subaward) Sponsor: University of Northern Iowa (City of Cedar Falls) Term (this action): June 15, 2009 - January 31, 2010 Description: An ArcGIS Urban Watershed Management Assistance modeling tool will be developed that will integrate spatial data layers to create various maps and that prioritizes and ranks landforms in potentially environmentally sensitive areas. PI/PD: Dr. Yanli Zhang, Forestry Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Welch Chemistry Departmental Research FY 2010 Award: $8,750 Total Award: $35,000 (Grant - renewal) Sponsor: Robert A. Welch Foundation Term (this action): June 1, 2010 - May 31, 2011 Description: Funds from this research award to the Chemistry Department will be used to award scholarships to undergraduate students, to give summer fellowships to graduate students, to purchase expendable supplies, and to repair instruments. PI/PD: Dr. Michael Janusa, Chemistry Poultry Science Education Student Recruitment FY 2010 Award: $3,000 Total Award: $3,000 (Grant) Sponsor: U.S. Poultry and Egg Association Term (this action): November 3, 2009 - August 31, 2010 Description: Funds are provided to aid in recruiting efforts directed at high school and community college students to attract majors in Poultry Science. PI/PD: Dr. Joey Bray, Agriculture, Poultry Research Center Digitization of Charles S. Taylor Papers FY 2010 Award: $2,500 Total Award: $5,000 (Grant) Sponsor: Texas State Genealogical Society Term (this action): November 11, 2009 - December 1, 2010 Description: Funds are provided to complete the digitization of the Charles S. Taylor Papers and other historical documents as approved by the sponsor. PI/PD: Ms. Linda Reynolds, Steen Library, East Texas Research Center Development and Validation of a GIS Algorithm to Assess Reservoir Topography and Volume FY 2010 Award: $1,000 Total Award: $ 1,000 (Contract) Sponsor: CRA, Inc. Term (this action): September 20, 2009 - July 30, 2010 Description: This research will use sample data andArcGIS software to investigate accurate algorithms to interpolate topographical data for high-accuracy calculation of contour and reservoir volume. PI/PD: Dr. Yanli Zhang, Forestry Subtotal FY 2010 Awards (this report) = $65,250 Subtotal Private Awards (this period) = $94,000 Total FY2010 Awards (this report) = $533,962 Total Grant Awards (this period) = $657,651 Note: • Amounts are based on award notices as they are received from the funding agency, not balances in funds/accounts. • Does not include financial aid or gift accounts. Prepared by the Office of Research & Sponsored Programs Appendix 5 Policies for Board Review January 25, 2010 p-l Appendix 5 P-2 Appendix 5 Affirmative Action (E-4) Original Implementation: Unpublished Last Revision: April 21, 2007January 25, 2010 Stephen F. Austin State University is fully committed to the national and state goal of affording equal employment opportunity to all persons without regard to race, color, sex, religion, age, national origin, veteran status, or physical or mental disability. The university's fundamental policy will be to provide equal employment opportunity in all of its operations and in all areas of employment practices and to assure that there shall be no discrimination against any employee or applicant for employment on the grounds of race, color, sex, religion, age, national origin, veteran status, or physical or mental disability. The university policy extends to recruiting, hiring, training, compensation, overtime, job classifications, work conditions, promotions, transfers, employee treatment, suspensions, terminations, layoffs, return from layoffs, tuition aid, recreational programs, and all other terms, conditions, and privileges of employment. The following special guidelines apply to University employment practices. 1. Provide equal pay for equal work. 2. Provide hiring standards that do not discriminate on the basis of race, color, national origin, religion, sex, age, disability, and Vietnam Era veterans, or veteran status. 3. Take affirmative action that will open up job opportunities on all levels to women, to minorities, to disabled individuals, and to Vietnam era veterans. In general, an employer may hire the individual best qualified to perform a particular job. Federal regulations require proof that the search for the best qualified applicant was conducted actively among those groups usually discriminated against and that a major effort was made to find the best qualified individual by actively seeking applications from such groups. 4. Requirements must be job related and qualifications must be the minimum needed for entrance to a given job, not the maximum expected after experience is acquired. 5. Recruiting efforts must reach minority and women applicants. 6. Selections must be made following strict guidelines that prevent discrimination in all phases of the selection process: job analysis, uniform classification, retention and maintenance of applications, interview practices, and notification of results of the selection process. Appointments must be made considering only job related factors. Additional information concerning the university's affirmative action policy, guidelines for recruiting, screening, interviewing, employee selection, record keeping, employee training, performance management and new employee orientation can be obtained from the director of Human Resources. P-3 Appendix 5 Cross Reference: U.S. Constitution, Amendment XIVU.S. Const, amend. XIV, § 1; % U.S.C., ooo. 1321a otsoq.3 U.S.C. § 1324b; 20 U.S.C., boo. 1681otooq.20 U.S.C. §§ 1681, 1684; 29 U.S.C. §§ 206, 621, 623, 793-29 U.S.C., ooc. 206, ooc. 621 ot ooq.; 29 U.S.C., oooo. 793 and 791; 42 U.S.C. §§ 2000d, 2000e-2 - 2000e-3, 6101-6102M U.S.C., sec. 2000d et peg., soo. 2000e et seq., oeo. 6101 et soq.; Texas Civil Practice and Remedies Code, Chapter 106rex Civ. Prac. & Rem. Code § 106.001; Texas Human Resourcos Code, ooc. 121.001 ot soq.rex:. Hum. Res. Code §§ 121.001, .0030; Texas Government Codo Soc. 657.002 ot ooq.7ex Gov 't Code §§ 657.002-. 007; Texao Labor Code Soc. 21.101 otsoqTex Lab. Code §§ 2l.001-.556; Texas Constitution Article I, sec. 3a7ex. Const, art I, § 3a; Texas General Appropriations Act Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources and General Counsel Forms: None P-4 Appendix 5 Appearances before the Board of Regents (D-4) Original Implementation: January 19, 1988 Last Revision: October 11, lOOSJanuary 25, 2010 Special appearances as requested by the Board or President: The chair of the Board of Regents or the president (as approved by the board chair) may invite individuals to appear before the board or one of its committees (as approved by the committee chair) for specific purposes. The chair of the Faculty Senate and the president of the Student Government Association shall have the opportunity to provide a report at each quarterly board meeting. Requests to address the board: Requests to appear before the board to make comments on a specific agenda item must be received by the assistant to the board Office of the Board of Regents in writing no later than twenty-four (24) hours before the board meeting at which the individual wishes to speak. The request should set out clearly the nature of the subject matter to be presented relating to a specific board agenda item. In making a request to appear before the board, individuals must give their names and any relevant title or affiliation. Comments regarding non-posted agenda items may be submitted to the assistant to the board Office of the Board of Regents in writing, at any time, for distribution to the regents. Time allocation: The board will allow up to twenty (20) minutes for public comment per agenda item. An individual speaker will be permitted three (3) to five (5) minutes for a presentation. The board will allow a total of up to ninety (90) minutes for public comments per regular quarterly meeting. Copies of speakers' comments, and/or other written materials for distribution to the Board of Regents will be accepted. Public comments will take place during the scheduled public comment period at the beginning of each regular quarterly meeting. Other meetings: While a specific period for public testimony will be limited to the regular quarterly meetings, written comments are welcome for any scheduled meeting of the Board of Regents. Forward one copy of your comments to the assistant of the board Office of the Board of Regents for distribution to the regents. Scheduling of speakers: When the number of requests to address the board at a given session and for a specific agenda item exceeds the time available, requests will be approved based on the order the written request was received by the assistant to the bea*4Office of the Board of Regents. If, by virtue of time or other constraint, a speaker is not able to present his/her comments, said comments will be accepted and distributed to the Board of Regents at the meeting. P-5 Appendix 5 Special requests: Special requests to appear before the board for comments at times other than the regular quarterly meetings can be submitted to the assistant to board Office of the Board of Regents for consideration by the chair of the Board of Regents. Cross Reference: Tex. Educ. Code § 51 J57Texas Education Code, Chapter 51, Section 51.355; Board of Regents Rules and Regulations Responsible for Implementation: President Contact for Revision: President Forms: None P-6 Appendix 5 At-Will Employment (E-66) Original Implementation: July 15, 2003 Last Revision: January 27, 2009January 25, 2010 The following non-classified, academic and non-academic employees serve at the discretion of the university and are considered at-will employees, whose employment may be terminated with or without cause at any time by the university or the employee. ■ All positions reporting to the Board of Regents including but not limited to the President, General Counsel, Director of Audit Services, and Assistant to tho Board of Regents Coordinator of Board Affairs. ■ All Vice Presidents/Provost including Associate Vice Presidents/Associate Provost ■ All Deans including Associate Deans ■ All Directors ■ All Department Heads and Chairs ■ All Coaches ■ All Charter School Teachers ■ All Attorneys and Auditors ■ All Temporary Staff Employees Any appointment included in this list which is filled by a tenured employee will not affect the employee's tenure status. Tenured employees removed from administrative assignments under this policy may be reassigned to a faculty position. The university may choose to reassign an at-will employee under this policy, but such reassignment is not guaranteed. Additionally, the university will endeavor to give a terminated employee under this policy a 30-day notice, although notice is not required. Any decision to terminate an at-will employee must be reviewed by the general counsel and/or director of human resources for legal considerations. Termination of at-will employees below the vice president level must be approved by the appropriate vice president and reported to the president and board of regents. The Board of Regents must approve termination of at-will employees at the vice president level or above. All such employees will be given an opportunity to resign in lieu of at-will termination, unless the termination is clearly for cause. The terms of resignation must be approved by the same process outlined for termination above, including legal review by the general counsel and/or director of human resources. In regards to this policy, and the employee's completion of the 180-day probationary period, there is no contradiction. The 180-day probationary period is the designated time frame for the new employee to demonstrate their capability to perform their job tasks in a P-7 Appendix 5 satisfactory manner. The completion of this evaluation period does not convey a permanent status to employees listed in this policy, and it does not negate the at-will status for either employee or employer. Any agreements that in any way modify this policy must be made in writing and must contain the signature of the president, appropriate vice president, and the university Board of Regents. Cross Reference: None Responsible for Implementation: President Contact For Revision: General Counsel Forms: None P-8 Appendix 5 Communication Services (F-29) Original Implementation: December 8, 1987 Last Revision: January 30, 2007 January 25, 2010 Information Technology Services (//^Telecommunications and Networking) is responsible for the administration of University Stephen F. Austin State University (SFA) communication services. These services consist of the installation, maintenance, and operation of the university-owned telephone switch, connective infrastructure, associated services, cellular services, and all outside telephone lines connecting to S¥Auniversity locations and billing. All telephone services exist primarily for the daily conduct and transaction of official university business (except for student dorm telephones and campus pay phones). Personal local calls may be made but should be minimized. Personal toll calls must be charged to home telephones, personal telephone calling cards, or reimbursed to the department. Reimbursements for personal calls on a university telephone should be coordinated with the department head (or account custodian). It is the responsibility of the department head (or account custodian) to review all telephone bills to ensure compliance with the usage policy. All charges for telephone services, including campus telephone lines, 800 numbers, distance toll calls (long distance access codes), and cellular telephones remain the responsibility of the department head (or account custodian) until written notification is received by the Assistant Director of Telecommunications and Networking ITS for their discontinuance. EQUIPMENT INSTALLATION/RELOCATION/ALTERATION and Requests for installation, relocation, alteration, or repair of telephone equipment should be submitted to the 77^ Help Desk at extension 1212 or via the web at https://forms.sfasu.edu/its/computer_help.html. The request must include the service requested or the nature of the problem, telephone number of the affected equipment, building and room number, department account number, and telephone number and name of a contact person., A A-work order will be issued, and upon completion, the appropriate account wH\-may be charged by IDT if appropriate. LONG DISTANCE ACCESS CODE Requests for long distance access codes should be submitted from the department head (or account custodian) to the Assistant Director of Telecommunications and Networking. The request should include the requesting individual's namo, social security number, and department account number. Requests for multiple long distance access codes (for charging to more than one account number) may be included on a single memorandum. However, fall information must be provided for each access code requested. P-9 Appendix 5 LONG DISTANCE ACCESS CODE Requests for long distance access codes should be submitted from by the department head (or account custodian) to ITS tho Assistant Director of Telecommunications and Networking, The request should include the requesting individual's name, Campus ID number, and department account number. Requests for multiple long distance access codes (for charging to more than one account number) may be included em a single memorandum. However, full information must be provided for each access code requested. CELLULAR TELEPHONE SERVICE Requests for all cellular telephone services (including Blackberry, PDA data services, etc.) should be submitted by using the appropriate form from the department head (or account custodian) to the President of the University. The form is available from Telecommunications and Networking (extension 6626). The request must include the name of the primary user (or responsible person), department account number, type of cellular telephone desired, and extra equipment (spare battery, charger, carrying case, cigarette lighter connection, etc.). The department account will bo charged by IDT for initial telephone equipment acquisition, and subsequent monthly usage charges. Due to the nature of cellular tolophone equipment and usage areas, it is strongly recommended that Tolocommunications and Networking (extension 6626) bo contacted prior to request submission. Please see Policy F-42 regarding Cellular Telephones and Wireless Communications Devices. 800 TELEPHONE NUMBERS Requests for 800 telephone numbers should be submitted &em-by the department head (or account custodian) to tho Assistant Director of Tolocommunications and Networking. :¥be-ITS. The memorandum must include the purpose of the 800 service, department account numbevFOAPaccount number, existing telephone number (ring extension) where the 800 number will ring, directory listing information (if appropriate), and name and telephone number of a contact person. A work request will bo initiated for the requested 800 service. A lead time of approximately four (1) weeks is required. Tho department account will be charged by IDT for initial installation charges (if appropriate), and subsequent monthly usage charges. Discontinuance of the 800 service or changes to the ring extension require a memorandum from the department head (or account custodian) to the Assistant Director of Telecommunications and Networking ITS. Cross Reference: None Responsible for Implementation: Vice President for Finance and Administration/Vovasf and Vice President for Academic Affairs P-10 Appendix 5 Contact for Revision: Assistant Director of Telecommunications and NQtworkingDirector of Information Technology Services Forms: Cellular Request Form (available from Telecommunications and P-ll Appendix 5 Continuing Education, Outreach, and Public Sen ice Programs (A-32) Original Implementation: March 9, 1978 Last Revision: October 30, 2007January 25, 2010 The purpose o/Role and Scope of Continuing Education Stephen F, Austin State University (SFASU) has a Gtatod mission that includes a significant responsibility for vital community and professional outreach programs to the populations and constituencies it serves. This task is mot by offerings from throughout the university with outreach and special learning opportunities other than academic degree programs. continuing education is a university wide mission comprehensive program, whoso purpose it is to support the public service and outreach responsibilities of the university. Academic units or individuals who offer continuing education related activities must adhere to the principles of this policy. Definition Continuing education consists o/is-aft-organized evmtractivityies spemeoffered by a unit or individual that provides non-academic credit activities for the-participants such as enrichment experiences, workshops, short courses, certificate courses, training, life-long learning, leisure learning, camps, or travel. A reasonable fee may be charged for these activities in an amount sufficient to permit the university to recover the cost. Responsibility for Continuing Education at the University Individual colleges and uE/nits headed by a vice president will have administrative and programming responsibility for all activities that conform offering continuing education activities wUirshall have administrative and programming responsibilities.*®-^ definition of continuing education. All activities must be submitted by the administrator to his or her supervisor for approval. To bear the name of the university or any of its units, fees for all continuing education activities Should programs by outside groups be co sponsored by any college or other unit of the university, then all fees must be received directly and accounted for by the regular university accounting procedures. Facilities for continuing education activities must be reserved in accordance with university Policy B-l, Use of University Facilities, and Policy B- 2, Academic Space for P-12 Appendix 5 Non-Academic Activities. Academic programs will always be given priority for the use of university facilities. Othonvioo, tho program may not boar tho namo of tho university or any of its unite. Genoral calls, inquirios, and questions coming to tho campus about continuing education activities will bo routed to tho Office of tho Provost and Vioo Prooidont for Academic Affairs for roforral to tho appropriate college or unit of tho univorsity. The univorsity will maintain a schodulo of announced continuing education programs on a wob sito. It will bo tho responsibility of oach collogo or unit to assure that all schodulod continuing education programs are listed on the wob site. Awarding Continuing Education Units When ^programs ctivities result in the awarding of non-academic credit, such as Continuing Education Units (CEU's), it is the responsibility of the unit of the univorsity spoftseq/fering the continuing education aprogram ctivity to meet the most current guidelines established by the Texas Higher Education Coordinating Board and the Southern Association of Colleges and Schools relative to tho awarding of CEU's. It is the responsibility of the organization unit awarding the G&d%-non-academic credit to establish a transcript and keep the GBtJ-records on file for the appropriate period of timo. Fiscal Responsibilities The colleges, other units and persons who offer activities that conform to the definition of continuing education must comply with all applicable university policies and procedures and state and federal regulations. Some of the policies that apply relate to the following areas: collecting and disbursing funds, authorizing refunds, authorizing payroll or stipend items, purchasing equipment or supplies, reserving rooms, purchasing food or beverage, printing, using media marketing, engaging transportation, security and accounting for all funds associated with the program including a surplus or deficit. Facilities for Continuing Education Facilities for accommodating continuing education events must be reserved in accordanc with university policy B 1, Use of University Facilities and policy B 2, Academic Space for Non Academic Activities. Academic programs will always be given priority for tho use of university facilities. P-13 Appendix 5 Cross Reference: Use of University Facilities, Ppolicy B-l, and Academic Space for Non-Academic Activities, pPolicy B-2; Tex. Educ. Code § 54.545 Toxao Education Code Section 51.515 Responsible for Implementation: President and Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-14 Appendix 5 Distribution of SFA Alumni Foundation Scholarships (C- 51) Original Implementation: July 17, 2001 Last Revision: January 30, 2007January 25, 2010 Stephen F. Austin State University Alumni Foundation, Inc. ("Alumni Foundation") scholarships will be awarded by the following method: The SFA Alumni Foundation and the SFA Financial Aid Office will process the award through the billing and receivables (BR) accounting system. The scholarship will be posted as a credit to the student's account at SFA. The credit will show "SFA Alumni Fnd. Scholarship" in the description on the student's bill. The scholarship will ftet-be applied to any eligible charge.parking fines. However, the intent is not to apply these awards to parking fines. Any fluids remaining after the student's bill is paid in full (excluding parking fines) will be refunded to the student. If the student withdraws from school, the Alumni Foundation may be eligible for a refund, based on SFA's refund policy. The Alumni Foundation will notify the SFA Financial Aid Office of all Alumni Foundation scholarships to be awarded to SFA students. This notification will include the student's name, campus identification number, dollar amount of award, and school term of award. It should be received at the SFA Financial Aid Office at a date set annually by the financial aid officeby the following date: May 20 for Summer II, Fall, Spring, and Summer I. The SFA Controller's Office will bill the Alumni Foundation monthly for awards made through the billing and receivables -BR-accounting system. The bill will include each student's name, campus identification number, and dollar amount of award. This policy may be modified by mutual agreement between SFA and the Alumni Foundation, or rescinded if proper notice is received by SFA indicating that the Alumni Foundation requests such a change. SFA and the Alumni Foundation will work together to comply with all regulatory compliance issues imposed on SFA for scholarship distribution and reporting. Cross Reference: Memorandum of Understanding between Stephen F. Austin State University and Stephen F. Austin State University Alumni Foundation, Inc. dated May 18,2001. P-15 Appendix 5 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Associate Vice President for Budget and Finance and Administration Forms: None P-16 Appendix 5 Employee Affirmative ^cf/0/f/Recruitment Plan (E-69) Original Implementation: February 3, 2005 Last Revision: January 29, 200SJanuary 25, 2010 Stephen F. Austin State University's affirmative acr/o^/recruitment plan has been developed in accordance with principles designed to assure equal access to employment opportunities. These principles outline the intent and goals of the university's plan. Equal opportunity is the law of the land. In the public sector of our society this means that all persons, regardless of race, color, religion, sex, national origin, age, veteran status, or disability shall have equal access to positions in public service limited only by their ability to do the job. Vigorous enforcement of the laws against discrimination is essential. Equally important are affirmative, voluntary efforts to assure that positions in the public service are genuinely and equally accessible to qualified persons, without regard to their sex, racial or ethnic characteristics. Stephen F. Austin State University is committed to equal employment opportunities and strongly feels that increasing diversity should be a significant part of the hiring process. Employment discrimination and retaliation on the basis of race, color, national origin, sex, religion, age, veteran status, mental or physical disability, shall be strictly prohibited. It is the policy of the university to comply fully with all state and federal laws prohibiting employment discrimination and relevant court decisions interpreting those laws as it implements its affirmative acfr'orc/recruitment plan. The Texas Commission on Human Rights Act now codified in Chapter 461 oftheToxas Government Code and Chapter 21 of the Texas Labor Code, passed the 68th Texas Legislature in Special Session on June 26, 1983. Section 21.001 of the Texas Labor Code? includes the following general purpose of securing for Texans, including persons with disabilities, freedom from discrimination in certain employment transactions, in order to protect their personal dignity. In keeping with the spirit of this general purpose of the Act, Stephen F. Austin State University affirms the following?: It shall be the public policy of Stephen F. Austin State University not to discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, aad-age, veteran status, or disability status. Further, the university P-17 Appendix 5 shall take all necessary steps to ensure the employment and promotion of otherwise qualified classes who may be underrepresented in the agency's workforce. The university is committed to the principles of equal employment opportunity law and the spirit of equal access. Therefore, a written plan has been prepared to ensure that Stephen F. Austin State University's recruitment affirmative action/recruitment plan shall be properly implemented and no artificial barriers shall be intentionally or otherwise created to deny applicants or employees of the university's equal employment opportunities. The The plan document is available in the human resources office for review by university employees, applicants, and to the general public on request. PROGRAM RESPONSIBILITIES Being a results-oriented program, Stephen F. Austin State University's affirmative action/ recruitment plan shall have the support of the president, board of regents, and other management or supervisory personnel. Therefore, specific responsibilities shall be assigned and delegated to university management personnel to ensure that the necessary authority is available to implement the provisions of the plan. The president shall have ongoing responsibility for establishing recruitment policies and monitoring the implementation of the recruitment plan through periodic program reports. Further, the president shall review annually for purposes of revision or modification the recruitment plan, workforce analysis, and personnel policy and procedural systems including, but not limited to, recruitment, selection, promotions, job descriptions, classifications, compensation, discipline, or other terms and conditions affecting the equal employment opportunities of applicants or employees because of race, color, national origin, religion, sex, age, veteran status, or disability status. The director of human resources shall be designated as the recruitment/affirmative aetieftaffirmative action/recruitment officer for the university with the authority for administering the recruitment plan. It shall be the responsibility of the director of Human Resources to ensure that compliance with the university's recruitment/affirmation aetie&affirmative action/recruitment policies are implemented in an efficient and effective manner. The director of Human Resources shall provide periodic progress reports to the president outlining recruitment plan accomplishments and provide the necessary information required by the president for purposes of the plan's annual review. Specific procedures for the recruitment of faculty and staff can be found on the Human Resources website: http://www2.sfasu.edu/personnel/employment.html. P-18 Appendix 5 PROGRAM GOALS 1. To ensure objectivity, consistency, uniformity and job relatedness through design and implementation of appropriate personnel policy and procedural systems that affects the equal employment opportunities of the university's employees and applicants for employment. 2. To ensure objectivity, consistency, uniformity and job relatedness through design and implementation of appropriate personnel policy and procedural systems that affects the equal employment opportunities of the university's employees and applicants for employment. MONITORING THE RECRUITMENT AFFIRMATIVE ACTION/RECRUITMENT PLAN ACHIEVEMENT The director of Human Resources shall be responsible for administering Stephen F. Austin State University's affirmative actf/cw/recruitment plan and providing regular reports to the president. Utilizing such reports, the president shall monitor the implementation of the plan and identify any revisions necessary to assure effectiveness of the recruitment plan. Such reports may include the following: ■ Annual Recruitment Flan/EEO-Progress Report: This narrative report shall include an itemized summary of the program's achievements, progress and underutilization with accompanying recommendations. ■ Annual Workforce Availability Analysis: The workforce availability analysis compares percentages of Caucasian Americans, African Americans, Hispanic Americans, females, and males within the statewide civilian workforcerac/a/, ethnic and gender percentages ? by job category, of the national workforce to the percentages of Cxmcasianemployed in the Americans, African Americans, Hispanic Americans, females, and males to the university's workforce and is to be prepared annually by the director of Human Resources. The director of human resources shall review new hire and workforce detail, as prescribed in Section 21.552 of the Texas Labor Code, to compile the legislative required Equal Employment Opportunity report. This report, along with the EEO 4 report comparing EEO and job categories, will provide a racial, ethnic, and gender profile of university personnel by job categories. These workforce profiles shall be compared to the available racial, ethnic and gender African groups Americans, Hispanic Americans, and females in the statewide civilian labor force to determine the exclusion or underutilization by each job category, as mandated by Section 21.501 of the Texas Labor Code. Any underutilization shall be noted and strategies for recruitment of qualified African Americans, Hispanic Americans, and females will be recommended to the president. underutilized groups will be implemented. ■ Position Statistics/te/gm?/ Sources-Repe&: Human ^resources shall maintain data which lists applicants by protected class and referral source used. The Position Statistics report will P-19 Appendix 5 indicates class representation of the university's applicant pool and if any measures need to be taken to include new referral sources. ■ University EEO Report: The Human Resources director shall maintain a report showing the university structure with employees by EEO job category to monitor the representation of classes within the university's labor force. Cross Reference: Tex. Lab. Code §§ 21.001-. 556; Affirmative Action Policy E-4 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: None P-20 Appendix 5 Faculty/Staff ID Cards (F-13) Original Implementation: Unpublished Last Revision: January 30, 2007January 25, 2010 Employees wishing to use certain university facilities may be required to show a current faculty/staff identification card. Benefits eligible employees are entitled to purchase a faculty/staff identification card. Employees wishing to obtain an ID card should follow this procedure: 1. Complete a "Request for Staff/Faculty ID Card" form in Human Resources. 2. After Human Resources verifies employment, the employee takes the verified request form to the Card Services Office in the Student Center to have the ID card made. The/myrfee for a faculty/staff ID card is %5.00free. Theeis fee/or any replacement ID card is $7.00 andWxW be charged to the employee's account.-and This will be payable at the university Business Office in the Austin Building. A department has the discretion to pay for the faculty/staff ID card on behalf of employees who are required to have the ID as a condition of employment. ID cards must be validated annually in the Card Services Office in the Student Center. aftd-Sseparating employees are required to return ID cards during the checkout process. Retired faculty/staff are also entitled to purchase an ID card using the same process as outlined above. Cross Reference: None Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Student Servicesth® Student Center Forms: Request for Staff/Faculty ID Card (available in Human Resources) P-21 Appendix 5 Final Examinations (A-19) Original Implementation: June 16, 1982 Last Revision: April 21, 2007January 25, 2010 Faculty members conducting classes shall adbemminister final examinations according to te-the official schedule for administering final examinations published in the Schedule of Classes and distributed to the faculty by tho Provost and Vice President for Academic Affairs. Certain classes may be exempt from a final examination if determined appropriate by the department chair or director. Final examinations for any course not listed in the Schedule of Classes, including but not limited to distance education courses, \ntQn\Qtonline courses, and evening or weekend courses, should be scheduled in consideration of resource availability. No final examination may be administered after 5 p.m. on the last day of the semester. Exceptions may be made by the appropriate academic dean. Cross Reference: Faculty Handbook Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-22 Appendix 5 Food and Beverages in Academic Areas (B-8) Original Implementation: December 21, 1982 Last Revision: January 30, 2007January 25, 2010 The provisions of the policy for Use of University Facilities (B-1) govern the use of all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University (SFA). That policy provides that the university may establish additional procedures for the reservation and use of specific facilities; therefore, the aforementioned following provisions apply to regulations on use of food or drink in the library, classrooms and laboratories. Limited consumption of food or beverages is permitted in the public areas of the Steen Library. Consumption of food or beverages is prohibited in all indoor classrooms and laboratories. Exceptions to this policy may be granted with advance approval of the appropriate academic dean or designee. Consumption of food or beverages may be permitted, provided such permission does not conflict with law.—Consumption of food or beverages in Stephen F. Austin State University (SFA) academic buildings is permitted subject to the approval of the appropriate academic dean or designee, provided such permission does not conflict with other policies or laws. The provisions of the policy for Use of University Facilities (B 1) govern the use of all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the aforementioned provisions apply to regulations on use of food or drink in the Library, classrooms and laboratories. Cross Reference: Faculty Handbook, Tobacco Products (D-35.5); Use of University Facilities (B-1) Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-23 Appendix 5 Health and Safety (D-17) Original Implementation: February 11, 1977 Last Revision: October 19, 2006January 25, 2010 I. PURPOSE This document will establish for Stephen F. Austin State University the policy for the protection of the university's human and material resources and the maintenance of a safe and healthful environment complementary to the university's needs and the accomplishment of its goals. II. SCOPE The intention of this policy statement is to create among all members of the university community an awareness of and a commitment to an effective safety program. The primary concern of this program will be the safety and well-being of the students, faculty, staff and visitors. The program will be promoted through training, identification of hazards, and initiation of loss-control measures aimed at the overall reduction of accidents and risk. III. C0MM1TTEEENVIR0NMENTAL HEALTH, SAFETY, & RISK MANAGEMENT Responsibility and coordination of various aspects of the university's safety program is vested in the University Safety CommittQGEnvironmental Health, Safety, & Risk Management (EHS&RM) Department that reports to the vice president for Finance and Administration of the university. The Committee will be composed of the Hazardous Materials Officer, the Chief of University Police, the Radiation Safety Officer, and other faculty and staff members appointed by the Vice President for Finance and Administration. The Director of University Health Services, the Director, Environmental Health, Safety and Risk Management, the University Safety Officer, and the Assistant Safety Officer acting as the Workers Compensation Representative are ex officio members. W, COMMITTEE RESPONSBILITIES A.Will moot quarterly or at necessary intervals. B.Act as a clearinghouse and consultative organization for the University safety and health problems. P-24 Appendix 5 X.Act as an advisory body reporting to the President on the status of the University's safety control activities. /V. RESPONSIBILITIES The Risk Management for Texas State Agencies Guidelines, published by the State Office of Risk Management, is the program document for the university's safety program except as noted below. Responsibilities are assigned to individuals at appropriate levels of authority and expertise as follows. A. The responsibility for physical safety, fire protection, occupational health, emergency procedures, risk management, safety training, workers' compensation, and engineering controls is assigned to the university director of Environmental Health, Safety, and Risk Management (EHS&RM), who reports to the vice president for Finance and Administration. The university director of EHS&RM will assume the duties of accident prevention coordinator. The Assistant university safety officer acting as the workers compensation coordinator shall report to the university director of EHS&RM. B. The responsibility for control of hazardous materials, including use, storage, and disposal of regulated hazardous materials, as well as the responsibility for compliance with the Texas Hazard Communication Act, is assigned to the director of EHS&RM who reports to the vice president for Finance and Administration. SrC. The responsibility for radiological safety, including the purchase, transportation, use, storage, and disposal of radioactive materials is assigned to the radiation safety officer who reports to the president of the university. The radiation safety officer will assume the responsibility for the Radioactive Materials Management Program to assure compliance with the conditions of the license/registrations issued by the Texas Bureau of Radiation Control, Texas Department of Health. C.The responsibility for control of hazardous materials, including use, storage, and disposal of regulated hazardous materials, as well as the responsibility for compliance with the Texas Hazard Communication Act, is assigned to the Director, EHS&RM who reports to the Vice President of Finance and Administration, and the Hazardous Material Coordinator who reports to the President of the University. The responsibility for campus security, traffic control, criminal investigation, and civil order is assigned to the chief of University Police who reports to the vice president for University Affairs. The responsibility for the maintenance of the health of students and the initial care of the faculty and staff members suffering from minor occupational injuries or illness is assigned to the director of University Health Services, who reports to the vice president for University Affairs. P-25 Appendix 5 Vi. SUPPORT In addition to the aforementioned and specifically-assigned responsibilities, it shall be the general responsibility of all SFA employees and students to keep themselves informed of conditions affecting their health and safety, participate in training programs provided by their supervisors and EHS&RM, adhere to healthy and safe practices in their workplace, classroom, and laboratories, and advise their supervisor or instructors of serious hazards in the workplace, classroom or laboratory. Management and supervisors are responsible for protecting the health and safety of employees and students under their supervision by implementing SFA health and safety policies, practices, and programs, by ensuring workplaces and equipment are safe and well maintained, and by ensuring that workplaces or laboratories are in compliance with federal, state and local regulations. They are also responsible for the education of their employees and students in regard to proper job procedures and recognized hazards before making task assignments. VII. IMPLEMENTATION In all university activities and endeavors, safety is the first concern. The members of the university community shall comply with all federal, state, and local statutes, rules, regulations and codes by which the university is bound. They shall also attempt to comply with the spirit of any non-binding requirement which would further the university's intent to provide and maintain a safe and healthful environment in which to work, study, and live. Source of Authority: President Cross Reference: NemRisk Management Policy (E-43.5); Tex. Health & Safety Code § 502 Responsible for Implementation: President Contact For Revision: President, Director of Environmental Health, Safety, and Risk Management. Forms: None P-26 Appendix 5 Hiring of Non-Academic Personnel (E-27N) Original Implementation: Unpublished Last Revision: January 29, 2008January 25, 2010 General Employment Regulations In hiring university personnel, departments should use the following guidelines. 1. Equal Employment Opportunity. The university's policy is to employ the best qualified applicants. In no instance shall an officer or employee base the decision to hire, to promote, to discharge, to demote, to grant or to withhold employee benefits from any qualified individual on any criteria other than ability, training, experience, and performance. 2. Selective Service Registration. All offers of employment are contingent upon the applicant presenting proof that they have complied with the federal law requiring selective service registration unless they are exempt. 3. Authority to Hire. Employment openings, for classified positions requiring services of a person who is not a student of Stephen F. Austin State University, shall be listed on a "Classified Position Personnel Requisition" form. Tho form is initiated by the department head seeking to fill the position, accompanied by an approved job description, through channels to the appropriate vice president and/or president. Non classified (administrative/professional) positions shall bo listed on a "Department Notice of Vacancy Form." The form is initiated by tho department or the chair of the search committee, accompanied by an approved job description, and routed through channels to the appropriate vico president and/or president. Upon approval of tho president, the signed forms are routed to human rosourcos. Once approvals to hire are obtained through the appropriate channels, all positions are electronically routed to the Human Resources Department at which time the positions are posted on the online applicant system. 4. Listing of Employment Openings. Before the employing department recommends appointment of a candidate, classified positions shall be listed a minimum of five working calendar days and non-classified (administrative/professional) positions a minimum often working calendar days. 5. Advertising of Employment Openings. Employment advertisements hy any university department or official must contain the following statement: "An Equal Opportunity Employer" and must be approved in advance by the Office o/executive director Public Affairs and Marketingdcpartmcnt. of marketing. Human resources will list all faculty and staff openings with the local State Employment Office and suefr-other agencies as may be appropriate. Any department or search committee P-27 Appendix 5 electing to post vacancy notices on the Internet, must include the EEO notice as a part of the posting. 6. Employment of Aliens. The university shall abide by regulations of the U.S. Immigration and Naturalization Service. In compliance with the 1986 Federal Immigration and Naturalization haw Immigration Reform and Control Act of 1986, all employees hired after November 1, 1986, must complete Form 1-9 within 3 days of employment after which the form becomes a part of the individual's personnel record. 7. Offers of Employment. All offers of employment may be withdrawn based on the board of regents Board of Regents non-approval, failure to fulfill requirements, or for other cause. Cross Reference: 42 U.S.C. §§ 2000e, e-2,3; 12 U.S.C, sec. 2000e ot soq.; 8 U.S.C § 1324a% U.S.C., soc. 1321a ot soq.; Immigration Reform and Control Act of 1986, Pub. L. No. 99-603, 100 Stat. 3359 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: Classified Position Personnel Requisition, Department Notice of Vacancy Form (both available on\\nQ)None P-28 Appendix 5 Indirect Cost Recovery, Distribution* and Use (A-51) Original Implementation: October 26, 1999 Last Revision: April 21, 2009 January 25, 2010 Indirect costs are those incurred for a common or joint purpose that benefit more than one university unit/activity and which are not readily assignable to a specific unit/activity. They also are known as Facilities and Administrative (F&A) or overhead costs. These rates may be based on modified total costs or salaries and wages. In most instances, grantors and funding entities agree to reimburse the university for the overhead expenses of conducting research, education, and service projects. This policy establishes guidelines for the recovery, distribution, and use of such reimbursements from externally funded grants, contracts, and cooperative agreements. Indirect Cost Recovery The principal investigator (PI) or project director (PD) must include indirect costs in the proposed budget for all grants, contracts, and cooperative agreements at the maximum rate allowed by the sponsor. The PI or PD will use the university }s official, federally negotiated indirect cost rate for all grants and contracts (unless specifically limited by a state or federal sponsor), including those from for-profit entities and for fixed-price awards. In extraordinary circumstances, a PI or PD may request a reduction or waiver of full indirect costs from the Office of Research and Sponsored Programs (ORSP), which is then recommended to the president for approval Only the director of the Office of Research and Sponsored Programs (ORSP) or the director's designee is authorized Xomay negotiate alternative indirect cost rates with sponsors, which are then recommended to the president for approval. Fixed-Price Agreements Fixed-price agreements are awards where the university agrees to perform work or deliver a product within a specified period at a price agreed to in advance that is payable in full regardless of actual costs incurred. Therefore, there may be a residual balance. Internal operating budgets for fixed-price awards are required and award funds must be utilized during the term of the award in support of the statement of work. The PI or PD is responsible for charging all appropriate operating expenses to the award account, including payroll. After the project end date and all expenses allocable to the project have been recorded, an additional amount may be charged against any residual balance to ensure that the full negotiated indirect cost rate is charged to the account. P-29 Appendix 5 Once it is established that the PI or PD has met all required deliverables, unless otherwise specified by the sponsor the remaining balance will be transferred to a fixed-price pool account for the PI or PD, or into a pool account established for a university-recognized center. Fixed-price pool accounts are unrestricted funds that roll over each year that must be used for on-going research activities or to support the goals and objectives of the PI, PD, or center, in accordance with state and university regulations, policies, and procedures. Indirect Cost Distribution and Use The Texas Education Code, Section 145.001 provides that recovered indirect costs can be retained by state universities to support and encourage further research. The revenue from indirect cost reimbursements to SFA shall be allocated annually: 1. ORSP shall receive an amount sufficient to cover the total actual costs of operations as approved by the provost and vice president for academic affairs (VPAA). 2. The academic units that generated the recovered indirect costs shall receive fifty percent of any remaining revenue up to $100,000 and one hundred percent -of any remaining revenue in excess of $100,000-. Such units shall expend the funds for projects encouraging further research, including: a. conducting pre-grant feasibility studies; b. preparing competitive proposals for sponsored programs; c. providing carryover funding for research to provide continuity between externally funded projects; d. supporting new researchers pending external funding; e. purchasing capital equipment directly related to expanding the research capability of the institution; and f. providing research or project administrative costs not covered by the funding entity. All funds shall be expended to support research and sponsored programs at SFA according to the provisions of the Texas Education Code, Section 145.001. Additionally, the university shall report the actual amounts of money retained and expended under this policy and the estimated amounts for the next biennium in its report to the Legislative Budget Board as part of the biennial budget reporting process. ORSP shall calculate distributions of recovered indirect costs to academic units based on a formula recommended by the University Research Council and approved by the provost and VPAA. The distributions shall be made by the controller at the eiese-beginning of each fiscal year, based upon the previous year's indirect cost reimbursements. No allocations shall be made to academic units in any year in which the total indirect costs recovered are less than the actual amount expended by ORSP. P-30 Appendix 5 Cross Reference: Texas Education Educ. Code § 145.001 Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Director, Office of Research and Sponsored Programs Forms: Nem-Request for Indirect Cost Reduction or Waiver P-31 Appendix 5 Intellectual Property (D-20) Original Implementation: April 9, 1988 Last Revision: January 30, 2007January 25, 2010 Stephen F. Austin State University encourages participation by faculty, staff and students in scholarly research and creative activities that support and enhance teaching in its classrooms and laboratories. While research conducted at Stephen F. Austin State University is aimed at discovery and dissemination of knowledge, rather than profit from commercial application, the Board of Regents recognizes that questions regarding intellectual property rights may arise from such activities. The Board of Regents seeks through adoption of this policy to balance the interests of the public, the university and the inventor, author, or creator in intellectual property arising from research and creative activities conducted by employees of the university. The board further seeks to ensure that inventions, discoveries and creative works are used and controlled in an efficient and prudent manner which will result in maximum benefit to the public, the university and the inventor, author, or creator. Applicability This policy shall apply to all persons employed by Stephen F. Austin State University or a component thereof, and to anyone using facilities or funds subject to control or supervision by Stephen F. Austin State University. This policy, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee, including student employees. Unless otherwise excluded, this policy shall apply to intellectual property of all types (including any invention, discovery, trade secret, technology, scientific or technological development, computer software, conception, design, creation or other form of expression of an idea) regardless of whether the intellectual property is subject to protection under patent, trademark, or copyright laws, or common law. Copyright 1. Definitions a. Copyright is the ownership and control of the intellectual property in original works of authorship. Copyright ownership and the rights thereof are defined by federal law. It is the policy of Stephen F. Austin State University that all rights in copyright shall remain with the creator of the work unless otherwise subject to contractual legal obligations, or the work is a "work made for hire" as that term is defined by federal law. The university will not require faculty to produce "works made for hire" as part of their workload or as terms for continued employment unless the production of works made for hire were a part of the faculty member's original conditions of employment. b. A "work made for hire" is: P-32 Appendix 5 If expressly agreed to by the parties in a written instrument, a work specially ordered or commissioned by the university for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or an atlas, shall be considered a "work made for hire." An "instructional text" is a literary, pictorial, or graphic work prepared for publication and with the purpose of use in systematic instructional activities. Multimedia courseware specially commissioned by the university shall be included as a work made for hire. "Multimedia courseware" is defined as interactive teaching aids created and deployed with electronic tools. They may incorporate text, graphic video, and audio elements and may be mounted for remote access on a file server or pressed onto a CD-ROM for stand-alone distribution. Examples include but are not limited to, distance education courses, electronic textbooks, hypertext modules, simulation software, and databases containing numbers, images, or text. Financial support for course development or course reductions offered by the university to aid with course development of erhon-campus or distance education courses will not by itself constitute a work made for hire unless agreement is reached prior to such arrangements that the resulting course will be a work made for hire. (See Policy D-20A) 2. Ownership a. General In keeping with academic tradition, the university does not claim ownership of copyrightable intellectual property created by faculty during the normal course of their employment unless otherwise agreed in writing. Such property includes but is not limited to: course content, syllabi, course materials, course computer enhancements (courses in which 50% or more of content is delivered by electronic means to off campus students are governed by policy Policy D-20A), authored/created textbooks, books, articles, software, multimedia courseware, data sets in any format and similar works, the intended purpose of which is to disseminate the results of academic research or scholarly study created on the faculty's own initiative. Further, the university claims no ownership of faculty authored/created popular nonflction, novels, poems, musical compositions, software or other works of artistic imagination which do not result from projects commissioned or assigned by the university. Unless evidence of excessive use or abuse of university funds or facilities exists, the university will convey, upon request and to the extent consistent with its legal obligations, the copyright in such works to the individual faculty creator(s) or author(s). Faculty members will make such decisions and take such steps to protect works they own, with their discretion. b. Sponsored Research Agreements Copyright ownership of all material (including software) that is developed in the course of, or pursuant to, a sponsored research agreement (whether funded by a public or private agency or organization) shall be determined in accordance with the terms of the sponsored research agreement, or, in the absence of such terms, the copyright shall be negotiated with the author generally following the principles set forth in this policy. P-33 Appendix 5 c. Use of University Resources (1) Copyright in all material (including software) that is developed with the significant use of funds, space, hardware, or facilities administered by the university, including but not limited to classroom and laboratory facilities, but without any obligation to others in connection with such support, shall reside in the university. The university recognizes and affirms the traditional academic freedom of its faculty to publish freely without restriction. In keeping with this philosophy, the university will not construe the provision of office, computer or library facilities as constituting significant use of university funds, except for those situations where the funds were paid specifically to support the development of such. Faculty development leaves, faculty development grants, minigrants and research course reductions will not be construed as a significant use of university funds. (2) Copyright in works resulting from projects that are performed in whole or in part by any person with grants from funds administered by the university shall be determined in accordance with the terms of the support agreement or, in the absence of such terms, shall be negotiated by the parties involved. The university will determine whether to register and enforce the copyright on works it owns. d. Joint Works Works may be created through the joint efforts of faculty, employees working within the scope of employment, and/or others under contract to provide services. Such joint works would be jointly owned by the faculty member and University. Ownership agreements should be executed to memorialize the peztiesparties' intentions and avoid later confusion over ownership rights. Any of the joint owners may register and enforce the copyright in the names of all owners with accounting. In the absence of an agreement on the division of revenues, they will be shared pro rata after recouping costs. 3. Revenue Sharing a. Works Not Owned by Stephen F. Austin State University If the university does not claim ownership of an intellectual property, authors and creators of intellectual works not owned by the university may copyright the related work, publish it, register the copyright and receive any revenues which may result therefrom. b. Works in Which Stephen F. Austin State University Has a Property Interest (Generally, Commissioned Works or Works prepared Prepared in the course Course and scope Scope of Qmp\o^rmQntEmployment) (1) Royalty income received by the university through the sale, licensing, leasing or use of copyrightable material in which the university has a property interest will normally be shared with the author. Authorship for this purpose shall be determined by the president P-34 Appendix 5 or his designee. Compensation and division of royalties, if any, will be negotiated by written agreement prior to commencement of work on the project or as soon thereafter as practical. (2) In the event that an author contributes a personal work to the university, a written agreement accepting such contribution shall be executed. The terms of the agreement shall include a statement governing the division of royalties between the university and the author. (3) In cases of extramural funding, the terms of the funding agreement shall govern the division of any royalties that may result from commercialization of materials resulting therefrom. In the event that the funding agreement vests royalty rights in the university, and does not provide any royalty share for the author, the terms of Copyright, Section 3.b.(l) shall apply. No such royalty payment to the author, however, may violate the terms of the funding agreement. 4. Use of University or Agency Sponsored Materials a. Prior to the use of a work in which the university has an interest, the author will consult with the university through appropriate administrators, or provide a reasonable opportunity for such consultation, with respect to its use. The university reserves the right to use for instructional and research purposes, without obligation to make payment therefore, any works created by employees or students during their periods of employment or attendance and revisions or derivations of such works. b. When unresolved questions on use occur, they shall be referred to the president or his designee for resolution. 5. Revision of Materials Materials owned by the university under the terms of this policy shall not be altered or revised without providing the author a reasonable opportunity to assume the responsibility for the revision. If the author declines the opportunity to revise such material, the assignment of responsibility for the revision will be made by the president or his designee in consultation with the appropriate department or office. 6. Withdrawal of Materials a. Materials owned by the university under the terms of this policy shall be withdrawn from use when the university, in consultation with the author, deems such use to be obsolete or inappropriate. No withdrawal or other discontinuance that would violate the terms of any licensing or other agreement relating to the materials shall take place. b. The university may release to the author(s) the right to any work copyrighted in the name of the university. P-35 Appendix 5 7. Warranty Authors/creators must obtain appropriate permissions and releases necessary to avoid infringing or invading the personal rights of others. An author or creator of any work owned by the university under the terms of this policy shall warrant that, to the best of his/her knowledge, the work does not infringe on any existing copyright or other legal rights; that work not identified as quotations is the expression and creation of the author; that necessary permission for quotations and the like has been obtained; and that the work contains no libelous material or any material that invades the privacy of others. 8. Notice of Copyright Although the law does not require copyright notice for legal protection, the university encourages that such notice be applied to all works. All material owned by the University under the terms of this policy shall be protected by notice of copyright in the name of the University. The proper form of such notice is as follows: ©@ 20 , Stephen F. Austin State University. All rights reserved. The date should be the year in which the work was completed or in which it was published, whichever is earlier. The name of the university should be spelled out in its entirety. Works in the electronic environment are protected under copyright law just as print works are protected, from the moment of fixation in a tangible medium of expression. This is generally understood to include fixation in a central processing unit. Patents 1. Obligations a. Employees and others who are subject to this policy by virtue of their employment or use of university services or facilities shall disclose to the president or his designee (dean with copy to the general counsel), any invention or discovery (including those made under cooperative arrangements); provide complete information thereon; and cooperate with the university in protecting potential patent and know-how rights in accordance with Administration of Intellectual Property below. b. When an invention arises from a project specially commissioned by the university, created in the course of employment, or with use of university facilities or funds beyond the provision of office or library facilities, the inventor shall assign all rights, title and interest in and to any such invention to the university or its designee and assist the university or its designee in securing patent protection on the invention. In this instance, P-36 Appendix 5 the inventor shall, upon request, execute an invention agreement prior to commencement of the project, or as soon thereafter as practical. c. All parties privy to inventions, know-how, trade secrets, or other discoveries which may be patentable shall maintain such information in strict confidence, so as to protect the intellectual property (subject to internal disclosure as outlined above). Researchers, consultants, and other individuals hired on project which may involve the development of patentable property? shall execute a non-disclosure agreement. Notwithstanding this provision, all employees shall be subject to non-disclosure and confidentiality obligations on patentable or other trade secret information as a term and condition of employment. 2. Sponsored Research a. In cooperative undertakings sponsored by, or involving, third parties, provisions for the control of patents normally should be consistent with the general policy stated above. The provision of sponsored research funds shall trigger patents section l.b. above. However, it is recognized that in some cases the interests of other organizations (federal, industrial, etc.) will justify modifications of the general policy. In those cases, the provisions with respect to patents shall appear in the applicable memorandum of understanding or agreement for the review and approval of the president. It is intended and provided that disclosed inventions will be identified and managed in accordance with patent policy and procedures. b. Nothing in this policy shall be interpreted as precluding the acceptance of a contract, grant, or agreement that provides for ownership of inventions and patent rights by the cooperating agency or organization. 3. Royalties a. After a deduction of fifteen percent (15%) for administrative costs, and a deduction for the cost of patenting, licensing, and protecting of invention and patent rights, the net royalties or other income arising from an invention or discovery shall be divided as follows: (1) Fifty percent (50%) to the inventor(s); (2) Fifty percent (50%) to the university. b. Special facts concerning an invention may warrant a different distribution of royalties. Agreements with respect to royalties shall be in writing and signed by the president or his designee. Any agreement which grants the inventor more than fifty percent (50%) of the net royalties shall require approval of the Board of Regents. c. In the event that a person contributes an invention to the university, a written agreement accepting the contribution shall be executed. The terms of the agreement shall P-37 Appendix 5 include a statement governing the division of royalties between the university and the donor. 4. Use of Inventions and Discoveries a. Prior to the use of an invention or discovery in which the university has an interest, the employee responsible for the invention or discovery will consult with the university through appropriate administrators, or provide a reasonable opportunity for such consultation, with respect to its use. The university reserves the right to use for instructional and research purposes, without obligation to make payment therefore, any inventions or discoveries made by employees during their periods of employment and revisions or derivations of such inventions or discoveries. b. When unresolved questions on use occur, they shall be referred to the president or his designee for resolution. Trademarks, Service Marks and Trade Names 1. Trademarks and service marks may be any work, name, symbol, or device, or any combination thereof adopted and used by the university in the sale or advertising of goods or services to identify and distinguish such goods and services from those sold by others. 2. Trade names include any names used to identify Stephen F. Austin State University and its services. 3. The president or his designee shall be responsible for protection and licensure of trademarks, service marks, and trade names used by or related to Stephen F. Austin State University. 4. No licenses shall be granted to commercial entities for use of trademarks or service marks in connection with commercial services or stationery, alcoholic beverages, inherently dangerous products, products of obscene or disparaging characteristics, health related products, products classified as staple foods, meats, and natural agricultural products, and any other uses which in the opinion of the president or his designee would degrade the reputation or goodwill of the university. 5. Trademark licensing inquiries should be directed to the director of athletics for processing in accordance with our licensing program. If the licensing inquiry does not fall within our traditional licensing program, the request should be forwarded to the general counsel. Trade Secrets Trade secrets may be comprised, generally, of any formula, pattern, or device, or of information which gives one an opportunity to obtain an advantage over competitors who P-38 Appendix 5 do not know or use it in commercial applications. Trade secrets in which Stephen F. Austin State University maintains an interest shall be protected in accordance with the terms of sponsored research agreements or, if none exist, by any lawfiil means available to the university as determined by the president or his designee. Disclosure of Intellectual Property 1. Each individual subject to this policy has a duty to disclose promptly, in writing, and prior to any disclosure either to the public or for commercial purposes, any intellectual property created or discovered by such individual. Disclosure shall be made to the president or his designee (dean with copy to the general counsel). 2. The president shall adopt policies and determine procedures for appropriate institutional review of such disclosures. The duty to disclose arises as soon as the individual has reason to believe, based upon his/her own knowledge or upon information supplied by others, that the intellectual property may be protectable under patent, trademark, or copyright law, or common law. Certainty about the protections to be afforded such intellectual property is not required before a disclosure should be made. Each individual subject to this policy shall execute such declarations, assignments, or other documents as may be necessary to protect the university's interest in such intellectual property. 3. Disclosure of equity ownership or management participation in a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property created or discovered by an employee shall be made in accordance with Equity Ownership and Management Participation below. Equity Ownership and Management Participation 1. Ownership of any equity interest in a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property created or discovered by an employee shall be disclosed to the president or his designee. The president shall take any necessary steps to avoid injury to the university as a result of potential conflicts of interest arising out of such equity ownership. 2. No employee may serve as a director, officer, or employee of a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property in which the university has an ownership interest except upon request of, or prior approval by, the Board of Regents. Authorization to serve as a director, officer, or employee of such a business entity may be subject to one or more conditions established to avoid injury to the university as a result of potential conflicts of interest. 3. In accordance with Section 51.912 of the Texas Education Code, the names of all business entities that have an agreement with the university relating to the research, development, licensing, or application of intellectual property in which employees own P-39 Appendix 5 an equity interest, or for which such persons serve as director, officer, or employee, shall be reported to the governor and legislature on an annual basis. The university may accept equity interests as partial or total compensation for rights conveyed in agreements with business entities relating to intellectual property owned by the university. The university may negotiate, but shall not be obligated to negotiate, an equity interest on behalf of any employee as a part of an agreement between the university and a business entity relating to intellectual property created, discovered, or developed by the employee and owned by the university. Disposition of Income 1. In the disposition of any net income accruing to the university or a component from patents, trade secrets, or copyrights, first consideration shall be given to the promotion of research. 2. In the disposition of any net income accruing to the university or a component from licensure of trademarks or service marks, first consideration shall be given to creation or enhancement of scholarship programs. License Agreements 1. 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 and assigned to, or is otherwise owned by, the university shall require approval by the Board of Regents. 2. Agreements which grant a third party the right to reproduce, sell or use a copyrighted work, trademark, service mark, or trade name in which the university owns an interest shall require approval by the president. Administration of Intellectual Property 1. The president or his designee shall be responsible for administering this policy. Duties encompassed by this responsibility shall include filing appropriate registration forms and supporting documents with the Copyright Office, Library of Congress, or the Patent and Trademark Office, negotiating and drafting licenses and other royalty agreements, drafting necessary agreements for specially commissioned works, determining the applicability of this policy and appropriate law to intellectual property, and adoption of policies and procedures consistent with this policy statement and necessary for determination of ownership or protection of the university's interests in intellectual property. All referrals to the president or his designee, under this policy, shall follow established procedures and administrative channels of communication. 2. In determining the university's ownership interest in any intellectual property and measures necessary for appropriate protection or exploitation of such interests, the president or his designee may utilize assistance from designated university committees, P-40 Appendix 5 the general counsel, Texas attorney general, an appropriate private law firm or attorney, or corporations established for the purpose of managing intellectual property. 3. The responsibility for commercial marketing and licensure of intellectual property, and for maintenance of appropriate fiscal records, is assigned to the president or his designee. 4. All expenses of copyright registration, patenting and other forms of protection sought by the university shall be borne by the university, unless otherwise paid by a licensee through a negotiated licensing agreement. If the university fails or refuses to pursue within a reasonable period any registration of copyright or patent, or other protection, for intellectual property in which an employee has an ownership or royalty interest, the employee may independently pursue registration or other protection of such interest. All patents must be filed in the university's name, unless the university relinquishes all rights and interest to the intellectual property in writing. The individual shall be reimbursed for expenses related to such protective action, pursuant to a negotiated written agreement, if the university subsequently decides to assert and exploit the university's interests in the property. Cross Reference: Intellectual Property Rights for Distance Education (D-20A); Tex. Educ. Code §51.912 Responsible for Implementation: General Counsel Contact For Revision: General Counsel Forms: None P-41 Appendix 5 Interlibrary Loan (A-23) Original Implementation: March, 1985 Last Revision: January 30, 2007January 25, 2010 The Interlibrary Loan Services (ILL) supplements local library resources by providing access to materials not available in the Steen Library collection. The following statements regulate ILL activities. Eligibility for Borrowing. ILL borrowing is extended to SFA-faculty, staff? and students of Stephen F. Austin State University (SFA). Patrons must exhaust the limits of the ieeeASteen collection before requesting ILL services. Faculty members and students may request materials related to their own professional scholarly research or to course-related subject matter. Occasionally, service is available to library users not affiliated with SFA, subject to the discretion of the library director. Requests should be submitted to Interlibrary Loan Services through the library's Web site. Graduate and undergraduate students may request materials pertinent to their research or coursework. Occasionally, service is available to library users not affiliatod with SFASU. Any typo of library materials may be borrowed through ILL, Requests should be submitted to Interlibrary Loan Services through the Library's wob sito (http://libweb.sfasu.edu/proser/aoqser/ill.html). All conditions of use imposed by the lending library on items borrowed are to be strictly observed. Abuse of ILL regulations may result in the forfeiture of ILL borrowing privileges. (Examples: taking Library Use Only material out of the library, disregarding loan restrictions, repeated failure to return material by due date). ILL service may be refused to any patron whose Steen Library borrowing privileges are blocked. Abuse of ILL regulations by a patron may result in t
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Title | Minutes of Board of Regents of Stephen F. Austin State University. 2010, Volume No. 257 |
Subject |
Meetings Universities & colleges Stephen F. Austin State University |
Description | January 24-25, 2010, Volume No. 257 |
Date | 2010-01-24 |
Contributors | Mr. James Thompson Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Mr. Steve McCarty Ms. Morgan Tomberlain Mr. Melvin White Dr. Baker Pattillo Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook Ms. Yvette Clark |
Repository | East Texas Research Center |
Repository Link | http://library.sfasu.edu/etrc |
Location |
Nacogdoches County Texas |
Associated Dates | 2010-2019 |
Type | Publication |
Format | |
Rights | This item may be protected under Title 17 of the U.S. Copyright Law. It is available for non-commercial research and education. For permission to publish or reproduce, please contact the East Texas Research Center at asketrc@sfasu.edu |
Transcript | Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas January 24 and 25,2010 Meeting 257 TABLE OF CONTENTS BOARD MINUTES JANUARY 24 AND 25, 2010 MEETING 257 Page Approval of Minutes Board Order 10-13 Approval of October 11 and 12, 2009 and December 18, 2009 Minutes 1 Personnel Board Order 10-14 Staff Appointments for 2009-2010 .2 Changes of Status for 2009-2010 3 Retirements .5 Academic and Student Affairs Board Order 10-15 Memorandum of Agreement Between SFA and SFA Charter School Parent-Teacher Organization .6 Revision of Admission Standards 7 Financial Affairs Board Order 10-16 Chemistry Building Renovation Project Expansion and Budget Increase 8 Approval of the Fiscal Year 2008-2009 Annual Financial Report 9 Resolution to Acknowledge Review of Investment Policy and Strategy 9 Resolution to Approve Qualified Financial Institutions and Investment Brokers 9 Grant Awards 10 Additional Oracle Site Licenses 10 Information Technology Services Intrusion Detection System 11 Touchnet Application Service Provider Installment Payment and Cashiering Services 12 Approval of the SFA Charter School FY 2008-2009 Annual Financial Report 12 University Policies and Procedures Board Order 10-17 Policy Revisions 13 Reports President Audit Services Report Faculty Senate Student Government Association Board Order 10-18 Election of Officers 2010-2011 13 Appendices Appendix 1 - SFA Charter School PTO Agreement Appendix 2 - Resolution to Acknowledge Review of Investment Policy and Strategy Appendix 3 - Resolution to Approve Qualified Financial Institutions and Investment Brokers Appendix 4 - Grant Awards for Fiscal Year 2010 Appendix 5 - Policy Revisions Affirmative Action (E-4) Appearances before the Board of Regents (D-4) At Will Employment (E-66) Communication Services (F-29) Continuing Education, Outreach and Public Service Programs (A-32) Distribution of SFA Alumni Foundation Scholarships (C-51) Employee Recruitment Plan (E-69) Faculty/Staff ID Cards (F-13) Final Examinations (A-19) Food and Beverages in Academic Areas (B-8) Health and Safety (D-17) Hiring of Non-Academic Personnel (E-27N) Indirect Cost Recovery, Distribution and Use (A-51) Intellectual Property (D-20) Interlibrary Loan (A-23) Investments (C-41) Investments—Endowment Funds (C-41 .A) Issuance and Control of Campus Keys (B-15) Library Borrowing (A-26) Meeting and Conducting Classes (A-31) Markers and Monuments (D-47) Naming Guidelines (D-22) Norton HPE Complex (B-20) Procurement Card (C-44) Property Inventory and Management (C-42) Return to Work (E-62) Second Baccalaureate Degrees (A-73) NEW Selection of President, General Counsel, Director of Audit Services and Assistant to the Board of Regents (D-30) Skating and Skateboarding (D-32) Student Fiscal Appeals (C-57) Transfer Credits (A-45) Travel (C-49) Use of University Facilities (B-l) Withdrawal without Financial Clearance (C-39) Work Requests (B-32) Workers Compensation Coverage (E-55) Stephen F. Austin State University Minutes of the Meeting of the Board of Regents Nacogdoches, Texas January 24 and 25,2010 Austin Building 307 Meeting 257 Sunday, January 24, 2010 The regular meeting of the Board of Regents was called to order in open session at 4:00 p.m., Sunday, January 24, 2010, by Chair James Thompson. PRESENT: Board Members: President: Vice-Presidents: Mr. James Thompson, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Mr. Steve McCarty Ms. Morgan Tomberlain Mr. Melvin White Dr. Baker Pattillo 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 4:00p.m. and adjourned at 4:15 p.m. The Finance/Audit Committee convened at 4:15 p.m. and adjourned at 5:00 p.m. The Academic and Student Affairs Committee convened at 5:00 p.m. and adjourned at 6:08 p.m. The chair called for an executive session at 6:22 p.m. to consider the following items: Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations (Texas Government Code, Section 551.073) Consideration of Individual Personnel Matters Relating to Appointment, Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee, including but not limited to football coaches, executive director of marketing, executive director for alumni affairs, vice presidents and the president. (Texas Government Code, Section 551.074) The executive session ended at 8:00 p.m. and the board meeting was recessed for the evening with no further action. Monday, January 25,2010 The chair reconvened the board meeting in open session at 9:05 a.m. on Monday, January 25,2010. PRESENT: Board Members: Mr. James Thompson, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Mr. Steve McCarty Ms. Morgan Tomberlain Mr. Melvin White President: Vice-Presidents: Dr. Baker Pattillo Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Ms. Yvette Clark Other SFA administrators, staff, and visitors Regent Coleman led the pledge to the flags and provided the invocation. RECOGNITIONS Dr. Richard Berry introduced students from Rose Bruford College in England. Dr. Glenda Walker, director of the DeWitt Nursing School described an award received by the nursing school as a center of excellence in medical simulation and introduced faculty members instrumental in achieving that award. Robert Hill introduced the coaches and returning members of the 2008-2009 championship Lumberjack Football Team. -2- APPROVAL OF MINUTES Board Order 10-13 Upon motion by Regent Amaral, seconded by Regent Dickerson, with all members voting aye, the minutes of the October 11 and 12, 2009, regular meeting and the December 18, 2009, special meeting of the Board of Regents were approved. PERSONNEL Board Order 10-14 Upon motion by Regent Garrett, seconded by Regent Boyer, with all members voting aye, the following personnel items were approved: STAFF APPOINTMENTS FOR 2009 - 2010 Athletics Kurt Corbin, Assistant Football Coach, at a 10.5 month salary of $48,000 for 100 percent time, effective February 1, 2010. Shannon Dawson, Assistant Football Coach, at a 10.5 month salary of $76,139 for 100 percent time, effective February 1, 2010. David Gibbs, Assistant Football Coach, at a 10.5 month salary of $76,139 for 100 percent time, effective February 1, 2010. James C. Harper, Head Football Coach, at an annual salary of $131,143 for 100 percent time, effective February 1, 2010. Mark Nichols, Assistant Coach - Men's Basketball, at a 10.5 month salary of $33,256 for 100 percent time, effective August 10, 2009. Brandon North, Assistant Football Coach, at a 10.5 month salary of $26,000 for 100 percent time, effective February 1, 2010. Arlington Nunn, Assistant Head Football Coach, at a 10.5 month salary of $65,843 for 100 percent time, effective February 1, 2010. Todd Schonhar, Assistant Football Coach, at a 10.5 month salary of $59,460 for 100 percent time, effective February 1, 2010. Bruce Erik Slaughter, Assistant Football Coach, at a 10.5 month salary of $50,398 for 100 percent time, effective February 1, 2010. Harold Christopher Truax, Assistant Football Coach, at a 10.5 month salary of $65,639 for 100 percent time, effective February 1, 2010. -3- Jacob Willingham, Assistant Football Coach, at a 10.5 month salary of $26,000 for 100 percent time, effective February 1, 2010. Development Sid Walker, Vice President of Development, at an annual salary of $150,000 for 100 percent time, effective January 1,2010. Education Susan Broussard, Academic Advisor, at an annual salary of $36,000 for 100 percent time, effective November 2, 2009. Angela Lopez, Project Coordinator, at an annual salary of $30,000 for 55% time, effective October 19, 2009. Financial Aid Debra LaGrone, Financial Aid Officer, at an annual salary of $38,000 for 100 percent time, effective November 2, 2009. Library Ellen Caplan, Librarian III, at an annual salary of $50,000 for 100 percent time, effective December 7, 2009. Public Affairs Robin Johnson, Internal Communication Specialist, at an annual salary of $36,000 for 100 percent time, effective September 28, 2009. Residence Life Dennis Gregory, Manager of Residence Life Administration, at an annual salary of $40,300 for 100 percent time, effective January 4,2010. Gregory Rhodes, Hall Director, at an annual salary of $28,000 for 100 percent time, effective January 4, 2010. Student Affairs Terrence Frazier, Director of Multicultural Affairs, at an annual salary of $60,000 for 100 percent time, effective November 23, 2009. -4- CHANGES OF STATUS FOR 2009 - 2010 Biology Jennifer Edwards, from Research Specialist Lab Management at an annual salary of $19,643 for 100 percent time, to Laboratory Coordinator at an annual salary of $35,143 for 100 percent time, effective November 1, 2009. Communication and Contemporary Culture Sherry Williford, from Instructor of Communication at an annual salary of $53,182 for 100 percent time, to Instructor of Communication an annual salary of $53,182 for 100 percent time with a supplement of $437.50 per month for eight months for additional duties, effective October 1, 2009. Controller's Office Pamela R. Corman, from Interim Assistant Bursar at an annual salary of $45,000 for 100 percent time, to Assistant Bursar at an annual salary of $45,000 for 100 percent time, effective November 1, 2009. Bobby F. Williams, from Interim Bursar at an annual salary of $60,000 for 100 percent time, to Bursar at an annual salary of $60,000 for 100 percent time, effective November 1, 2009. Education Lisa Stone, from Coordinator of Advising at an annual salary of $41,560 for 100 percent time, to Director of Student Services and Advising at an annual salary of $62,000 for 100 percent time, effective January 18, 2010. Forestry and Agriculture Hans Williams, from Professor of Forestry at an academic year salary of $73,191 for 100 percent time, to Professor and Associate Dean of Forestry and Agriculture at an annual salary of $84,480 for 100 percent time, effective October 1, 2009. Liberal and Applied Arts Haskell Cooper, from Assistant Professor of Social Work at an academic year salary of $49,560 for 100 percent time, to Associate Dean of Liberal and Applied Arts and Assistant Professor of Social Work at an academic year salary of $49,560 for 100 percent time, effective January 4, 2010. -5- William Harris, from Adjunct Faculty in English at a salary of $14,375 for 100 percent time for four months, to Academic Advisor at an annual salary of $36,000 for 100 percent time, effective January 4, 2010. Library Michael Gillen, from Assistant Systems Administrator at an annual salary of $29,300 for 100 percent time, to Web Design Specialist at an annual salary of $34,400 for 100 percent time, effective December 14, 2009. Joseph StrahL from Database Administrator at an annual salary of $33,072 for 100 percent time, to Supervisor of Library Systems at an annual salary of $41,000 for 100 percent time, effective November 23, 2009. Registrar Lynda Langham, from Associate Registrar at an annual salary of $48,255 for 100 percent time, to Interim Registrar at an annual salary of $48,255 for 100 percent time with a supplement of $1,100 per month for interim duties until the position is filled, effective January 5, 2010. Student Rights and Responsibilities Peggy Scott, from Judicial Officer at an annual salary of $59,496 for 100 percent time, to Director of Student Rights and Responsibilities at an annual salary of $59,496 for 100 percent time, effective September 1, 2009. RETIREMENTS The following retirements were accepted: John Boyd, Associate Professor of Government, effective August 31, 2010. Tim Cherry, Professor of Agriculture, effective January 1, 2010. George Ann Leonard, Director of Assessment and Educational Accountability, Educator Certification, effective January 15, 2010. Max L. Morley, Associate Professor of Music, effective December 31, 2009. -6- ACADEMIC AND STUDENT AFFAIRS Board Order 10-15 Upon motion by Regent Dickerson, seconded by Regent Amaral, with all members voting aye, the following academic items were approved: MEMORANDUM OF AGREEMENT BETWEEN SFA AND SFA CHARTER SCHOOL PARENT-TEACHER ORGANIZATION Whereas, the board considered the following: University policy and state law require the Board of Regents to enter into a written agreement with any private support organization that assists the university in furthering its purposes and duties. The Charter School has recently organized a Parent-Teacher Organization (PTO). Meetings and discussions have been held proposing an agreement that reflects the understandings between the parties. Therefore, the Memorandum of Agreement between Stephen F. Austin State University and the Stephen F. Austin State University Charter School Parent-Teacher Organization was approved as presented and the president was authorized to sign the final document. REVISION OF ADMISSION STANDARDS Whereas, the board considered the following: The first specific strategy included in the university's strategic plan, Strategic Plan 2013: Preparing for the Future, is "Raise freshman admission standards to be effective no later than Fall 2012." As part of the institutional effort to increase student retention rates and enhance institutional excellence, an ad hoc committee appointed by the president crafted a recommended set of freshman admission guidelines that will place SFA on an equal footing with other comprehensive regional state universities in Texas. The recommendations are as follows: 1. Receipt of high school diploma (Recommended High School Program or the Distinguished Achievement Program) -and- 2. Meeting the following class rank and minimum test scores: -7- Therefore, the admissions standards were adopted for first-time freshmen as detailed above, to be effective with the freshman class of Fall 2012. FINANCIAL AFFAIRS Board Order 10-16 Upon motion by Regent Ertz, seconded by Regent Amaral, with all members voting aye, the following financial affairs items were approved: CHEMISTRY BUILDING RENOVATION PROJECT EXPANSION AND BUDGET INCREASE Whereas, the board considered the following: At the July 21, 2009 meeting the Board of Regents approved a project budget of $6 million for the Chemistry Building renovation. The regents further authorized the architectural firm of Perkins and Will to develop plans to renovate the building. At the October 12, 2009 meeting the regents selected J. E. Kingham Construction as construction manager at risk (CMR) for the project. The architectural assessment included life/safety issues, academic delivery considerations, infrastructure, mechanical, electrical, and plumbing needs, and building code compliance. Additional funding for the project is needed to address necessary life/safety issues, comprehensive infrastructure needs, and building code compliance. The project increase will be funded from a reallocation of the $10 million deferred maintenance projects. The project reallocation will be as follows: Currently Approved Budgets Recommended Budgets Chemistry Building Renovation $6,000,000 $7,350,000 SFA Theatre Renovation $700,000 $700,000 Power Plant 2 HVAC Upgrade $2,450,000 $1,600,000 Life Safety $700,000 $200,000 Science Research Center $ 150,000 $ 150,000 Total $10,000,000 $10,000,000 Therefore, the board approved the reallocation of the $10 million deferred maintenance tuition revenue bond funding to establish the Chemistry Building renovation project budget at a cost not to exceed $7,350,000. APPROVAL OF THE FISCAL YEAR 2008-09 ANNUAL FINANCIAL REPORT Whereas, the board considered the following: On November 19, 2009, the Stephen F. Austin State University Annual Financial Report for the fiscal year that ended August 31, 2009, was submitted to the Governor, Comptroller of Public Accounts, Legislative Budget Board and State Auditor as required by state law. Therefore, the Stephen F. Austin State University Annual Financial Report was approved as submitted. -8- RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY Whereas, the board considered the following: In accordance with the Texas Public Funds Investment Act, the university's investment policy and strategy must be annually reviewed by the governing board of the institution. In addition, the law requires the governing body to adopt a written instrument by rule, order, ordinance, or resolution stating that it has reviewed the investment policy and strategy. The resolution, included in Appendix 2, acknowledges the board's annual review of Policy C-41, Investments. Policy C-41 is included in the Policy Revisions, Appendix 5. Therefore, the Resolution to Acknowledge Review of Investment Policy and Strategy was approved as presented in Appendix 2. RESOLUTION TO APPROVE QUALIFIED FINANCIAL INSTITUTIONS AND INVESTMENT BROKERS Whereas, the board considered the following: The Texas Public Funds Investment Act requires the university to adopt a resolution by the governing body of the institution that approves qualified investment brokers. The following brokers/investment managers are listed in the resolution, submitted in Appendix 3: Merrill Lynch, Inc.; Alliance Bernstein International; Fayez Sarofim&Co.; LazardAsset Management; Cadence SCG-MAA; Columbus Circle Investors; Blackrock Investment Management, LLC; ING Investment Management; NFJ Investment Group L.P.; Davis Advisors; The Endowment Fund; Renaissance Access, LLC; and Torrey Asia Access, LLC; Citizens 1st Bank; Austin Bank; BancorpSouth; Commercial Bank of Texas NA; First Bank and Trust; Regions Bank; Regions Morgan Keegan Trust; US Bank, Texas Bank and Texpool. Therefore, approval was given to the financial institutions, investment managers and brokers presented in Appendix 3. GRANT AWARDS Whereas, the board considered the following: Since the fiscal year 2009-10 budget was approved, the university has received grant awards that total $8,763,386. Those include multi-year awards and represent a total increase of $657,651. Total grant awards allocable to fiscal year 2010 are $6,690,246. That total represents an increase of $533,962. The grant awards result from extensive faculty research engagement across many academic disciplines. The grants include direct federal, federal pass through, state and private awards. Therefore, the Board of Regents approved and ratified the additional fiscal year 2010 grant awards that total $553,962. The grant awards are detailed in Appendix 4. -9- ADDITIONAL ORACLE SITE LICENSES Whereas, the board considered the following: The Oracle operating system is required to run Banner software applications. In 2003, the university entered into an enterprise agreement with Oracle as one of the first steps to the Banner migration. As part of this agreement, the university is required to purchase additional site licenses when total headcount increases beyond the number already licensed with Oracle. Since the university experienced a large student headcount increase in the fall it is necessary to purchase additional site licenses to stay in compliance. The university anticipates continued growth and has included projected growth in price negotiations. In order to secure better pricing, the university wishes to purchase 1,600 additional Oracle licenses. The university has negotiated with Oracle to pay for the additional licenses over a three year period. The additional site licenses include the Oracle Database Enterprise Edition, the Diagnostics Pack, Tuning Pack, and Internet Application Server Enterprise Edition. The cost of the additional 1,600 additional licenses will not exceed $178,000, plus additional annual maintenance costs of approximately $40,000. Therefore, the additional Oracle licenses were approved at a cost not to exceed $178,000, plus additional annual maintenance costs. The additional licenses and annual maintenance will be paid from Information Technology Services (ITS) budgeted funds. INFORMATION TECHNOLOGY SERVICES INTRUSION DETECTION SYSTEM Whereas, the board considered the following: To further the university's efforts to secure its network and to further comply with Texas Administrative Code 202, the university would like to implement an network intrusion detection system. Information Technology Services (ITS) is currently evaluating several network intrusion detection solutions. Therefore, approval was given for the administration to select and implement an ITS intrusion detection system at a cost not to exceed $120,000. The fund source is higher education and designated funds. TOUCHNET APPLICATION SERVICE PROVIDER INSTALLMENT PAYMENT AND CASHIERING SERVICES Whereas, the board considered the following: Touchnet is an application service provider that the university utilizes to accept credit card payments. The university has been using a variety of Touchnet services since 1996. Recently, as Payment Card Industry (PCI) rules were created and being rigorously enforced, SFA moved the bulk of credit card processing to Touchnet's secure hosting solution. The university also engaged Touchnet to provide online stores to be set up in a PCI compliant environment. Touchnet meets PCI standards and provides SFA a safe harbor in the payment card industry. -10- In order to replace internally developed system applications and enhance functionality, installment payment capability and cashiering products need to be added to existing Touchnet services. The Touchnet components interface with and enhance the Banner student billing system. The total cost to implement both services will not exceed $140,000. Therefore, the Board of Regents approved purchase of the expanded Touchnet services to include installment payment and cashiering services. The fund source is higher education funds included in the fiscal year 2010 Banner project budget. APPROVAL OF THE SFA CHARTER SCHOOL FISCAL YEAR 2008-09 ANNUAL FINANCIAL REPORT Whereas, the board considered the following The SFA Charter School was established in July 2008; the first official school year for operations was 2008-2009. The Texas Education Agency requires a separate audit for the charter school. The SFA Charter School Annual Financial Report for the fiscal year that ended August 31, 2009, will be submitted to the Texas Education Agency by January 31, 2010. Therefore, the Board of Regents approved the SFA Charter School Annual Financial Report as submitted. UNIVERSITY POLICIES AND PROCEDURES Board Order 10-17 Upon motion by Regent Dickerson, seconded by Regent White, with all members voting aye, the policy revisions were approved as presented in Appendix 5. REPORTS PRESIDENT Dr. Baker Pattillo highlighted some upcoming events: February 18 Lone Star Legislative Summit, February 20 Showcase Saturday, March 9-13 Southland Conference Basketball Conference, and a possible board meeting on February 26. Because there is a need for Vice President Sid Walker to have an appropriate office, there will be a relocation of some administrative offices on the third floor of the Austin Building. The university received a letter from Governor Perry asking for a 5% reduction in expenditures for this biennial budget, which will amount to approximately $4 million. AUDIT SERVICES REPORT Director of Audit Services Gina Oglesbee presented a report on the following: Effort Reporting Audit Charter School Audit NCAA Compliance Audit Status of SAO Audits Update on Audit Plan -11- FACULTY SENATE Dr. Kevin Langford gave a presentation concerning a recent graduate, Michael Hitchcock, SFA '04, who is currently a medical student at UT Southwestern Medical School. STUDENT GOVERNMENT ASSOCIATION Ms. Courtney Harvey reported on activities for the Student Government Association including the move of the SGA offices, the spirit bus program, the SGA retreat, fall citizenship efforts, and spring events (MLK Day of Service, Big Event, Springfest, SFA Student Leadership Awards). REPORT FROM NOMINATING COMMITTEE AND ELECTION OF OFFICERS Board Chair Thompson named a nominating committee prior to the meeting as follows: Committee Chair James Dickerson, Bob Garrett, and Scott Coleman. Chair Dickerson announced the slate from the nominating committee for 2010-2011 officers: Melvin White as chair, Bob Garrett as vice chair and Richard Boyer as secretary. Upon motion by Regent Dickerson, seconded by Regent Amaral, with all members voting aye, the slate was elected. These officers will begin their terms at the beginning of the business portion of the full board meeting on April 20, 2010. The meeting was adjourned at 10:30 a.m. -12- Appendix 1 AGREEMENT BETWEEN STEPHEN F. AUSTIN STATE UNIVERSITY CHARTER SCHOOL AND SFA CHARTER SCHOOL PTO This agreement is made and entered into as of its approval at the January 25, 2010 SFA Board of Regents meeting between Stephen F. Austin State University for the benefit of its Charter School, hereinafter referred to as Charter School, and the SFA Charter School PTO, hereinafter referred to as the PTO. Whereas, the Charter School is part of the university as a whole and the university Board of Regents formally adopts this agreement in accordance with its policies and state law; Whereas, the PTO is an independent association which exists solely for the support of the university and its Charter School adopts this Agreement with its Bylaws; Whereas, the Charter School and the PTO provide and make available certain services and benefits to each other; Whereas, the Charter School and PTO work together for the sole purpose of promoting the education and educational experiences of the students enrolled at the Charter School; Now, therefore, in consideration of the covenants, promises, terms and provisions herein contained, the parties mutually agree to the following: GENERAL PROVISIONS ARTICLE 1 1. To the extent allowed by state law, this agreement shall remain in full force and effect until terminated by either party or suspended by a subsequent agreement. While every effort will be made to provide 60 days written notice for termination of this agreement by either party, Stephen F. Austin State University in accordance with its policy and state law may terminate this agreement at anytime. 2. This agreement is solely between the parties and cannot be assigned to another party without written approval from the non-assigning party. 3. This agreement in entered into in Nacogdoches County and proper venue shall be in Nacogdoches County, Texas. 4. This agreement is subject to and shall be construed under the laws of the State of Texas including Chapter 2255 of the Texas Government Code. The invalidity or illegality of any provision in this agreement shall not affect other terms or conditions of the agreement. 5. This agreement contains the entire agreement of the parties and no change or modification of this agreement is binding unless in writing and signed by the parties. ARTICLE II PTO agrees to provide the following services: 1. Serve as a conduit between the Charter School and the Charter School community with 1 Appendix 1 the PTO activities directly focused on the Charter School; 2. Offer support for the educational experiences of the Charter School; and 3. Support and execute fund-raising activities for the benefit of the Charter School, within any guidelines or limitations imposed by the university, Charter School, and state or federal law. ARTICLE III Charter School will provide the following: 1. To the extent available and allowable, reasonable space such as meeting rooms and opportunities to host approved events will be provided in the Charter School to the PTO to carry out its obligations under this Agreement; 2. To the extent available and allowable, Charter School staff may assist in formulating PTO communication materials, using staff time, computers, copy machines and telephones, but only to the extent that the content and costs are approved by the Charter School Leader. Extraordinary use of university and Charter School staff time, equipment and materials will not be permitted. 3. Upon receipt of monies raised through PTO fundraising activities (university receipt must occur within 24 hours of the conclusion of the fundraising event), all fundraising gift receipts and deposits will be managed by the university's Office of Development, in the same manner that all other university gifts are managed. Procedurally, monies should be delivered to the Charter School Leader by the PTO, whereby it will be counted and signed off by the PTO and Charter School Leader, then placed in a locked money bag with a transmittal form and delivered to the Business Office within 24 hours. The transmittal form and check copies will be provided to the Office of Development for gift processing and acknowledgement. 4. The Charter School hereby expressly recognizes that the president, vice-president, advancement officers, deans, faculty members, and teachers may reasonably assist from time to time in the development programs or may be needed or helpful in coordinating those PTO activities with the operations of the Charter School. No monetary or pecuniary enrichment will be made to any officer or employee of the university by PTO or its donors. Conduct of employees is governed by the university and when conflicts arise university policies shall govern the conduct of its employees. The Leader of the Charter School, the Chair of Elementary Education and the Dean of the College of Education shall serve in an ex-officio capacity on the PTO Board; 5. Assistance in research and investigation of individuals, foundations, businesses and corporations best qualified as prospective donors; and 6. Assistance in the coordination of follow-up activities after each solicitation and fundraising event. 7. Charter School shall not be required to provide the above resources if to do so in that particular situation would interfere with or have an adverse impact on the daily operation of the Charter School and/or the education of the students. Any determination of interference shall be in the sole discretion of the university and Charter School. Appendix 1 ARTICLE IV The Officers of PTO assure the Charter School that the activities of the PTO will always be in support of the objectives, goals and priorities of the Charter School, as communicated to it by the Dean of the College Education. PTO will only raise funds in the name of the university. The Charter School will provide a complete financial report to the PTO on the allocation and use of resources made available through the PTO. ARTICLE V Because the PTO will only raise money in the name of the university, the moneys will be deposited in university accounts, invested through the university investment program, and governed in accordance with university policy. ARTICLE VI Disbursement from PTO accounts will be supervised by the Dean of the College of Education and will be made only for expenditures consistent with the explicit purposes for which the accounts were established and the restrictions of the donors. Full documentation will be required for each disbursement. The university/Charter School reserves the right to accept or deny any gift or donation within its sole discretion. ARTICLE VII The allocation and budgeting of unrestricted funds is to be determined by the Dean of the College Education. Resources raised by other support organizations and for which the Charter School may serve as a Trustee of funds shall be allocated by the restrictions of the donor and by the support organization. Restricted gifts shall be allocated by the restrictions of the donor and by the Dean of the College of Education. The allocation, expenditure, and transfer of all resources will be reported to the Officers of the PTO regularly by the Leader of the Charter School. The Dean of the College of Education will assure that all expenditures, irrespective of the allocation process, are consistent with state law and the charter of the PTO. When in conflict, state law shall always supersede. Agreed to this the day of ,2010. SFA CHARTER SCHOOL PTO STEPHEN F. AUSTIN STATE UNIVERSITY By: President of the PTO SFA Charter School PTO By: Interim Dean, College of Education Appendix 1 By: Chair, Elementary Education By: Leader, SFASU Charter School By: President Appendix 2 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, The Texas Public Funds Investment Act requires that each university's investment policy and strategy must be annually reviewed by the governing board of the institution; and WHEREAS, the law also requires the governing body to adopt a written instrument stating that is has reviewed the investment policy and strategy; NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this resolution, does hereby approve the investment policy and strategy as reviewed on January 25, 2010; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25, 2010 meeting of the board. Attest: ^ JaiWs A. Thompson, Chair John R. Garrett, Secretary Appendix 3 BOARD OF REGENTS OF STEPHEN F, AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION APPROVING FINANCIAL INSTITUTIONS AND BROKERS FOR INVESTMENT TRANSACTIONS WHEREAS, The Texas Public Funds Investment Act requires the university to submit a resolution approving a list of qualified investment brokers to the governing body of the institution for adoption and/or review; and WHEREAS, the following firms are approved investment brokers: Merrill Lynch, Inc. Alliance Bernstein International Fayez Sarofim&Co. LazardAsset management, LLC ING Investment Management NFJ Investment Group L.P. Davis Advisors The Endowment Fund Renaissance Access, LLC Torrey Asia Access, LLC WHEREAS, the following firms are approved financial institutions: Citizens 1st Bank Austin Bank BancorpSouth Commercial Bank of Texas NA First Bank and Trust Regions Bank Regions Morgan Keegan Trust US Bank Texas Bank Texpool NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this resolution, does hereby approve the above listed firms for investment transactions by Stephen F. Austin State University; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25, 2010 meeting of the board. s A. Thompson, Chair John R. Garrett, Secretary Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Report to the Board of Regents Direct Federal Awards More Bugs in the Woods FY10 FY 2010 Award: $2,000 Total Award: $2,000 (Challenge Cost Share Agreement) Sponsor: Forest Service, U.S. Department of Agriculture Term (this action): September 23, 2009 - September 30, 2014 Description: This project will provide interpretation/conservation education programming at elementary schools, community events, after school programs, and on-site for family groups and children at National and State forests in Texas and will train bilingual high school or college students in associated programming at the various outreach venues. PI/PD: Dr. David Kulhavy, Forestry Subtotal FY 2010 Awards (this report) = $2,000 Subtotal Direct Federal Awards (this period) =$2,000 Federal Pass-through Awards Pineywoods Area Health Education Center (AHEC) FY 2010 Award: $89,000 Total Award: $89,000 (Subcontract - renewal) Sponsor: U.T. Medical Branch - Galveston (DHHS) Term (this action): September 1, 2009 - August 31,2010 Description: The purpose of this project is to build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics StateView Program Development and Operations for the State of Texas FY 2010 Award: $17,364 Total Award: $ 17,364 (Subaward - renewal) Sponsor: AmericaView, Inc. (U.S.G.S., Department of the Interior) Term (this action): October 1, 2009 - June 30, 2010 Description: Texas View is a consortium of 14 universities, federal, state, and local entities dedicated to promoting remote sensing through a comprehensive program of research, education, and outreach activities. PI/PD: Mr. P.R. Blackwell, Forestry Special Education Recruitment and Retention FY 2010 Award: $14,245 Total Award: $ 14,245 (Subaward - renewal) Sponsor: Texas A&M - Texarkana (U.S. Department of Education) Term (this action): September 1, 2009 - June 30, 2010 Description: The objective of this agreement is to implement and support work related to the State of Texas special education grant, which may include workshops, scholarships, and stipends. PI/PD: Dr. Melanie Jephson, Human Services Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Special Education IDEAS (ARRA Stimulus Funds) FY 2010 Award: $11,952 Total Award: $26,891 (Formula) Sponsor: Texas Education Agency (U.S. Department of Education) Term (this action): July 9, 2009 - September 30, 2011 Description: These funds will be used by the SFA Charter School for a counselor and the services of a speech pathologist, diagnostician, and ARD/IEP facilitator. PI/PD: Lysa Hagan, Elementary Education Geriatric Education Center (GEC) FY 2010 Award: $8,459 Total Award: $8,459 (Interagency Contract - renewal) Sponsor: U.T. Medical Branch - Galveston (DHHS) Term (this action): October 27, 2009 - June 30, 2010 Description: The purpose of this federally sponsored program is to help provide high-quality, continuing education in geriatrics and to improve health care for older adults including those in rural communities. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Child Care Quality Improvement (ARRA Stimulus Funds) FY 2010 Award: $6,000 Total Award: $6,000 (Interlocal Agreement) Sponsor: Workforce Solutions Deep East Texas (DHHS) Term (this action): September 21, 2009 - November 5, 2009 Description: Funds were provided for the purchase of equipment, materials, and supplies that will improve the quality of care in the Early Childhood Laboratory. PI/PD: Ms. Lori Harkness, Elementary Education Etiquette + Protocol = Success FY10 FY 2010 Award: $5,000 Total Award: $5,000 (Interlocal Agreement - renewal) Sponsor: Angelina College (THECB, U.S. Department of Education) Term (this action): October 14, 2009 - April 30, 2010 Description: The purpose of this project is to better prepare Career and Technology students for success in the workplace by inviting each regional school district to select two students to attend an intensive, one-day training on etiquette and professionalism as it relates to the work world. PI/PD: Ms. Mary Olle, Human Sciences MLKDay of Service FY 2010 Award: $1,000 Total Award: $ 1,000 (Grant) Sponsor: North Carolina Campus Compact (Corporation for National & Community Services) Term (this action): October 1, 2009 - January 18,2010 Description: The goal of this grant is to honor the memory of Dr. King by making the national holiday a day of service. SFA will engage a minimum of 150 student volunteers and 10-15 faculty and staff volunteers to complete 15-18 community projects for a total of 825 service hours. PI/PD: Dr. Jamie Bouldin, Student Life Prepared by the Office of Research & Sponsored Programs 9 Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Fall Counselor's Network Program FY 2010 Award: $800 Total Award: $800 (Interlocal Agreement) Sponsor: Angelina College (THECB, U.S. Department of Education) Term (this action): October 1, 2009 - November 15, 2009 Description: Funds are provided to host a Counselor's Network Workshop for counselors in regional public schools. PI/PD: Dr. Le'Ann Solmonson, Human Services Subtotal FY 2010 Awards (this report) = $153,820 Subtotal Federal Pass-through Awards (this period) =$168,759 State Awards Pineywoods Area Health Education Center (AHEC) FY 2010 Award: $154,999 Total Award: $ 154,999 (Subcontract - renewal) Sponsor: U.T. Medical Branch - Galveston Term (this action): September 1, 2009 - August 31,2010 Description: The purpose of this project is to build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Master College Readiness Special Advisor FY 2010 Award: $80,000 Total Award: $ 160,000 (Interagency Agreement - renewal) Sponsor: Texas Higher Education Coordinating Board Term (this action): September 1, 2009 - August 31, 2011 Description: Funding is provided for a Master College Readiness Special Advisor to serve as a regional liaison, to offer presentations on College and Career Readiness (CCR), and to assist higher education faculty in refining and furthering CCR Standards and implementation strategies . PI/PD: Debra Kiesel, Academic Affairs. Disability Services - Reader Services 10-11 FY 2010 Award: $60,000 Total Award: $60,000 (Interagency Agreement - renewal) Sponsor: Texas Department of Assistive and Rehabilitative Services Term (this action): September 1, 2009 - August 31, 2011 Description: This contract provides qualified readers for eligible visually impaired students during classes, associated labs, and outside the classroom. PI/PD: Mr. Chuck Lopez, Disability Services Pine Tip Moth Impact Project FY 2010 Award: $11,475 Total Award: $ 11,475 (Interagency Agreement) Sponsor: Texas Forest Service Term (this action): January 1, 2010 - September 30, 2010 Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Description: This cooperative project on Pine Tip moths provides research services for the Texas Forest Service in the form of an SFA graduate student's thesis research. PI/PD: Dr. Dean Coble, Forestry Charter School Technology Allotment FY 2010 Award: $6,418 Total Award: $6,418 (Formula) Sponsor: Texas Education Agency Term (this action): September 1, 2009 - August 31,2011 Description: These funds will be used by the SFA Charter School for technology improvements. PI/PD: Lysa Hagan, Elementary Education Subtotal FY2010 Awards (this report) = $312,892 Subtotal State A wards (this period) = $392,892 Private Awards Pulmonary Health Initiative FY 2010 Award: $20,000 Total Award: $20,000 (Grant) Sponsor: University of North Texas (Pfizer Foundation) Term (this action): October 1, 2009 - September 30, 2010 Description: The Pineywoods Area Health Education Center (AHEC) and the SFA School of Nursing will partner with Nacogdoches Memorial Hospital to implement and coordinate a Pulmonary Health Initiative in Nacogdoches County. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics Geospatial Support for the City of Nacogdoches FY 2010 Award: $20,000 Total Award: $20,000 (Interlocal Agreement) Sponsor: City of Nacogdoches Term (this action): September 1, 2009 - August 31,2010 Description: Services include geodatabase maintenance, access, backup services, technical support, and data distribution and coordination for the City. PI/PD: Mr. P.R. Blackwell, Forestry Development of an ArcGIS Extension for Urban Watershed Management Assistance FY 2010 Award: $10,000 Total Award: $ 10,000 (Subaward) Sponsor: University of Northern Iowa (City of Cedar Falls) Term (this action): June 15, 2009 - January 31, 2010 Description: An ArcGIS Urban Watershed Management Assistance modeling tool will be developed that will integrate spatial data layers to create various maps and that prioritizes and ranks landforms in potentially environmentally sensitive areas. PI/PD: Dr. Yanli Zhang, Forestry Prepared by the Office of Research & Sponsored Programs Appendix 4 Grant awards for FY10 awarded between September 15, 2009, and December 18, 2009 Welch Chemistry Departmental Research FY 2010 Award: $8,750 Total Award: $35,000 (Grant - renewal) Sponsor: Robert A. Welch Foundation Term (this action): June 1, 2010 - May 31, 2011 Description: Funds from this research award to the Chemistry Department will be used to award scholarships to undergraduate students, to give summer fellowships to graduate students, to purchase expendable supplies, and to repair instruments. PI/PD: Dr. Michael Janusa, Chemistry Poultry Science Education Student Recruitment FY 2010 Award: $3,000 Total Award: $3,000 (Grant) Sponsor: U.S. Poultry and Egg Association Term (this action): November 3, 2009 - August 31, 2010 Description: Funds are provided to aid in recruiting efforts directed at high school and community college students to attract majors in Poultry Science. PI/PD: Dr. Joey Bray, Agriculture, Poultry Research Center Digitization of Charles S. Taylor Papers FY 2010 Award: $2,500 Total Award: $5,000 (Grant) Sponsor: Texas State Genealogical Society Term (this action): November 11, 2009 - December 1, 2010 Description: Funds are provided to complete the digitization of the Charles S. Taylor Papers and other historical documents as approved by the sponsor. PI/PD: Ms. Linda Reynolds, Steen Library, East Texas Research Center Development and Validation of a GIS Algorithm to Assess Reservoir Topography and Volume FY 2010 Award: $1,000 Total Award: $ 1,000 (Contract) Sponsor: CRA, Inc. Term (this action): September 20, 2009 - July 30, 2010 Description: This research will use sample data andArcGIS software to investigate accurate algorithms to interpolate topographical data for high-accuracy calculation of contour and reservoir volume. PI/PD: Dr. Yanli Zhang, Forestry Subtotal FY 2010 Awards (this report) = $65,250 Subtotal Private Awards (this period) = $94,000 Total FY2010 Awards (this report) = $533,962 Total Grant Awards (this period) = $657,651 Note: • Amounts are based on award notices as they are received from the funding agency, not balances in funds/accounts. • Does not include financial aid or gift accounts. Prepared by the Office of Research & Sponsored Programs Appendix 5 Policies for Board Review January 25, 2010 p-l Appendix 5 P-2 Appendix 5 Affirmative Action (E-4) Original Implementation: Unpublished Last Revision: April 21, 2007January 25, 2010 Stephen F. Austin State University is fully committed to the national and state goal of affording equal employment opportunity to all persons without regard to race, color, sex, religion, age, national origin, veteran status, or physical or mental disability. The university's fundamental policy will be to provide equal employment opportunity in all of its operations and in all areas of employment practices and to assure that there shall be no discrimination against any employee or applicant for employment on the grounds of race, color, sex, religion, age, national origin, veteran status, or physical or mental disability. The university policy extends to recruiting, hiring, training, compensation, overtime, job classifications, work conditions, promotions, transfers, employee treatment, suspensions, terminations, layoffs, return from layoffs, tuition aid, recreational programs, and all other terms, conditions, and privileges of employment. The following special guidelines apply to University employment practices. 1. Provide equal pay for equal work. 2. Provide hiring standards that do not discriminate on the basis of race, color, national origin, religion, sex, age, disability, and Vietnam Era veterans, or veteran status. 3. Take affirmative action that will open up job opportunities on all levels to women, to minorities, to disabled individuals, and to Vietnam era veterans. In general, an employer may hire the individual best qualified to perform a particular job. Federal regulations require proof that the search for the best qualified applicant was conducted actively among those groups usually discriminated against and that a major effort was made to find the best qualified individual by actively seeking applications from such groups. 4. Requirements must be job related and qualifications must be the minimum needed for entrance to a given job, not the maximum expected after experience is acquired. 5. Recruiting efforts must reach minority and women applicants. 6. Selections must be made following strict guidelines that prevent discrimination in all phases of the selection process: job analysis, uniform classification, retention and maintenance of applications, interview practices, and notification of results of the selection process. Appointments must be made considering only job related factors. Additional information concerning the university's affirmative action policy, guidelines for recruiting, screening, interviewing, employee selection, record keeping, employee training, performance management and new employee orientation can be obtained from the director of Human Resources. P-3 Appendix 5 Cross Reference: U.S. Constitution, Amendment XIVU.S. Const, amend. XIV, § 1; % U.S.C., ooo. 1321a otsoq.3 U.S.C. § 1324b; 20 U.S.C., boo. 1681otooq.20 U.S.C. §§ 1681, 1684; 29 U.S.C. §§ 206, 621, 623, 793-29 U.S.C., ooc. 206, ooc. 621 ot ooq.; 29 U.S.C., oooo. 793 and 791; 42 U.S.C. §§ 2000d, 2000e-2 - 2000e-3, 6101-6102M U.S.C., sec. 2000d et peg., soo. 2000e et seq., oeo. 6101 et soq.; Texas Civil Practice and Remedies Code, Chapter 106rex Civ. Prac. & Rem. Code § 106.001; Texas Human Resourcos Code, ooc. 121.001 ot soq.rex:. Hum. Res. Code §§ 121.001, .0030; Texas Government Codo Soc. 657.002 ot ooq.7ex Gov 't Code §§ 657.002-. 007; Texao Labor Code Soc. 21.101 otsoqTex Lab. Code §§ 2l.001-.556; Texas Constitution Article I, sec. 3a7ex. Const, art I, § 3a; Texas General Appropriations Act Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources and General Counsel Forms: None P-4 Appendix 5 Appearances before the Board of Regents (D-4) Original Implementation: January 19, 1988 Last Revision: October 11, lOOSJanuary 25, 2010 Special appearances as requested by the Board or President: The chair of the Board of Regents or the president (as approved by the board chair) may invite individuals to appear before the board or one of its committees (as approved by the committee chair) for specific purposes. The chair of the Faculty Senate and the president of the Student Government Association shall have the opportunity to provide a report at each quarterly board meeting. Requests to address the board: Requests to appear before the board to make comments on a specific agenda item must be received by the assistant to the board Office of the Board of Regents in writing no later than twenty-four (24) hours before the board meeting at which the individual wishes to speak. The request should set out clearly the nature of the subject matter to be presented relating to a specific board agenda item. In making a request to appear before the board, individuals must give their names and any relevant title or affiliation. Comments regarding non-posted agenda items may be submitted to the assistant to the board Office of the Board of Regents in writing, at any time, for distribution to the regents. Time allocation: The board will allow up to twenty (20) minutes for public comment per agenda item. An individual speaker will be permitted three (3) to five (5) minutes for a presentation. The board will allow a total of up to ninety (90) minutes for public comments per regular quarterly meeting. Copies of speakers' comments, and/or other written materials for distribution to the Board of Regents will be accepted. Public comments will take place during the scheduled public comment period at the beginning of each regular quarterly meeting. Other meetings: While a specific period for public testimony will be limited to the regular quarterly meetings, written comments are welcome for any scheduled meeting of the Board of Regents. Forward one copy of your comments to the assistant of the board Office of the Board of Regents for distribution to the regents. Scheduling of speakers: When the number of requests to address the board at a given session and for a specific agenda item exceeds the time available, requests will be approved based on the order the written request was received by the assistant to the bea*4Office of the Board of Regents. If, by virtue of time or other constraint, a speaker is not able to present his/her comments, said comments will be accepted and distributed to the Board of Regents at the meeting. P-5 Appendix 5 Special requests: Special requests to appear before the board for comments at times other than the regular quarterly meetings can be submitted to the assistant to board Office of the Board of Regents for consideration by the chair of the Board of Regents. Cross Reference: Tex. Educ. Code § 51 J57Texas Education Code, Chapter 51, Section 51.355; Board of Regents Rules and Regulations Responsible for Implementation: President Contact for Revision: President Forms: None P-6 Appendix 5 At-Will Employment (E-66) Original Implementation: July 15, 2003 Last Revision: January 27, 2009January 25, 2010 The following non-classified, academic and non-academic employees serve at the discretion of the university and are considered at-will employees, whose employment may be terminated with or without cause at any time by the university or the employee. ■ All positions reporting to the Board of Regents including but not limited to the President, General Counsel, Director of Audit Services, and Assistant to tho Board of Regents Coordinator of Board Affairs. ■ All Vice Presidents/Provost including Associate Vice Presidents/Associate Provost ■ All Deans including Associate Deans ■ All Directors ■ All Department Heads and Chairs ■ All Coaches ■ All Charter School Teachers ■ All Attorneys and Auditors ■ All Temporary Staff Employees Any appointment included in this list which is filled by a tenured employee will not affect the employee's tenure status. Tenured employees removed from administrative assignments under this policy may be reassigned to a faculty position. The university may choose to reassign an at-will employee under this policy, but such reassignment is not guaranteed. Additionally, the university will endeavor to give a terminated employee under this policy a 30-day notice, although notice is not required. Any decision to terminate an at-will employee must be reviewed by the general counsel and/or director of human resources for legal considerations. Termination of at-will employees below the vice president level must be approved by the appropriate vice president and reported to the president and board of regents. The Board of Regents must approve termination of at-will employees at the vice president level or above. All such employees will be given an opportunity to resign in lieu of at-will termination, unless the termination is clearly for cause. The terms of resignation must be approved by the same process outlined for termination above, including legal review by the general counsel and/or director of human resources. In regards to this policy, and the employee's completion of the 180-day probationary period, there is no contradiction. The 180-day probationary period is the designated time frame for the new employee to demonstrate their capability to perform their job tasks in a P-7 Appendix 5 satisfactory manner. The completion of this evaluation period does not convey a permanent status to employees listed in this policy, and it does not negate the at-will status for either employee or employer. Any agreements that in any way modify this policy must be made in writing and must contain the signature of the president, appropriate vice president, and the university Board of Regents. Cross Reference: None Responsible for Implementation: President Contact For Revision: General Counsel Forms: None P-8 Appendix 5 Communication Services (F-29) Original Implementation: December 8, 1987 Last Revision: January 30, 2007 January 25, 2010 Information Technology Services (//^Telecommunications and Networking) is responsible for the administration of University Stephen F. Austin State University (SFA) communication services. These services consist of the installation, maintenance, and operation of the university-owned telephone switch, connective infrastructure, associated services, cellular services, and all outside telephone lines connecting to S¥Auniversity locations and billing. All telephone services exist primarily for the daily conduct and transaction of official university business (except for student dorm telephones and campus pay phones). Personal local calls may be made but should be minimized. Personal toll calls must be charged to home telephones, personal telephone calling cards, or reimbursed to the department. Reimbursements for personal calls on a university telephone should be coordinated with the department head (or account custodian). It is the responsibility of the department head (or account custodian) to review all telephone bills to ensure compliance with the usage policy. All charges for telephone services, including campus telephone lines, 800 numbers, distance toll calls (long distance access codes), and cellular telephones remain the responsibility of the department head (or account custodian) until written notification is received by the Assistant Director of Telecommunications and Networking ITS for their discontinuance. EQUIPMENT INSTALLATION/RELOCATION/ALTERATION and Requests for installation, relocation, alteration, or repair of telephone equipment should be submitted to the 77^ Help Desk at extension 1212 or via the web at https://forms.sfasu.edu/its/computer_help.html. The request must include the service requested or the nature of the problem, telephone number of the affected equipment, building and room number, department account number, and telephone number and name of a contact person., A A-work order will be issued, and upon completion, the appropriate account wH\-may be charged by IDT if appropriate. LONG DISTANCE ACCESS CODE Requests for long distance access codes should be submitted from the department head (or account custodian) to the Assistant Director of Telecommunications and Networking. The request should include the requesting individual's namo, social security number, and department account number. Requests for multiple long distance access codes (for charging to more than one account number) may be included on a single memorandum. However, fall information must be provided for each access code requested. P-9 Appendix 5 LONG DISTANCE ACCESS CODE Requests for long distance access codes should be submitted from by the department head (or account custodian) to ITS tho Assistant Director of Telecommunications and Networking, The request should include the requesting individual's name, Campus ID number, and department account number. Requests for multiple long distance access codes (for charging to more than one account number) may be included em a single memorandum. However, full information must be provided for each access code requested. CELLULAR TELEPHONE SERVICE Requests for all cellular telephone services (including Blackberry, PDA data services, etc.) should be submitted by using the appropriate form from the department head (or account custodian) to the President of the University. The form is available from Telecommunications and Networking (extension 6626). The request must include the name of the primary user (or responsible person), department account number, type of cellular telephone desired, and extra equipment (spare battery, charger, carrying case, cigarette lighter connection, etc.). The department account will bo charged by IDT for initial telephone equipment acquisition, and subsequent monthly usage charges. Due to the nature of cellular tolophone equipment and usage areas, it is strongly recommended that Tolocommunications and Networking (extension 6626) bo contacted prior to request submission. Please see Policy F-42 regarding Cellular Telephones and Wireless Communications Devices. 800 TELEPHONE NUMBERS Requests for 800 telephone numbers should be submitted &em-by the department head (or account custodian) to tho Assistant Director of Tolocommunications and Networking. :¥be-ITS. The memorandum must include the purpose of the 800 service, department account numbevFOAPaccount number, existing telephone number (ring extension) where the 800 number will ring, directory listing information (if appropriate), and name and telephone number of a contact person. A work request will bo initiated for the requested 800 service. A lead time of approximately four (1) weeks is required. Tho department account will be charged by IDT for initial installation charges (if appropriate), and subsequent monthly usage charges. Discontinuance of the 800 service or changes to the ring extension require a memorandum from the department head (or account custodian) to the Assistant Director of Telecommunications and Networking ITS. Cross Reference: None Responsible for Implementation: Vice President for Finance and Administration/Vovasf and Vice President for Academic Affairs P-10 Appendix 5 Contact for Revision: Assistant Director of Telecommunications and NQtworkingDirector of Information Technology Services Forms: Cellular Request Form (available from Telecommunications and P-ll Appendix 5 Continuing Education, Outreach, and Public Sen ice Programs (A-32) Original Implementation: March 9, 1978 Last Revision: October 30, 2007January 25, 2010 The purpose o/Role and Scope of Continuing Education Stephen F, Austin State University (SFASU) has a Gtatod mission that includes a significant responsibility for vital community and professional outreach programs to the populations and constituencies it serves. This task is mot by offerings from throughout the university with outreach and special learning opportunities other than academic degree programs. continuing education is a university wide mission comprehensive program, whoso purpose it is to support the public service and outreach responsibilities of the university. Academic units or individuals who offer continuing education related activities must adhere to the principles of this policy. Definition Continuing education consists o/is-aft-organized evmtractivityies spemeoffered by a unit or individual that provides non-academic credit activities for the-participants such as enrichment experiences, workshops, short courses, certificate courses, training, life-long learning, leisure learning, camps, or travel. A reasonable fee may be charged for these activities in an amount sufficient to permit the university to recover the cost. Responsibility for Continuing Education at the University Individual colleges and uE/nits headed by a vice president will have administrative and programming responsibility for all activities that conform offering continuing education activities wUirshall have administrative and programming responsibilities.*®-^ definition of continuing education. All activities must be submitted by the administrator to his or her supervisor for approval. To bear the name of the university or any of its units, fees for all continuing education activities Should programs by outside groups be co sponsored by any college or other unit of the university, then all fees must be received directly and accounted for by the regular university accounting procedures. Facilities for continuing education activities must be reserved in accordance with university Policy B-l, Use of University Facilities, and Policy B- 2, Academic Space for P-12 Appendix 5 Non-Academic Activities. Academic programs will always be given priority for the use of university facilities. Othonvioo, tho program may not boar tho namo of tho university or any of its unite. Genoral calls, inquirios, and questions coming to tho campus about continuing education activities will bo routed to tho Office of tho Provost and Vioo Prooidont for Academic Affairs for roforral to tho appropriate college or unit of tho univorsity. The univorsity will maintain a schodulo of announced continuing education programs on a wob sito. It will bo tho responsibility of oach collogo or unit to assure that all schodulod continuing education programs are listed on the wob site. Awarding Continuing Education Units When ^programs ctivities result in the awarding of non-academic credit, such as Continuing Education Units (CEU's), it is the responsibility of the unit of the univorsity spoftseq/fering the continuing education aprogram ctivity to meet the most current guidelines established by the Texas Higher Education Coordinating Board and the Southern Association of Colleges and Schools relative to tho awarding of CEU's. It is the responsibility of the organization unit awarding the G&d%-non-academic credit to establish a transcript and keep the GBtJ-records on file for the appropriate period of timo. Fiscal Responsibilities The colleges, other units and persons who offer activities that conform to the definition of continuing education must comply with all applicable university policies and procedures and state and federal regulations. Some of the policies that apply relate to the following areas: collecting and disbursing funds, authorizing refunds, authorizing payroll or stipend items, purchasing equipment or supplies, reserving rooms, purchasing food or beverage, printing, using media marketing, engaging transportation, security and accounting for all funds associated with the program including a surplus or deficit. Facilities for Continuing Education Facilities for accommodating continuing education events must be reserved in accordanc with university policy B 1, Use of University Facilities and policy B 2, Academic Space for Non Academic Activities. Academic programs will always be given priority for tho use of university facilities. P-13 Appendix 5 Cross Reference: Use of University Facilities, Ppolicy B-l, and Academic Space for Non-Academic Activities, pPolicy B-2; Tex. Educ. Code § 54.545 Toxao Education Code Section 51.515 Responsible for Implementation: President and Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-14 Appendix 5 Distribution of SFA Alumni Foundation Scholarships (C- 51) Original Implementation: July 17, 2001 Last Revision: January 30, 2007January 25, 2010 Stephen F. Austin State University Alumni Foundation, Inc. ("Alumni Foundation") scholarships will be awarded by the following method: The SFA Alumni Foundation and the SFA Financial Aid Office will process the award through the billing and receivables (BR) accounting system. The scholarship will be posted as a credit to the student's account at SFA. The credit will show "SFA Alumni Fnd. Scholarship" in the description on the student's bill. The scholarship will ftet-be applied to any eligible charge.parking fines. However, the intent is not to apply these awards to parking fines. Any fluids remaining after the student's bill is paid in full (excluding parking fines) will be refunded to the student. If the student withdraws from school, the Alumni Foundation may be eligible for a refund, based on SFA's refund policy. The Alumni Foundation will notify the SFA Financial Aid Office of all Alumni Foundation scholarships to be awarded to SFA students. This notification will include the student's name, campus identification number, dollar amount of award, and school term of award. It should be received at the SFA Financial Aid Office at a date set annually by the financial aid officeby the following date: May 20 for Summer II, Fall, Spring, and Summer I. The SFA Controller's Office will bill the Alumni Foundation monthly for awards made through the billing and receivables -BR-accounting system. The bill will include each student's name, campus identification number, and dollar amount of award. This policy may be modified by mutual agreement between SFA and the Alumni Foundation, or rescinded if proper notice is received by SFA indicating that the Alumni Foundation requests such a change. SFA and the Alumni Foundation will work together to comply with all regulatory compliance issues imposed on SFA for scholarship distribution and reporting. Cross Reference: Memorandum of Understanding between Stephen F. Austin State University and Stephen F. Austin State University Alumni Foundation, Inc. dated May 18,2001. P-15 Appendix 5 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Associate Vice President for Budget and Finance and Administration Forms: None P-16 Appendix 5 Employee Affirmative ^cf/0/f/Recruitment Plan (E-69) Original Implementation: February 3, 2005 Last Revision: January 29, 200SJanuary 25, 2010 Stephen F. Austin State University's affirmative acr/o^/recruitment plan has been developed in accordance with principles designed to assure equal access to employment opportunities. These principles outline the intent and goals of the university's plan. Equal opportunity is the law of the land. In the public sector of our society this means that all persons, regardless of race, color, religion, sex, national origin, age, veteran status, or disability shall have equal access to positions in public service limited only by their ability to do the job. Vigorous enforcement of the laws against discrimination is essential. Equally important are affirmative, voluntary efforts to assure that positions in the public service are genuinely and equally accessible to qualified persons, without regard to their sex, racial or ethnic characteristics. Stephen F. Austin State University is committed to equal employment opportunities and strongly feels that increasing diversity should be a significant part of the hiring process. Employment discrimination and retaliation on the basis of race, color, national origin, sex, religion, age, veteran status, mental or physical disability, shall be strictly prohibited. It is the policy of the university to comply fully with all state and federal laws prohibiting employment discrimination and relevant court decisions interpreting those laws as it implements its affirmative acfr'orc/recruitment plan. The Texas Commission on Human Rights Act now codified in Chapter 461 oftheToxas Government Code and Chapter 21 of the Texas Labor Code, passed the 68th Texas Legislature in Special Session on June 26, 1983. Section 21.001 of the Texas Labor Code? includes the following general purpose of securing for Texans, including persons with disabilities, freedom from discrimination in certain employment transactions, in order to protect their personal dignity. In keeping with the spirit of this general purpose of the Act, Stephen F. Austin State University affirms the following?: It shall be the public policy of Stephen F. Austin State University not to discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, aad-age, veteran status, or disability status. Further, the university P-17 Appendix 5 shall take all necessary steps to ensure the employment and promotion of otherwise qualified classes who may be underrepresented in the agency's workforce. The university is committed to the principles of equal employment opportunity law and the spirit of equal access. Therefore, a written plan has been prepared to ensure that Stephen F. Austin State University's recruitment affirmative action/recruitment plan shall be properly implemented and no artificial barriers shall be intentionally or otherwise created to deny applicants or employees of the university's equal employment opportunities. The The plan document is available in the human resources office for review by university employees, applicants, and to the general public on request. PROGRAM RESPONSIBILITIES Being a results-oriented program, Stephen F. Austin State University's affirmative action/ recruitment plan shall have the support of the president, board of regents, and other management or supervisory personnel. Therefore, specific responsibilities shall be assigned and delegated to university management personnel to ensure that the necessary authority is available to implement the provisions of the plan. The president shall have ongoing responsibility for establishing recruitment policies and monitoring the implementation of the recruitment plan through periodic program reports. Further, the president shall review annually for purposes of revision or modification the recruitment plan, workforce analysis, and personnel policy and procedural systems including, but not limited to, recruitment, selection, promotions, job descriptions, classifications, compensation, discipline, or other terms and conditions affecting the equal employment opportunities of applicants or employees because of race, color, national origin, religion, sex, age, veteran status, or disability status. The director of human resources shall be designated as the recruitment/affirmative aetieftaffirmative action/recruitment officer for the university with the authority for administering the recruitment plan. It shall be the responsibility of the director of Human Resources to ensure that compliance with the university's recruitment/affirmation aetie&affirmative action/recruitment policies are implemented in an efficient and effective manner. The director of Human Resources shall provide periodic progress reports to the president outlining recruitment plan accomplishments and provide the necessary information required by the president for purposes of the plan's annual review. Specific procedures for the recruitment of faculty and staff can be found on the Human Resources website: http://www2.sfasu.edu/personnel/employment.html. P-18 Appendix 5 PROGRAM GOALS 1. To ensure objectivity, consistency, uniformity and job relatedness through design and implementation of appropriate personnel policy and procedural systems that affects the equal employment opportunities of the university's employees and applicants for employment. 2. To ensure objectivity, consistency, uniformity and job relatedness through design and implementation of appropriate personnel policy and procedural systems that affects the equal employment opportunities of the university's employees and applicants for employment. MONITORING THE RECRUITMENT AFFIRMATIVE ACTION/RECRUITMENT PLAN ACHIEVEMENT The director of Human Resources shall be responsible for administering Stephen F. Austin State University's affirmative actf/cw/recruitment plan and providing regular reports to the president. Utilizing such reports, the president shall monitor the implementation of the plan and identify any revisions necessary to assure effectiveness of the recruitment plan. Such reports may include the following: ■ Annual Recruitment Flan/EEO-Progress Report: This narrative report shall include an itemized summary of the program's achievements, progress and underutilization with accompanying recommendations. ■ Annual Workforce Availability Analysis: The workforce availability analysis compares percentages of Caucasian Americans, African Americans, Hispanic Americans, females, and males within the statewide civilian workforcerac/a/, ethnic and gender percentages ? by job category, of the national workforce to the percentages of Cxmcasianemployed in the Americans, African Americans, Hispanic Americans, females, and males to the university's workforce and is to be prepared annually by the director of Human Resources. The director of human resources shall review new hire and workforce detail, as prescribed in Section 21.552 of the Texas Labor Code, to compile the legislative required Equal Employment Opportunity report. This report, along with the EEO 4 report comparing EEO and job categories, will provide a racial, ethnic, and gender profile of university personnel by job categories. These workforce profiles shall be compared to the available racial, ethnic and gender African groups Americans, Hispanic Americans, and females in the statewide civilian labor force to determine the exclusion or underutilization by each job category, as mandated by Section 21.501 of the Texas Labor Code. Any underutilization shall be noted and strategies for recruitment of qualified African Americans, Hispanic Americans, and females will be recommended to the president. underutilized groups will be implemented. ■ Position Statistics/te/gm?/ Sources-Repe&: Human ^resources shall maintain data which lists applicants by protected class and referral source used. The Position Statistics report will P-19 Appendix 5 indicates class representation of the university's applicant pool and if any measures need to be taken to include new referral sources. ■ University EEO Report: The Human Resources director shall maintain a report showing the university structure with employees by EEO job category to monitor the representation of classes within the university's labor force. Cross Reference: Tex. Lab. Code §§ 21.001-. 556; Affirmative Action Policy E-4 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: None P-20 Appendix 5 Faculty/Staff ID Cards (F-13) Original Implementation: Unpublished Last Revision: January 30, 2007January 25, 2010 Employees wishing to use certain university facilities may be required to show a current faculty/staff identification card. Benefits eligible employees are entitled to purchase a faculty/staff identification card. Employees wishing to obtain an ID card should follow this procedure: 1. Complete a "Request for Staff/Faculty ID Card" form in Human Resources. 2. After Human Resources verifies employment, the employee takes the verified request form to the Card Services Office in the Student Center to have the ID card made. The/myrfee for a faculty/staff ID card is %5.00free. Theeis fee/or any replacement ID card is $7.00 andWxW be charged to the employee's account.-and This will be payable at the university Business Office in the Austin Building. A department has the discretion to pay for the faculty/staff ID card on behalf of employees who are required to have the ID as a condition of employment. ID cards must be validated annually in the Card Services Office in the Student Center. aftd-Sseparating employees are required to return ID cards during the checkout process. Retired faculty/staff are also entitled to purchase an ID card using the same process as outlined above. Cross Reference: None Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Student Servicesth® Student Center Forms: Request for Staff/Faculty ID Card (available in Human Resources) P-21 Appendix 5 Final Examinations (A-19) Original Implementation: June 16, 1982 Last Revision: April 21, 2007January 25, 2010 Faculty members conducting classes shall adbemminister final examinations according to te-the official schedule for administering final examinations published in the Schedule of Classes and distributed to the faculty by tho Provost and Vice President for Academic Affairs. Certain classes may be exempt from a final examination if determined appropriate by the department chair or director. Final examinations for any course not listed in the Schedule of Classes, including but not limited to distance education courses, \ntQn\Qtonline courses, and evening or weekend courses, should be scheduled in consideration of resource availability. No final examination may be administered after 5 p.m. on the last day of the semester. Exceptions may be made by the appropriate academic dean. Cross Reference: Faculty Handbook Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-22 Appendix 5 Food and Beverages in Academic Areas (B-8) Original Implementation: December 21, 1982 Last Revision: January 30, 2007January 25, 2010 The provisions of the policy for Use of University Facilities (B-1) govern the use of all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University (SFA). That policy provides that the university may establish additional procedures for the reservation and use of specific facilities; therefore, the aforementioned following provisions apply to regulations on use of food or drink in the library, classrooms and laboratories. Limited consumption of food or beverages is permitted in the public areas of the Steen Library. Consumption of food or beverages is prohibited in all indoor classrooms and laboratories. Exceptions to this policy may be granted with advance approval of the appropriate academic dean or designee. Consumption of food or beverages may be permitted, provided such permission does not conflict with law.—Consumption of food or beverages in Stephen F. Austin State University (SFA) academic buildings is permitted subject to the approval of the appropriate academic dean or designee, provided such permission does not conflict with other policies or laws. The provisions of the policy for Use of University Facilities (B 1) govern the use of all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the aforementioned provisions apply to regulations on use of food or drink in the Library, classrooms and laboratories. Cross Reference: Faculty Handbook, Tobacco Products (D-35.5); Use of University Facilities (B-1) Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None P-23 Appendix 5 Health and Safety (D-17) Original Implementation: February 11, 1977 Last Revision: October 19, 2006January 25, 2010 I. PURPOSE This document will establish for Stephen F. Austin State University the policy for the protection of the university's human and material resources and the maintenance of a safe and healthful environment complementary to the university's needs and the accomplishment of its goals. II. SCOPE The intention of this policy statement is to create among all members of the university community an awareness of and a commitment to an effective safety program. The primary concern of this program will be the safety and well-being of the students, faculty, staff and visitors. The program will be promoted through training, identification of hazards, and initiation of loss-control measures aimed at the overall reduction of accidents and risk. III. C0MM1TTEEENVIR0NMENTAL HEALTH, SAFETY, & RISK MANAGEMENT Responsibility and coordination of various aspects of the university's safety program is vested in the University Safety CommittQGEnvironmental Health, Safety, & Risk Management (EHS&RM) Department that reports to the vice president for Finance and Administration of the university. The Committee will be composed of the Hazardous Materials Officer, the Chief of University Police, the Radiation Safety Officer, and other faculty and staff members appointed by the Vice President for Finance and Administration. The Director of University Health Services, the Director, Environmental Health, Safety and Risk Management, the University Safety Officer, and the Assistant Safety Officer acting as the Workers Compensation Representative are ex officio members. W, COMMITTEE RESPONSBILITIES A.Will moot quarterly or at necessary intervals. B.Act as a clearinghouse and consultative organization for the University safety and health problems. P-24 Appendix 5 X.Act as an advisory body reporting to the President on the status of the University's safety control activities. /V. RESPONSIBILITIES The Risk Management for Texas State Agencies Guidelines, published by the State Office of Risk Management, is the program document for the university's safety program except as noted below. Responsibilities are assigned to individuals at appropriate levels of authority and expertise as follows. A. The responsibility for physical safety, fire protection, occupational health, emergency procedures, risk management, safety training, workers' compensation, and engineering controls is assigned to the university director of Environmental Health, Safety, and Risk Management (EHS&RM), who reports to the vice president for Finance and Administration. The university director of EHS&RM will assume the duties of accident prevention coordinator. The Assistant university safety officer acting as the workers compensation coordinator shall report to the university director of EHS&RM. B. The responsibility for control of hazardous materials, including use, storage, and disposal of regulated hazardous materials, as well as the responsibility for compliance with the Texas Hazard Communication Act, is assigned to the director of EHS&RM who reports to the vice president for Finance and Administration. SrC. The responsibility for radiological safety, including the purchase, transportation, use, storage, and disposal of radioactive materials is assigned to the radiation safety officer who reports to the president of the university. The radiation safety officer will assume the responsibility for the Radioactive Materials Management Program to assure compliance with the conditions of the license/registrations issued by the Texas Bureau of Radiation Control, Texas Department of Health. C.The responsibility for control of hazardous materials, including use, storage, and disposal of regulated hazardous materials, as well as the responsibility for compliance with the Texas Hazard Communication Act, is assigned to the Director, EHS&RM who reports to the Vice President of Finance and Administration, and the Hazardous Material Coordinator who reports to the President of the University. The responsibility for campus security, traffic control, criminal investigation, and civil order is assigned to the chief of University Police who reports to the vice president for University Affairs. The responsibility for the maintenance of the health of students and the initial care of the faculty and staff members suffering from minor occupational injuries or illness is assigned to the director of University Health Services, who reports to the vice president for University Affairs. P-25 Appendix 5 Vi. SUPPORT In addition to the aforementioned and specifically-assigned responsibilities, it shall be the general responsibility of all SFA employees and students to keep themselves informed of conditions affecting their health and safety, participate in training programs provided by their supervisors and EHS&RM, adhere to healthy and safe practices in their workplace, classroom, and laboratories, and advise their supervisor or instructors of serious hazards in the workplace, classroom or laboratory. Management and supervisors are responsible for protecting the health and safety of employees and students under their supervision by implementing SFA health and safety policies, practices, and programs, by ensuring workplaces and equipment are safe and well maintained, and by ensuring that workplaces or laboratories are in compliance with federal, state and local regulations. They are also responsible for the education of their employees and students in regard to proper job procedures and recognized hazards before making task assignments. VII. IMPLEMENTATION In all university activities and endeavors, safety is the first concern. The members of the university community shall comply with all federal, state, and local statutes, rules, regulations and codes by which the university is bound. They shall also attempt to comply with the spirit of any non-binding requirement which would further the university's intent to provide and maintain a safe and healthful environment in which to work, study, and live. Source of Authority: President Cross Reference: NemRisk Management Policy (E-43.5); Tex. Health & Safety Code § 502 Responsible for Implementation: President Contact For Revision: President, Director of Environmental Health, Safety, and Risk Management. Forms: None P-26 Appendix 5 Hiring of Non-Academic Personnel (E-27N) Original Implementation: Unpublished Last Revision: January 29, 2008January 25, 2010 General Employment Regulations In hiring university personnel, departments should use the following guidelines. 1. Equal Employment Opportunity. The university's policy is to employ the best qualified applicants. In no instance shall an officer or employee base the decision to hire, to promote, to discharge, to demote, to grant or to withhold employee benefits from any qualified individual on any criteria other than ability, training, experience, and performance. 2. Selective Service Registration. All offers of employment are contingent upon the applicant presenting proof that they have complied with the federal law requiring selective service registration unless they are exempt. 3. Authority to Hire. Employment openings, for classified positions requiring services of a person who is not a student of Stephen F. Austin State University, shall be listed on a "Classified Position Personnel Requisition" form. Tho form is initiated by the department head seeking to fill the position, accompanied by an approved job description, through channels to the appropriate vice president and/or president. Non classified (administrative/professional) positions shall bo listed on a "Department Notice of Vacancy Form." The form is initiated by tho department or the chair of the search committee, accompanied by an approved job description, and routed through channels to the appropriate vico president and/or president. Upon approval of tho president, the signed forms are routed to human rosourcos. Once approvals to hire are obtained through the appropriate channels, all positions are electronically routed to the Human Resources Department at which time the positions are posted on the online applicant system. 4. Listing of Employment Openings. Before the employing department recommends appointment of a candidate, classified positions shall be listed a minimum of five working calendar days and non-classified (administrative/professional) positions a minimum often working calendar days. 5. Advertising of Employment Openings. Employment advertisements hy any university department or official must contain the following statement: "An Equal Opportunity Employer" and must be approved in advance by the Office o/executive director Public Affairs and Marketingdcpartmcnt. of marketing. Human resources will list all faculty and staff openings with the local State Employment Office and suefr-other agencies as may be appropriate. Any department or search committee P-27 Appendix 5 electing to post vacancy notices on the Internet, must include the EEO notice as a part of the posting. 6. Employment of Aliens. The university shall abide by regulations of the U.S. Immigration and Naturalization Service. In compliance with the 1986 Federal Immigration and Naturalization haw Immigration Reform and Control Act of 1986, all employees hired after November 1, 1986, must complete Form 1-9 within 3 days of employment after which the form becomes a part of the individual's personnel record. 7. Offers of Employment. All offers of employment may be withdrawn based on the board of regents Board of Regents non-approval, failure to fulfill requirements, or for other cause. Cross Reference: 42 U.S.C. §§ 2000e, e-2,3; 12 U.S.C, sec. 2000e ot soq.; 8 U.S.C § 1324a% U.S.C., soc. 1321a ot soq.; Immigration Reform and Control Act of 1986, Pub. L. No. 99-603, 100 Stat. 3359 Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: Classified Position Personnel Requisition, Department Notice of Vacancy Form (both available on\\nQ)None P-28 Appendix 5 Indirect Cost Recovery, Distribution* and Use (A-51) Original Implementation: October 26, 1999 Last Revision: April 21, 2009 January 25, 2010 Indirect costs are those incurred for a common or joint purpose that benefit more than one university unit/activity and which are not readily assignable to a specific unit/activity. They also are known as Facilities and Administrative (F&A) or overhead costs. These rates may be based on modified total costs or salaries and wages. In most instances, grantors and funding entities agree to reimburse the university for the overhead expenses of conducting research, education, and service projects. This policy establishes guidelines for the recovery, distribution, and use of such reimbursements from externally funded grants, contracts, and cooperative agreements. Indirect Cost Recovery The principal investigator (PI) or project director (PD) must include indirect costs in the proposed budget for all grants, contracts, and cooperative agreements at the maximum rate allowed by the sponsor. The PI or PD will use the university }s official, federally negotiated indirect cost rate for all grants and contracts (unless specifically limited by a state or federal sponsor), including those from for-profit entities and for fixed-price awards. In extraordinary circumstances, a PI or PD may request a reduction or waiver of full indirect costs from the Office of Research and Sponsored Programs (ORSP), which is then recommended to the president for approval Only the director of the Office of Research and Sponsored Programs (ORSP) or the director's designee is authorized Xomay negotiate alternative indirect cost rates with sponsors, which are then recommended to the president for approval. Fixed-Price Agreements Fixed-price agreements are awards where the university agrees to perform work or deliver a product within a specified period at a price agreed to in advance that is payable in full regardless of actual costs incurred. Therefore, there may be a residual balance. Internal operating budgets for fixed-price awards are required and award funds must be utilized during the term of the award in support of the statement of work. The PI or PD is responsible for charging all appropriate operating expenses to the award account, including payroll. After the project end date and all expenses allocable to the project have been recorded, an additional amount may be charged against any residual balance to ensure that the full negotiated indirect cost rate is charged to the account. P-29 Appendix 5 Once it is established that the PI or PD has met all required deliverables, unless otherwise specified by the sponsor the remaining balance will be transferred to a fixed-price pool account for the PI or PD, or into a pool account established for a university-recognized center. Fixed-price pool accounts are unrestricted funds that roll over each year that must be used for on-going research activities or to support the goals and objectives of the PI, PD, or center, in accordance with state and university regulations, policies, and procedures. Indirect Cost Distribution and Use The Texas Education Code, Section 145.001 provides that recovered indirect costs can be retained by state universities to support and encourage further research. The revenue from indirect cost reimbursements to SFA shall be allocated annually: 1. ORSP shall receive an amount sufficient to cover the total actual costs of operations as approved by the provost and vice president for academic affairs (VPAA). 2. The academic units that generated the recovered indirect costs shall receive fifty percent of any remaining revenue up to $100,000 and one hundred percent -of any remaining revenue in excess of $100,000-. Such units shall expend the funds for projects encouraging further research, including: a. conducting pre-grant feasibility studies; b. preparing competitive proposals for sponsored programs; c. providing carryover funding for research to provide continuity between externally funded projects; d. supporting new researchers pending external funding; e. purchasing capital equipment directly related to expanding the research capability of the institution; and f. providing research or project administrative costs not covered by the funding entity. All funds shall be expended to support research and sponsored programs at SFA according to the provisions of the Texas Education Code, Section 145.001. Additionally, the university shall report the actual amounts of money retained and expended under this policy and the estimated amounts for the next biennium in its report to the Legislative Budget Board as part of the biennial budget reporting process. ORSP shall calculate distributions of recovered indirect costs to academic units based on a formula recommended by the University Research Council and approved by the provost and VPAA. The distributions shall be made by the controller at the eiese-beginning of each fiscal year, based upon the previous year's indirect cost reimbursements. No allocations shall be made to academic units in any year in which the total indirect costs recovered are less than the actual amount expended by ORSP. P-30 Appendix 5 Cross Reference: Texas Education Educ. Code § 145.001 Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Director, Office of Research and Sponsored Programs Forms: Nem-Request for Indirect Cost Reduction or Waiver P-31 Appendix 5 Intellectual Property (D-20) Original Implementation: April 9, 1988 Last Revision: January 30, 2007January 25, 2010 Stephen F. Austin State University encourages participation by faculty, staff and students in scholarly research and creative activities that support and enhance teaching in its classrooms and laboratories. While research conducted at Stephen F. Austin State University is aimed at discovery and dissemination of knowledge, rather than profit from commercial application, the Board of Regents recognizes that questions regarding intellectual property rights may arise from such activities. The Board of Regents seeks through adoption of this policy to balance the interests of the public, the university and the inventor, author, or creator in intellectual property arising from research and creative activities conducted by employees of the university. The board further seeks to ensure that inventions, discoveries and creative works are used and controlled in an efficient and prudent manner which will result in maximum benefit to the public, the university and the inventor, author, or creator. Applicability This policy shall apply to all persons employed by Stephen F. Austin State University or a component thereof, and to anyone using facilities or funds subject to control or supervision by Stephen F. Austin State University. This policy, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee, including student employees. Unless otherwise excluded, this policy shall apply to intellectual property of all types (including any invention, discovery, trade secret, technology, scientific or technological development, computer software, conception, design, creation or other form of expression of an idea) regardless of whether the intellectual property is subject to protection under patent, trademark, or copyright laws, or common law. Copyright 1. Definitions a. Copyright is the ownership and control of the intellectual property in original works of authorship. Copyright ownership and the rights thereof are defined by federal law. It is the policy of Stephen F. Austin State University that all rights in copyright shall remain with the creator of the work unless otherwise subject to contractual legal obligations, or the work is a "work made for hire" as that term is defined by federal law. The university will not require faculty to produce "works made for hire" as part of their workload or as terms for continued employment unless the production of works made for hire were a part of the faculty member's original conditions of employment. b. A "work made for hire" is: P-32 Appendix 5 If expressly agreed to by the parties in a written instrument, a work specially ordered or commissioned by the university for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or an atlas, shall be considered a "work made for hire." An "instructional text" is a literary, pictorial, or graphic work prepared for publication and with the purpose of use in systematic instructional activities. Multimedia courseware specially commissioned by the university shall be included as a work made for hire. "Multimedia courseware" is defined as interactive teaching aids created and deployed with electronic tools. They may incorporate text, graphic video, and audio elements and may be mounted for remote access on a file server or pressed onto a CD-ROM for stand-alone distribution. Examples include but are not limited to, distance education courses, electronic textbooks, hypertext modules, simulation software, and databases containing numbers, images, or text. Financial support for course development or course reductions offered by the university to aid with course development of erhon-campus or distance education courses will not by itself constitute a work made for hire unless agreement is reached prior to such arrangements that the resulting course will be a work made for hire. (See Policy D-20A) 2. Ownership a. General In keeping with academic tradition, the university does not claim ownership of copyrightable intellectual property created by faculty during the normal course of their employment unless otherwise agreed in writing. Such property includes but is not limited to: course content, syllabi, course materials, course computer enhancements (courses in which 50% or more of content is delivered by electronic means to off campus students are governed by policy Policy D-20A), authored/created textbooks, books, articles, software, multimedia courseware, data sets in any format and similar works, the intended purpose of which is to disseminate the results of academic research or scholarly study created on the faculty's own initiative. Further, the university claims no ownership of faculty authored/created popular nonflction, novels, poems, musical compositions, software or other works of artistic imagination which do not result from projects commissioned or assigned by the university. Unless evidence of excessive use or abuse of university funds or facilities exists, the university will convey, upon request and to the extent consistent with its legal obligations, the copyright in such works to the individual faculty creator(s) or author(s). Faculty members will make such decisions and take such steps to protect works they own, with their discretion. b. Sponsored Research Agreements Copyright ownership of all material (including software) that is developed in the course of, or pursuant to, a sponsored research agreement (whether funded by a public or private agency or organization) shall be determined in accordance with the terms of the sponsored research agreement, or, in the absence of such terms, the copyright shall be negotiated with the author generally following the principles set forth in this policy. P-33 Appendix 5 c. Use of University Resources (1) Copyright in all material (including software) that is developed with the significant use of funds, space, hardware, or facilities administered by the university, including but not limited to classroom and laboratory facilities, but without any obligation to others in connection with such support, shall reside in the university. The university recognizes and affirms the traditional academic freedom of its faculty to publish freely without restriction. In keeping with this philosophy, the university will not construe the provision of office, computer or library facilities as constituting significant use of university funds, except for those situations where the funds were paid specifically to support the development of such. Faculty development leaves, faculty development grants, minigrants and research course reductions will not be construed as a significant use of university funds. (2) Copyright in works resulting from projects that are performed in whole or in part by any person with grants from funds administered by the university shall be determined in accordance with the terms of the support agreement or, in the absence of such terms, shall be negotiated by the parties involved. The university will determine whether to register and enforce the copyright on works it owns. d. Joint Works Works may be created through the joint efforts of faculty, employees working within the scope of employment, and/or others under contract to provide services. Such joint works would be jointly owned by the faculty member and University. Ownership agreements should be executed to memorialize the peztiesparties' intentions and avoid later confusion over ownership rights. Any of the joint owners may register and enforce the copyright in the names of all owners with accounting. In the absence of an agreement on the division of revenues, they will be shared pro rata after recouping costs. 3. Revenue Sharing a. Works Not Owned by Stephen F. Austin State University If the university does not claim ownership of an intellectual property, authors and creators of intellectual works not owned by the university may copyright the related work, publish it, register the copyright and receive any revenues which may result therefrom. b. Works in Which Stephen F. Austin State University Has a Property Interest (Generally, Commissioned Works or Works prepared Prepared in the course Course and scope Scope of Qmp\o^rmQntEmployment) (1) Royalty income received by the university through the sale, licensing, leasing or use of copyrightable material in which the university has a property interest will normally be shared with the author. Authorship for this purpose shall be determined by the president P-34 Appendix 5 or his designee. Compensation and division of royalties, if any, will be negotiated by written agreement prior to commencement of work on the project or as soon thereafter as practical. (2) In the event that an author contributes a personal work to the university, a written agreement accepting such contribution shall be executed. The terms of the agreement shall include a statement governing the division of royalties between the university and the author. (3) In cases of extramural funding, the terms of the funding agreement shall govern the division of any royalties that may result from commercialization of materials resulting therefrom. In the event that the funding agreement vests royalty rights in the university, and does not provide any royalty share for the author, the terms of Copyright, Section 3.b.(l) shall apply. No such royalty payment to the author, however, may violate the terms of the funding agreement. 4. Use of University or Agency Sponsored Materials a. Prior to the use of a work in which the university has an interest, the author will consult with the university through appropriate administrators, or provide a reasonable opportunity for such consultation, with respect to its use. The university reserves the right to use for instructional and research purposes, without obligation to make payment therefore, any works created by employees or students during their periods of employment or attendance and revisions or derivations of such works. b. When unresolved questions on use occur, they shall be referred to the president or his designee for resolution. 5. Revision of Materials Materials owned by the university under the terms of this policy shall not be altered or revised without providing the author a reasonable opportunity to assume the responsibility for the revision. If the author declines the opportunity to revise such material, the assignment of responsibility for the revision will be made by the president or his designee in consultation with the appropriate department or office. 6. Withdrawal of Materials a. Materials owned by the university under the terms of this policy shall be withdrawn from use when the university, in consultation with the author, deems such use to be obsolete or inappropriate. No withdrawal or other discontinuance that would violate the terms of any licensing or other agreement relating to the materials shall take place. b. The university may release to the author(s) the right to any work copyrighted in the name of the university. P-35 Appendix 5 7. Warranty Authors/creators must obtain appropriate permissions and releases necessary to avoid infringing or invading the personal rights of others. An author or creator of any work owned by the university under the terms of this policy shall warrant that, to the best of his/her knowledge, the work does not infringe on any existing copyright or other legal rights; that work not identified as quotations is the expression and creation of the author; that necessary permission for quotations and the like has been obtained; and that the work contains no libelous material or any material that invades the privacy of others. 8. Notice of Copyright Although the law does not require copyright notice for legal protection, the university encourages that such notice be applied to all works. All material owned by the University under the terms of this policy shall be protected by notice of copyright in the name of the University. The proper form of such notice is as follows: ©@ 20 , Stephen F. Austin State University. All rights reserved. The date should be the year in which the work was completed or in which it was published, whichever is earlier. The name of the university should be spelled out in its entirety. Works in the electronic environment are protected under copyright law just as print works are protected, from the moment of fixation in a tangible medium of expression. This is generally understood to include fixation in a central processing unit. Patents 1. Obligations a. Employees and others who are subject to this policy by virtue of their employment or use of university services or facilities shall disclose to the president or his designee (dean with copy to the general counsel), any invention or discovery (including those made under cooperative arrangements); provide complete information thereon; and cooperate with the university in protecting potential patent and know-how rights in accordance with Administration of Intellectual Property below. b. When an invention arises from a project specially commissioned by the university, created in the course of employment, or with use of university facilities or funds beyond the provision of office or library facilities, the inventor shall assign all rights, title and interest in and to any such invention to the university or its designee and assist the university or its designee in securing patent protection on the invention. In this instance, P-36 Appendix 5 the inventor shall, upon request, execute an invention agreement prior to commencement of the project, or as soon thereafter as practical. c. All parties privy to inventions, know-how, trade secrets, or other discoveries which may be patentable shall maintain such information in strict confidence, so as to protect the intellectual property (subject to internal disclosure as outlined above). Researchers, consultants, and other individuals hired on project which may involve the development of patentable property? shall execute a non-disclosure agreement. Notwithstanding this provision, all employees shall be subject to non-disclosure and confidentiality obligations on patentable or other trade secret information as a term and condition of employment. 2. Sponsored Research a. In cooperative undertakings sponsored by, or involving, third parties, provisions for the control of patents normally should be consistent with the general policy stated above. The provision of sponsored research funds shall trigger patents section l.b. above. However, it is recognized that in some cases the interests of other organizations (federal, industrial, etc.) will justify modifications of the general policy. In those cases, the provisions with respect to patents shall appear in the applicable memorandum of understanding or agreement for the review and approval of the president. It is intended and provided that disclosed inventions will be identified and managed in accordance with patent policy and procedures. b. Nothing in this policy shall be interpreted as precluding the acceptance of a contract, grant, or agreement that provides for ownership of inventions and patent rights by the cooperating agency or organization. 3. Royalties a. After a deduction of fifteen percent (15%) for administrative costs, and a deduction for the cost of patenting, licensing, and protecting of invention and patent rights, the net royalties or other income arising from an invention or discovery shall be divided as follows: (1) Fifty percent (50%) to the inventor(s); (2) Fifty percent (50%) to the university. b. Special facts concerning an invention may warrant a different distribution of royalties. Agreements with respect to royalties shall be in writing and signed by the president or his designee. Any agreement which grants the inventor more than fifty percent (50%) of the net royalties shall require approval of the Board of Regents. c. In the event that a person contributes an invention to the university, a written agreement accepting the contribution shall be executed. The terms of the agreement shall P-37 Appendix 5 include a statement governing the division of royalties between the university and the donor. 4. Use of Inventions and Discoveries a. Prior to the use of an invention or discovery in which the university has an interest, the employee responsible for the invention or discovery will consult with the university through appropriate administrators, or provide a reasonable opportunity for such consultation, with respect to its use. The university reserves the right to use for instructional and research purposes, without obligation to make payment therefore, any inventions or discoveries made by employees during their periods of employment and revisions or derivations of such inventions or discoveries. b. When unresolved questions on use occur, they shall be referred to the president or his designee for resolution. Trademarks, Service Marks and Trade Names 1. Trademarks and service marks may be any work, name, symbol, or device, or any combination thereof adopted and used by the university in the sale or advertising of goods or services to identify and distinguish such goods and services from those sold by others. 2. Trade names include any names used to identify Stephen F. Austin State University and its services. 3. The president or his designee shall be responsible for protection and licensure of trademarks, service marks, and trade names used by or related to Stephen F. Austin State University. 4. No licenses shall be granted to commercial entities for use of trademarks or service marks in connection with commercial services or stationery, alcoholic beverages, inherently dangerous products, products of obscene or disparaging characteristics, health related products, products classified as staple foods, meats, and natural agricultural products, and any other uses which in the opinion of the president or his designee would degrade the reputation or goodwill of the university. 5. Trademark licensing inquiries should be directed to the director of athletics for processing in accordance with our licensing program. If the licensing inquiry does not fall within our traditional licensing program, the request should be forwarded to the general counsel. Trade Secrets Trade secrets may be comprised, generally, of any formula, pattern, or device, or of information which gives one an opportunity to obtain an advantage over competitors who P-38 Appendix 5 do not know or use it in commercial applications. Trade secrets in which Stephen F. Austin State University maintains an interest shall be protected in accordance with the terms of sponsored research agreements or, if none exist, by any lawfiil means available to the university as determined by the president or his designee. Disclosure of Intellectual Property 1. Each individual subject to this policy has a duty to disclose promptly, in writing, and prior to any disclosure either to the public or for commercial purposes, any intellectual property created or discovered by such individual. Disclosure shall be made to the president or his designee (dean with copy to the general counsel). 2. The president shall adopt policies and determine procedures for appropriate institutional review of such disclosures. The duty to disclose arises as soon as the individual has reason to believe, based upon his/her own knowledge or upon information supplied by others, that the intellectual property may be protectable under patent, trademark, or copyright law, or common law. Certainty about the protections to be afforded such intellectual property is not required before a disclosure should be made. Each individual subject to this policy shall execute such declarations, assignments, or other documents as may be necessary to protect the university's interest in such intellectual property. 3. Disclosure of equity ownership or management participation in a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property created or discovered by an employee shall be made in accordance with Equity Ownership and Management Participation below. Equity Ownership and Management Participation 1. Ownership of any equity interest in a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property created or discovered by an employee shall be disclosed to the president or his designee. The president shall take any necessary steps to avoid injury to the university as a result of potential conflicts of interest arising out of such equity ownership. 2. No employee may serve as a director, officer, or employee of a business entity that has an agreement with the university relating to research, development, licensing, or exploitation of intellectual property in which the university has an ownership interest except upon request of, or prior approval by, the Board of Regents. Authorization to serve as a director, officer, or employee of such a business entity may be subject to one or more conditions established to avoid injury to the university as a result of potential conflicts of interest. 3. In accordance with Section 51.912 of the Texas Education Code, the names of all business entities that have an agreement with the university relating to the research, development, licensing, or application of intellectual property in which employees own P-39 Appendix 5 an equity interest, or for which such persons serve as director, officer, or employee, shall be reported to the governor and legislature on an annual basis. The university may accept equity interests as partial or total compensation for rights conveyed in agreements with business entities relating to intellectual property owned by the university. The university may negotiate, but shall not be obligated to negotiate, an equity interest on behalf of any employee as a part of an agreement between the university and a business entity relating to intellectual property created, discovered, or developed by the employee and owned by the university. Disposition of Income 1. In the disposition of any net income accruing to the university or a component from patents, trade secrets, or copyrights, first consideration shall be given to the promotion of research. 2. In the disposition of any net income accruing to the university or a component from licensure of trademarks or service marks, first consideration shall be given to creation or enhancement of scholarship programs. License Agreements 1. 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 and assigned to, or is otherwise owned by, the university shall require approval by the Board of Regents. 2. Agreements which grant a third party the right to reproduce, sell or use a copyrighted work, trademark, service mark, or trade name in which the university owns an interest shall require approval by the president. Administration of Intellectual Property 1. The president or his designee shall be responsible for administering this policy. Duties encompassed by this responsibility shall include filing appropriate registration forms and supporting documents with the Copyright Office, Library of Congress, or the Patent and Trademark Office, negotiating and drafting licenses and other royalty agreements, drafting necessary agreements for specially commissioned works, determining the applicability of this policy and appropriate law to intellectual property, and adoption of policies and procedures consistent with this policy statement and necessary for determination of ownership or protection of the university's interests in intellectual property. All referrals to the president or his designee, under this policy, shall follow established procedures and administrative channels of communication. 2. In determining the university's ownership interest in any intellectual property and measures necessary for appropriate protection or exploitation of such interests, the president or his designee may utilize assistance from designated university committees, P-40 Appendix 5 the general counsel, Texas attorney general, an appropriate private law firm or attorney, or corporations established for the purpose of managing intellectual property. 3. The responsibility for commercial marketing and licensure of intellectual property, and for maintenance of appropriate fiscal records, is assigned to the president or his designee. 4. All expenses of copyright registration, patenting and other forms of protection sought by the university shall be borne by the university, unless otherwise paid by a licensee through a negotiated licensing agreement. If the university fails or refuses to pursue within a reasonable period any registration of copyright or patent, or other protection, for intellectual property in which an employee has an ownership or royalty interest, the employee may independently pursue registration or other protection of such interest. All patents must be filed in the university's name, unless the university relinquishes all rights and interest to the intellectual property in writing. The individual shall be reimbursed for expenses related to such protective action, pursuant to a negotiated written agreement, if the university subsequently decides to assert and exploit the university's interests in the property. Cross Reference: Intellectual Property Rights for Distance Education (D-20A); Tex. Educ. Code §51.912 Responsible for Implementation: General Counsel Contact For Revision: General Counsel Forms: None P-41 Appendix 5 Interlibrary Loan (A-23) Original Implementation: March, 1985 Last Revision: January 30, 2007January 25, 2010 The Interlibrary Loan Services (ILL) supplements local library resources by providing access to materials not available in the Steen Library collection. The following statements regulate ILL activities. Eligibility for Borrowing. ILL borrowing is extended to SFA-faculty, staff? and students of Stephen F. Austin State University (SFA). Patrons must exhaust the limits of the ieeeASteen collection before requesting ILL services. Faculty members and students may request materials related to their own professional scholarly research or to course-related subject matter. Occasionally, service is available to library users not affiliated with SFA, subject to the discretion of the library director. Requests should be submitted to Interlibrary Loan Services through the library's Web site. Graduate and undergraduate students may request materials pertinent to their research or coursework. Occasionally, service is available to library users not affiliatod with SFASU. Any typo of library materials may be borrowed through ILL, Requests should be submitted to Interlibrary Loan Services through the Library's wob sito (http://libweb.sfasu.edu/proser/aoqser/ill.html). All conditions of use imposed by the lending library on items borrowed are to be strictly observed. Abuse of ILL regulations may result in the forfeiture of ILL borrowing privileges. (Examples: taking Library Use Only material out of the library, disregarding loan restrictions, repeated failure to return material by due date). ILL service may be refused to any patron whose Steen Library borrowing privileges are blocked. Abuse of ILL regulations by a patron may result in t |
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