Minutes of Board of Regents of Stephen F. Austin State University. 2010, Volume No. 257

              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.
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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.
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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.
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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.
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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.
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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)
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2. Meeting the following class rank and minimum test scores:
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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.
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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.
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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.
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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
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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.
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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:
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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.
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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
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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.
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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,
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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
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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
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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
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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,
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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
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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