Minutes of Board of Regents of Stephen F. Austin State University. 2007, Volume No. 234

              Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
January 29 and 30, 2007
(Volume 234)
BOARD MINUTES FOR JANUARY 29-30,2007
VOLUME 234
Page
Executive Session
Personnel Matters Regarding Specific University Employees 2
Election of President
07-09 Election of Dr. Baker Pattillo as eighth President of the University 3
Special Recognitions 3
Approval of Minutes
07-10 Approval of October 18 and 19, December 15, December 20,2006
and January 3, 2007 Minutes 3
Personnel
07-11 Approval of Personnel items
Faculty Appointments for 2006-2007
Staff Appointments for 2006-2007
Changes of Status for 2006-2007
Retirements
Academic and Student Affairs
07-12 Approval of Academic and Student Affairs Items
University Scholars Scholarship Increase
Increase Annual Scholarship Allocation for Office of International Programs
Proposal to Name the William W. Gibson Entomarium
(Tabled) Regents Scholarship Requirement Change
Financial Affairs
07-13 Approval of Financial Affairs Items 8
Budget Changes Less Than $100,000
Authorization for Mid-Year Raises
Resolution to Approve Qualified Financial Institutions and Investment Brokers
Resolution to Acknowledge Review of Investment Policy and Strategy
Heating System Boiler Replacement in Hall 15/18
Repairs to Residence Hall 15/18 Plant Operations Chiller and Cooling Tower
Lease of Space for Banking Services in Student Center
Approval of Contract with Collections Services
Building and Grounds
07-14 Approval of Building and Grounds Items 9
Acceptance of De Witt Gift and Naming of Richard and Lucille DeWitt
School of Nursing
Approval for Naming of Bob and Dot Banks Baseball Stadium
Approval for Naming of Women's Basketball Office Suite
Request for Proposal-Education Research Center-Architect
Request for Proposal-Education Research Center-Construction Manager at Risk
Authorization for Demolition of Birdwell Building
(Tabled) Proposal to Commission "The Lumberjack" Bronze Monument
and Maquettes from Sculptor Michael Boyett
(Tabled) Authorization for Campus Way-Finding Signage Project
University Policies and Procedures
07-15 Approval of Policy Revisions 11
Access to Secure Computing Facilities ((F-32)
Add Drop (A-5)
Allocation of Information Technology Resources (F-39)
Best Value Procurement (C-7)
Communication Services (F-29)
Computer Equipment Purchases (C-8)
Computer Hardware and Software Acquisition (F-7.5)
Computer Replacement Policy (NEW)
Contracting Authority (C-9)
Distribution of SFA Alumni Foundation Scholarships (C-51)
Faculty/Staff ID Cards (F-13)
File Maintenance for Faculty Personnel Files (A-60)
Food, Drink and Tobacco (B-8)
Grade Reporting (A-41)
Graduate Assistantships (A-20)
Honorary Degree (D-18)
Indirect Costs Distribution (A-51)
Instructor-generated Materials (A-22.1)
Intellectual Property (D-20)
Interlibrary Loan (A-23)
Investments (C-41)
Investments: Endowment Funds (C-41.A)
Issuance and Control of Campus Keys (B-l 5)
Library Lending (A-26)
Markers and Monuments (D-47)
Meeting and Conducting Classes (A-31)
Monthly Calendar (F-19)
News Releases (F-20)
Norton HPE Complex (B-20)
Off-Air Recording of Broadcasts for Education Use (A-33)
Out of State Travel/Study (A-36)
Photographic Reprints (F-22)
Printing Services (F-23)
Procurement Card (C-44)
Public/Student Health (D-26)
Purchase Voucher (C-31)
Return to Work (E-62)
Satisfactory Academic Progress for Financial Aid Recipients (A-40)
Scholarship Disbursement (F-24)
Student Fiscal Appeals (NEW)
Temporary Employment (E-49)
University Letterhead (D-37)
University Publications (D-39)
Use of University Facilities (B-l)
Voluntary Modification of Employment (E-54.1)
Work Requests (B-52)
Workers Compensation Coverage (E-55)
Reports 11
President
Audit Services
Faculty Senate
Student Government Association
Appointment of Board Nominating Committee 12
Appendices
Appendix 1 - Report on Budget Changes Under $100,000
Appendix 2 - Resolution to Approve Qualified Financial Institutions and Investment Brokers
Appendix 3 - Resolution to Acknowledge Review of Investment Policy and Strategy
Appendix 4- Proposal from Michael Boyett Studio for "The Lumberjack"
Appendix 5 - Policies for Board Review
Stephen F. Austin State University
Minutes of the Meeting of the
Board of Regents
Nacogdoches, Texas
January 29 and 30,2007
Austin Building 307
Monday, January 29,2007
The regular meeting of the Board of Regents was called to order at 8:00 a.m., Monday,
January 29, 2007, by Chair Valerie Ertz.
PRESENT:
Board Members: Ms. Valerie Ertz, Chair
Mr. Richard Boyer
Dr. Margarita de la Garza-Grahm
Mr. Joe Max Green
Mr. Kenneth James
Mr. Paul Pond
Mr. James Thompson
Ms. Stephanie Tracy
Mr. Melvin White
Mr. Fred Wulf
President: Dr. Baker Pattillo
Vice-Presidents: Ms. Debbie Baisden
Mr. Steve Westbrook
Dr. Marlin Young
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors
The chair welcomed the board members and guests to the meeting. The student regent,
Stephanie Tracy, led the pledge to the flags.
The Building and Grounds Committee convened at 8:05 a.m. and adjourned at 12:15
p.m. Following a lunch recess during which the board members and administrators
toured the SFA Science Research Center, the Finance/Audit Committee convened at 1:55
p.m. and adjourned at 4:40p.m. The Academic and Student Affairs Committee convened
at 4:55p.m. and adjourned at 6:10p.m. The Marketing Committee convened at 6:15 p.m.
and adjourned at 6:30p.m.
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Tuesday, January 30, 2007
The chair reconvened the board meeting at 7:30 a.m. on Tuesday, January 30.
PRESENT:
Board Members: Ms. Valerie Ertz, Chair
Mr. Richard Boyer
Dr. Margarita de la Garza-Grahm
Mr. Joe Max Green
Mr. Kenneth James
Mr. Paul Pond
Mr. James Thompson
Ms. Stephanie Tracy
Mr. Melvin White
Mr. Fred Wulf
President: Dr. Baker Pattillo
Vice-Presidents: Ms. Debbie Baisden
Mr. Steve Westbrook
Dr. Marlin Young
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors
The chair immediately called for an executive session to consider the following item:
PERSONNEL MATTERS REGARDING SPECIFIC UNIVERSITY EMPLOYEES
Consideration of Individual Personnel Matters Relating to Appointment, Employment,
Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee,
including but not limited to, football coaches; library, technology, and fund
raising/development personnel; vice presidents, and the president, including possible
action in naming Dr. Baker Pattillo as university president (action to be taken in open
session) (Texas Government Code, Section 551.074)
The executive session concluded at 8:40 a.m., and the board returned to open session at
9:00 a.m. The chair welcomed special guests to the board meeting and called upon the
Student Regent, Stephanie Tracy, to lead the pledge to the flags. The chair gave an
inspirational reading, appropriate to the significance of the day.
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ELECTION OF PRESIDENT
Board Order 07-09
Upon motion by Chair Ertz, with all members voting aye in a roll call vote, it was
ordered that the following item be approved:
ELECTION OF DR. BAKER PATTILLO AS EIGHTH PRESIDENT OF STEPHEN F,
AUSTIN STATE UNIVERSITY
Dr. Baker Pattillo was elected president of Stephen F. Austin State University at a salary
of $247,750 annually, effective immediately.
A portrait of the new president was unveiled on the board wall among the portraits of all
former SFA presidents, and the president signed his name in a Bible that had been signed
by all former presidents. Dr. Pattillo expressed his appreciation to all those friends and
university supporters who were present, recognized his family, and introduced special
guests with him for the day, including former regents and former SFA president, Dr.
William R. Johnson. State Representative Wayne Christian read a resolution honoring Dr.
Pattillo passed by the Texas House of Representatives. Regent James read a certificate of
recognition from Governor Rick Perry, and Regent Wulf read a resolution from the Texas
Senate sent by Senator Robert Nichols.
SPECIAL RECOGNITIONS
Special recognition was given by Athletic Director Robert Hill to the 2006-2007
Ladyjack Volleyball team with coach Debbie Humphries. Provost Dr. Marlin Young
introduced Shirley Dickerson, Interim Director of the Steen Library. Debbie Baisden,
Vice President for Finance and Administration, introduced Harold Hall, Assistant
Director of the Physical Plant, and thanked David Mohundro and Glynn Hartt for their
work in building a credenza for the president's office. Steve Westbrook, Interim Vice
President for University Affairs, introduced Urisonya Roberson, Coordinator for the
Multicultural Center, and Sam Smith, Director of the Student Center. Dr. Pattillo
introduced Robin Wright, Director of the Academic Assistance and Resource Center, and
congratulated her on receiving the Texas Higher Education Coordinating Board Star
Award. Chair Ertz and Regent Wulf presented Jamie Fain, Director of Housing, with a
Lumberjack Axe on the occasion of her retirement after 22 years with SFA.
APPROVAL OF MINUTES
Board Order 07-10
Upon motion by Regent Green, seconded by Regent White, with all members voting aye,
it was ordered that the minutes of the October 18 and 19, 2006, December 15, 2006,
December 20, 2006, and the January 3, 2007 meetings be approved.
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PERSONNEL
Board Order 07-11
Upon motion by Regent Pond, seconded by Regent Grahm, with all members voting aye,
it was ordered that the following personnel items be approved.
FACULTY APPOINTMENTS FOR 2006 - 2007
Education
Larry Cupit Instructor of Elementary Education, M.A. (Stephen F. Austin State
University) at a salary of $42,000 for 100 percent time for nine months, effective January
16, 2007, contingent upon completion of doctorate by spring 2013.
Liberal and applied Arts
Dr. Matthew Tippens, Visiting Assistant Professor of History, Ph.D. (Texas Tech
University) at a salary of $19,000 for 100 percent time for five months, effective
January 15,2007.
STAFF APPOINTMENTS FOR 2006-2007
Athletics
Gerald Broussard, Assistant Football Coach, at a salary of $65,433 for 100
percent time for 10.5 months, effective February 1, 2007.
Darren Drago, Assistant Football Coach at a salary of $62,100 for 100 percent time for
10.5 months, effective February 1, 2007.
Matthew Graves, Assistant Football Coach, at a salary of $56,925 for 100 percent
time for 10.5 months, effective February 1, 2007.
James C. Harper, Head Football Coach, at a salary of $117,266 for 100 percent
time for 12 months, effective February 1, 2007.
Arlington Nunn, Assistant Head Football Coach, at a salary of $60,237 for 100
percent time for 10.5 months, effective February 1, 2007.
Todd Schonhar, Assistant Football Coach, at a salary of $53,820 for 100 percent
time for 10.5 months, effective February 1, 2007.
Harold Christopher Truax, Assistant Football Coach, at a salary of $57,960 for
100 percent time for 10.5 months, effective February 1, 2007.
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Enrollment Management
Dyson V. Nickle, Academic Advisor for Academic Affairs at a salary of $28,000
for 100 percent time for 12 months, effective October 9, 2006.
Financial Aid
Heather Rachele Nixon, Assistant Director of Financial Aid, at a salary of
$44,000 for 100 percent time for 12 months, effective November 6, 2006.
Fine Arts
Mark A. Porter, Technical Director/Stage Carpenter, at a salary of $38,000 for
100 percent time for 10.5 months, effective January 15, 2007.
Forestry and Agriculture
Johnny Charles Brown, Geospatial Applications Specialist II, at a salary of
$55,000 for 100 percent time for 12 months, effective November 20, 2006.
Telecommunications & Networking
Sandra K. Menscer, Network Support Specialist, at a salary of $37,000 for 100
percent time for 12 months, effective January 2, 2007.
University Affairs
Bryan Lawrence Patton, Technology Specialist, Auxiliary Services for the
Student Center, at a salary of $29,000 for 100 percent time for 12 months,
effective October 2, 2006.
Urisonya Roberson, Multicultural Center Coordinator, at a salary of $38,500 for
100 percent time for 12 months, effective January 8, 2007.
Samuel Allen Smith, Director, Student Center, at a salary of $82,000 for 100
percent time for 12 months, effective January 1, 2007.
CHANGES OF STATUS FOR 2006 - 2007
Business
Marcus Z. Cox, from Adjunct Faculty for College of Business at a salary of
$50,000 for 100 percent time for 12 months to Lecturer/Development Officer at a
salary of $50,000 for 100 percent time for 12 months, effective November 1,
2006.
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Education
Paula B.Griffin, from Adjunct Faculty of Elementary Education at a salary of
$5,833.33 for 58 percent time for four months to Project Coordinator FIPSE at a
salary of $37,583.26 for 100 percent time for 12 months, effective November 2,
2006.
Forestry and Agriculture
James Bills, from Research Associate for Forestry Systems at a salary of $43,693
for 100 percent time for 12 months to Systems Administrator I CRGSC at a salary
of $45,000 for 100 percent time for 12 months, effective November 1, 2006.
Housing
Jordana L. Wise, from Hall Director III at a salary of $20,480 for 100 percent
time for 12 months to Manager of Housing Administration at a salary of $34,220
for 100 percent time for 12 months, effective December 18, 2006.
Sarah L. Hardy, from Manager of Housing Administration at a salary of $34,320
for 100 percent time for 12 months to Manager of Housing Systems at a salary of
$39,200 for 100 percent time for 12 months, effective December 4, 2006.
Liberal and Applied Arts
Dixie Morgan, from Adjunct Faculty of Psychology at a salary of $2,625 for 25
percent time for four months to Lecturer of Psychology at a salary of $14,000 for
100 percent time for four months, effective January 16, 2007.
Mark Barringer, from Associate Professor of History and Interim Associate Dean
of Liberal and Applied Arts at a salary of $56,854 for 100 percent time for nine
months to Associate Professor of History and Associate Dean of Liberal and
Applied Arts at a salary of $61,854 for 100 percent time for nine months,
effective January 1, 2007.
Library
Shirley Dickerson, from Associate Director of Steen Library, at a salary of
$68,842 for 100 percent time for 12 months to Interim Director, with an
additional stipend of $1,000 per month for the interim duties, effective January
17,2007.
Jason L. Johnstone, from Web Development/Designer at a salary of $36,652 for
100 percent time for 12 months to Webmaster at a salary of $50,000 for 100
percent time for 12 months, effective December 1, 2006.
-6-
Sciences and Mathematics
Dennis Gravatt from Interim Department Chair of Biology at a salary of $58,241
for 100 percent time for 11 months to Department Chair of Biology at a salary of
$70,000 for 100 percent time for 11 months, effective February 1, 2007.
RETIREMENTS
Clarence Bahs, Director of School of Theatre, effective August 31, 2007.
Bill Bryan, Department Chair of Human Services, effective August 31, 2007.
Glender Chatman. Assistant Registrar, effective January 31, 2007.
Jamie Fain, Director of Housing, effective January 31, 2007.
Gerald E. Tyler, Assistant Professor of Sociology, effective December 31, 2006
ACADEMIC AND STUDENT AFFAIRS
Board Order 07-12
Upon motion by Regent James, seconded by Regent Boyer, with all members voting aye,
it was ordered that the following academic and student affairs items be approved.
UNIVERSITY SCHOLARS SCHOLARSHIP INCREASE
The University Scholars Scholarship was increased from $2,000 to $4,000 per year,
renewable for a total of four years, beginning with Fall, 2007.
INCREASE ANNUAL SCHOLARSHIP ALLOCATION FOR OFFICE OF
INTERNATIONAL PROGRAMS (PIP)
The annual allocation for international student scholarships was increased from $35,000
to $60,000 to reflect a 70 percent increase in student numbers. This will begin with Fall,
2007 and will be reflected in the FY08 budget.
PROPOSAL TO NAME THE WILLIAM W. GIBSON ENTOMARIUM
The invertebrate collection in the Department of Biology, which has become the third
largest collection in the state of Texas, was named the "William W. Gibson Entomarium"
in honor of Dr. Bill Gibson, who is in his 45th year of teaching at Stephen F. Austin State
University as Professor of Biology with a specialty in entomology and invertebrate
zoology.
-7-
It was further ordered that the following item be tabled until the April, 2007 board
meeting.
REGENTS SCHOLARSHIP REQUIREMENT CHANGE
It is recommended by the administration that the requirement to live in on-campus
housing be removed from the Regents Scholarship allowing the award to be spent on
tuition and fees beginning with Fall, 2007.
FINANCIAL AFFAIRS
Board Order 07-13
Upon motion by Regent Thompson, seconded by Regent White, it was ordered that the
following financial affairs items be approved.
BUDGET CHANGES LESS THAN $100,000
The list of budget changes less than $100,000 is provided in Appendix 1.
AUTHORIZATION FOR MID-YEAR RAISES
The Board of Regents authorized the President to be the final level of approval for all
recommended mid-year salary increases included in the mid-year raise pool of 2.5%
approved by the Board of Regents on December 15, 2006, including the positions
reporting to the Board of Regents. The only exceptions shall be the position of President
to be approved by the Board of Regents and the Chair of the Department of Elementary
Education which shall be approved by the Provost.
RESOLUTION TO APPROVE QUALIFIED FINANCIAL INSTITUTIONS AND
INVESTMENT BROKERS
The Resolution Approving Financial Institutions and Brokers for Investment
Transactions was approved as presented in Appendix 2.
RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND
STRATEGY
The Resolution to Acknowledge Review of the Investment Policy and Strategy was
ratified as presented in Appendix 3.
HEATING SYSTEM BOILER REPLACEMENT IN HALL 15/18
It was approved that $347,000 be added to the FY07 housing maintenance operation
accounts to replace funds spent on an emergency replacement of the heating system
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boiler in Hall 15/18 and to provide funds for ordinary fiscal year 2007 maintenance
operations. The source of funds is auxiliary fund balance.
REPAIRS TO RESIDENCE HALL 15/18 PLANT OPERATIONS CHILLER AND
COOLING TOWER
The university was authorized to make repairs to the chiller and cooling tower in Hall
15/18 be completed at a cost not to exceed $87,000 and that the funds be added to the
FY07 housing maintenance operation accounts. The source of funds is auxiliary fund
balance.
LEASE OF SPACE FOR BANKING SERVICES IN STUDENT CENTER
The president was authorized to sign a contract with Commercial Bank of Texas to lease
space for the provision of banking services in the Student Center.
APPROVAL OF CONTRACT WITH COLLECTIONS SERVICES
Authorization was given to award a contract to Williams & Fudge, Inc. for student loans
and accounts receivable first referral collection services and Windham Professions, Inc.
for second referral collection services to be effective for a five year period with the
option to renew for an additional five-year period, subject to administrative approval.
The source of funding will be student assessment for delinquent accounts. The President
was authorized to sign the contract.
BUILDING AND GROUNDS
Board Order 07-14
Upon motion by Regent Green, seconded by Regent Thompson, with all members voting
aye, it was ordered that the following building and grounds items be approved.
ACCEPTANCE OF DEWITT GIFT AND NAMING OF RICHARD AND LUCILLE
DEWITT SCHOOL OF NURSING
The Board of Regents approved the proposed gift of property from Lucille DeWitt and
the late Richard DeWitt (approximately 16.83 acres of land on US Hwy 59N as described
in the preliminary plat prepared by Tommy Findeisen, dated December 6, 2006; also
known as 5707 North Street property) for use by the university as the primary location of
the SFA School of Nursing, contingent upon an appropriate Phase I environmental study,
approval by the Texas Higher Education Coordinating Board, and final agreement on
deed restrictions. Upon acceptance of the gift and all final approvals, it was approved that
the SFA School of Nursing be named the Richard and Lucille DeWitt School of Nursing.
The president was authorized to sign any gift related documents and the director of the
physical plant was authorized to sign any property related records.
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APPROVAL FOR NAMING OF BOB AND DOT BANKS BASEBALL STADIUM
A gift of $750,000 has been donated to the university by the estate of Robert C. Banks
and will be received by December 31, 2007. Authorization was given to name the
baseball stadium at Bo Pilgrim Park the "Bob and Dot Banks Baseball Stadium."
APPROVAL FOR NAMING OF WOMEN'S BASKETBALL OFFICE SUITE
The women's basketball office suite in the William R. Johnson Coliseum was named the
"Sue Gunter Basketball Office Suite" and a formal dedication will be held during a
women's home basketball game during the 2007-2008 season.
REQUEST FOR PROPOSAL - EDUCATION RESEARCH CENTER - ARCHITECT
Authorization was given to issue a Request for Proposal for a project architect for the
proposed Educational Research Center. Proposals will be reviewed by staff and a
recommendation of the top candidates will be made to the Building and Grounds
Committee for their consideration at a future meeting.
REQUEST FOR PROPOSAL - EDUCATION RESEARCH CENTER ■
CONSTRUCTION MANAGER AT RISK
Authorization was given to issue a Request for Proposal for a project Construction
Manager at Risk for the proposed Educational Research Center. Proposals will be
reviewed by staff and a recommendation of the top candidates will be made to the
Building and Grounds Committee for its consideration at a future meeting.
AUTHORIZATION FOR DEMOLITION OF BIRD WELL BUILDING
Authorization was given to proceed with the solicitation of bids for the demolition of the
Birdwell Building, and the president was given the authority to sign the contract in an
amount not to exceed $300,000. The source of funds will be from the residual balance in
the fiscal year 2002 Tuition Revenue Bonds project account.
It was also ordered that the following item be tabled for possible consideration at a future
date.
PROPOSAL TO COMMISSION "THE LUMBERJACK" BRONZE MONUMENT
AND MAOUETTES FROM SCULPTOR MICHAEL BOYETT
Sculptor Michael Boyett has proposed that the university commission him to create an
exclusive design of'The Lumberjack," the SFASU mascot, as a 12, 18, or 24 foot bronze
monument and purchase a series of smaller sculptures (maquettes) for resale. An initial
funding commitment of at least $234,918 (depending on the monument size and number
of maquettes ordered) would be required to place this commission. A fundraising plan
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would need to be developed to help defray the cost of this project. The full proposal from
Mr. Boyett is included in Appendix 4.
It was further ordered that the following item be tabled and brought back to the April,
2007, board meeting after consultation with the executive director of marketing.
AUTHORIZATION FOR CAMPUS WAY-FINDING SIGNAGE PROJECT
The administration recommends that authorization be given to proceed with the campus
way-finding package as presented, at a cost not to exceed $125,000 to be paid from funds
previously authorized and set aside by the board of regents for such purpose.
UNIVERSITY POLICIES AND PROCEDURES
Board Order 07-15
Upon motion by Regent Green, seconded by Regent Grahm, with all members voting
aye, the Board of Regents adopted the policy revisions as presented in Appendix 5.
REPORTS
President Pattillo presented comments on the following topics:
• Strategic Plan
• Southern Association of Colleges and Schools
• Technology
• Opening Ceremony for the Student Center on April 22, 2007
Gina Oglesbee, Director of Audit Services, presented a report on the audit plan.
Chris Barker, the Faculty Senate chair, reported on the following topics:
• Faculty concerns
• Faculty Senate Initiatives
Brittany Scott, president of the Student Government Association, reported on the
following:
• Overview of past fall/upcoming spring semester
• SFA lighting/parking update
• New website/webct
Student meal plans
• ID validation system
• SFA upcoming events
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APPOINTMENT OF BOARD NOMINATING COMMITTEE
Chair Ertz appointed the following nominating committee: Joe Max Green, Chair,
Kenneth James, and James Thompson.
The meeting was adjourned at 11:20 a.m.
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Stephen F. Austin State University
Schedule of Budget Changes
September 1, 2006 to January 5, 2007
Appendix 1
TOTAL 58,533
Appendix 2
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.
ING
Neuberger Berman
Fayez Sarofim & Co.
Davis Advisors
Lazard Asset Management
Franklin Private Client Group, Inc.
MLIM L.P. Relative Value
NFJ Investment/PIMCO Allianz
WHEREAS, the following firms are approved financial institutions:
Citizens First Bank
Commercial Bank of Texas
First Bank and Trust East Texas
Bancorp South Fredonia
Regions Bank Stone Fort
Texas Bank
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 30, 2007 meeting of the Board.
Valerie E. Ertz, Chair I James A. Thompson, Secretary
Appendix 3
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 30, 2007; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of
the January 30, 2007 meeting of the Board.
Attest:
Valerie E. Ertz, Chair I James A. Thompson, Secretary
Appendix 4
"THE LUMBERJACK"
Monument and Maquette Proposals
for
Stephen F. Austin State University
by
Michael Boyett
. d6u o4(lc/ui<d 'SBoysX (Shulia Appendix 4
705 Shalom Way ♦ Nacogdoches, TX 75964
Website: www.michaelboyett.us ♦ Email: info@michaelboyett.us ♦ (936)615-4158
December 2006
Stephen F. Austin State University
Board of Regents
Nacogdoches TX 75964
Dear SFASU Board of Regent Members:
I appreciate this opportunity to present to you my proposal for this exclusive design for
"The Lumberjack " bronze monument and maquettes (miniature sculptures of the same
design.)
I feel that this sculpture design will make a powerful and determined visual impact that will well
represent the strong character and spirit of Stephen F. Austin State University!
I look forward not only to the artistic and engineering challenges of this project, but also to the
opportunity of working with any committees you would designate to help with fund raising and
possible pedestal designs for the monument.
I feel absolutely confident that with my 30 years of experience and the excellence of the bronze
foundry I will be working with, that Stephen F. Austin State University will have a monument of
their unique mascot, "The Lumberjack", that will be second to none!
Respectfully Yours,
Michael Boyett
enclosures
C7~ I \\
... Qs&aaw
Appendix 4
Table of Contents
(1.) Proposal
(2.).Photograph of Model for Proposed Monument and Maquette
(3.) Monument Facts and Figures
(4.) Maquette Fact and Figures
(5.) Monument Perspective Photograph
(6.) Michael Boyett Professional Credentials
(7.) Eagle Bronze Foundry General Information
705 Shalom Way ♦ Nacogdoches, TX 75964 Appendix 4
Website: www.michaelboyett.us ♦ Email: info@michaelboyett.us ♦ (936)615-4158
December 2006
Stephen F. Austin State University
Board of Regents
Nacogdoches, TX 75964
PROPOSAL
Michael Arlen Boyett Inc., proposes that the Board of Regents of Stephen F. Austin State
University, commission Michael Boyett to:
(1.) Create an exclusive design of "The Lumberjack", the SFASU mascot
(2.) Produce and cast that design as a bronze monument in their choice of either 12,18 or 24
foot scale
(3.) Produce and cast that same "Lumberjack" design as a tabletop size bronze sculpture in a 9
or 12 inch scale (or both) with a minimum of 50 sculptures to be ordered with the initial order
These tabletop bronzes (maquettes) will be sold to SFASU at the agreed to purchase price for
SFASU to resell to its contributors at a higher price and use the proceeds helping to fund the
monument project.
vmowow-...
"THE LUMBERJACK" Bronze Monument
Facts and Figures for 3 different scales
• Sculpture Cost is for the completed Bronze Monument with all of its structural steel and the engineering modeling especially designed for the
Nacogdoches, TX area. There will possibly be some on site assembly and patina touch up finishing work - these costs are included in the Scuta
Cost. TX State Sales Tax will be additional unless SFASU is exempt ure
** This cost DOES NOT include pedestal, landscaping, crane or compressor rental for installation.
SFASU will be responsible for these charges. I
&
X
'THE LUMBERJACK' Bronze Maquettes
Facts and Figures for 2 Different Scales
* Over a period of time, prices may be subject to a price increase based on our costs
** Delivery times could possibly be shorter
The bronze maquettes of "THE LUMBERJACK " monument will be cast by the classic "lost wax method."
Each sculpture will have it's own Registered Edition Number and will be registered and certified in the Boyett Registry.
Each sculpture will be mounted on a beautiful hand finished Honduran mahogany wood base and will have a brass name plate attached to the wood base.
Each sculpture will have its own Registered Edition number, the artist's signature and the copyright date, cast in the bronze sculpture base.
If requested, each sculpture will be accompanied by a Certificate of Authenticity and Registration, signed and dated by the artist. !
&
X
Appendix 4
Michael Boyett's
Professional Credentials
General Career Information
I have been a full time professional artist and sculptor since 1977, specializing in creating
historic works of art representing our American heritage. My style is both classic and realistic
with emphasis on intricate detail, historic accuracy and bold movement. Since 1977,1 have
done many exclusive corporate and personal commissions, as well as had limited edition works
in numerous galleries and museums. One of my sold out limited edition sculptures grossed over
7.5 million dollars. It has been stated that this sculpture," is arguably the best-selling work of
metal sculpture ever, and the standard by which all others will be judged "
(Chilmark, Hudson, MA, Jan 1992).
In 1988,1 established my own foundry and since 2002, my focus has been towards creating life
size monumental bronze sculptures.
Museums
Indian Museum of the Cherokee Nation (NC)
Milo Pooley Art Western Museum (CA)
Texas Ranger Hall of Fame (TX)
Buffalo Bill Museum (WY)
Favell Museum of Western Art (WA)
National Vietnam Veteran's Museum (IL)
VFW National Veteran's Memorial Museum (NM)
Invitational Art Shows
Safari International (Las Vegas, NM),
George Phippen Memorial Invitational Show (Prescott, AZ),
.El Rancho Invitational Show (CA)
San Antonio Invitational Fat Stock Show (San Antonio, TX),
Vietnam Veteran's Invitational Art Show
(Minneapolis, MN - 1st National Vietnam Art Show in history)
Texas Art Classic, (Dallas, TX), The Vietnam Experience (New York City, NY)
Vietnam Reflections (Chicago, IL)
Appendix 4
Corporate Commissions
American Express
The Lance Corporation
New England's Collector's Society
Electronic Data Systems - Mr. H. Ross Perot
Starlight Originals
Reynold's Oil Company
Historic Nacogdoches, Inc.
Book Cover
David's Story - Cover photo of Boyett sculpture, "Bringing in a Buddy", for
The National VFW Memorial in Eagles Nest, NM
Television Appearances
CBS Evening News with Walter Cronkite - personal interview about Boyett's military art work
ABC Evening News - New York, NY - showing Boyett's military sculptures
Magazine Articles
Southwest Art Magazine
Purple Heart Magazine
Soldier of Fortune Magazine
Christian Marketing Magazine
Collector's Magazine
Cowbovs and Indians Magazine
Architectural Digest
Civil War Times
The American Civil War Magazine
Notable Collectors
Rev. Billy Graham, Col. Oliver North, H. Ross Perot, Lesher Newspaper (CA),
Byron Nelson, Ray Swanson, Don Polland, "The Who" (English musical group)
Special Presentations
President Jimmy Carter - Inauguration Ceremony
Four Star General at Change of Command
Foreign Dignitaries and Ambassadors (Japan, England, Belgium)
Tribal Chief of the Cherokee Nation - Mr. Chad Smith
Appendix 4
Eagle Bronze Foundry
General Information
Eagle Bronze Foundry, located in Lander, WY, is one of the most highly recognized bronze
foundries in the United States. Established in 1986, the foundry is renowned for quality and
ships fine art castmgs to clients throughout the US, Canada, Japan, Europe and the Middle East
forexceUencef * ^^ qU&lity C°n*°l measures have &™ ^em a well-earned reputation
Over the past 20 years, they have completed over 750 monuments. Included in these are 14
buffalo and 3 Indians for Kevin Costner's Dunbar resort in Deadwood, SD 6 twenty-two foot
panthers for the NFL Panthers, "The Trail Drive" in downtown Dallas, TX^ and the "Charging
Bull which is one of the most recognized sculptures in the world. The famous original
"Charging Bull" sits in front of the New York Stock Exchange on Wall Street in Manhattan NY
They are currently mvolved in casting the "largest equestrian sculpture in the world " entitled
"The Conquistador" which measures 36 feet in height.
This foundry's ability to create these outstanding monumental bronze castings is due to the
highly specialized team of craftsmen that they employ. Their staff includes 50 full time
employees, several who have degrees in mechanical engineering and metallurgy. They also use
state-of-the-art casting equipment and have excellent specialized facilities.
More information about Eagle Bronze Foundry can be seen on their website -
www, eaglebronze. com
Appendix 5
Policies for Board Review
January 30,2007
p-l
Appendix 5
P-2
Appendix 5
P-3
Appendix 5
Access to Secure Computing Facilities (F-32)
Original Implementation: July 14, 1998
Last Revision: : February 1, 200^\ January 30, 2007
A secure environment must be maintained for all central computer systems managed by
Information Technology Services (ITS). To that end, physical access to all central
facilities must be strictly regulated. The process of regulating access will include, but is
not limited to, setting guidelines for personnel that will be allowed access, monitoring the
physical area for access violations and reporting any suspected violations to the
appropriate authorities.
Secure computing facilities at the Boynton Computer Center will be defined as the
Boynton Computer Center Machine Room and the adjoining hallway between the east
and west entrances to this area containing the report distribution lock boxes.
Guidelines for Access to Secure Facilities
Types of Access Allowed
Full Access — The individual will be given keys, door codes, card swipe access, and
alarm codes for access to the Boynton Computer Center Machine Room and may enter
the facility at will.
Limited Access — The individual can be let in to the facility to perform designated tasks
that require access to the Boynton Computer Center Machine Room.
Escorted Access - Individual(s) can enter the Boynton Computer Center Machine room
only under continuous escort by Operations or Technical Support Staff.
Report Access - The individual can be granted swipe card access to the hallway
containing the lock boxes, or they can be let in by ITS operations personnel.
Criteria Determining Access
Full Access
To be granted full access to secure computing facilities, an individual must meet all the
following criteria:
o A regular, recurring need for unimpeded access to equipment located
within the machine room 24 hours a day, 7 days a week.
o Must be employed by Information Technology Services in the Operations
or Technical Support Areas, or Director of ITS.
Limited Access
P-4
Appendix 5
To be granted limited access to secure computing facilities, an individual must meet all
the following criteria:
o An occasional or intermittent need for access to secure computing
facilities to perform scheduled maintenance to equipment located within
the machine room.
o A member of the Operations or Technical Support Staff can give the
individual access to the secure area.
o The individual must be employed by the University.
Escorted Access
To be granted escorted access to secure computing facilities, an individual must meet
some or all of the following criteria:
o Member of a tour group.
o A contractor or maintenance person not employed by the University that
must perform maintenance, installation, construction, de-installation, or
other well-defined task that requires access to the secure area,
o A member of the Operations or Technical Support Staff must accompany
the individual(s) without interruption during the duration of the
individual's stay in the secure area.
Report Access
To be granted report access to the hallway, an individual must meet all of the following
criteria:
o The individual must be employed by the University,
o The individual is responsible for retrieving output generated in the
computer center on a regular basis.
General Guidelines for Monitoring Access to Secure Facilities
Monitoring of the secure computing facilities shall be carried out by the Operations and
Technical Support Staff employed by Information Technology Services. Operations and
Technical Support staff should conduct regular walkthroughs of the facility while on
duty. All ITS staff members are encouraged to report any activity they even remotely
regard as suspicious or hostile to a member of the Operations or Technical Support Staff.
Access to the machine rooms will be logged. All individuals granted limited access or
escorted access to the machine rooms will sign in on a log provided at the door. All
entrances and exits are being video recorded.
Loud or disruptive behavior will not be tolerated in secure areas of the Computer Center.
Such behavior detracts from the security monitoring process as well as distracting
personnel performing complex tasks in these areas. Individuals or groups engaging in this
P-5
Appendix 5
type of behavior will be asked to leave the area at once; individuals refusing to comply
will face disciplinary action. The University Police Department can be engaged in
enforcing this policy if the situation warrants.
Times of Access to Secure Area
At all times the hallway doors are locked via magnetic locks. Access to the hallway is
logged when access is granted by the card swipe or proximity card reader.
• Business Hours - During the hours of 7 AM - 6 PM, Monday through Friday
excluding holidays, the East and West Entrances to the secure area will be
unlocked and open providing access to the hallway adjoining the Computer
Center Machine Room for Faculty/Staff accossgrant access via the magnetic card
readers to individuals with Full Access, Limited Access, and Report Access. In
addition, the East entrance to the Boynton Building at the corner of Aikman and
East College will be unlocked during this same period. During these periods,
Operations and Technical Support Staff will regularly check that the doors to the
machine room are closed and locked, and that no unauthorized individuals are in
the Machine Room.
• Off Hours - During the hours of 6 PM—7 AM, seven days a week, the East and
West Entrances to the secure area will be closed and lockodAny time other than
normal business hours, access to the secure area is only permitted to individuals
with Full Access. In addition, the East entrance to the Boynton Building at the
corner of Aikman and East College will be closed and locked. During these
periods, Operations and Technical Support on-duty staff will regularly check that
all entrances to the secure area are properly closed and locked and that no
unauthorized personnel are within the secure area. At any time that on-duty
personnel have to leave the secure area during off-hours, no matter how brief, the
alarm / security system that protects this area is to be engaged and it will be
physically confirmed by the individual that all doors are locked and the bolts to
these doors are properly engaged.
Guidelines for Reporting Suspected Violations
During normal business hours, the person discovering an access violation will
immediately report it to the- Director-e£ffS or the Manager of Technical
S&ppe&Assistant Director of ITS. The University Police Department (UPD) will then be
notified at once by one of these individuals. In the event the Director-e£ffS or Assistant
Director oflTSthe Manager of Technical Support are not available, the person
discovering the violation should immediately contact UPD directly.
During off-hours, the on-duty Operations staff should immediately contact University
Police at once and request assistance. Operations staff should then call the the Manager
of Technical SupportAssistant Director ofr ITS and report the situation. The Manager of
Technical SupportAssistant Director can then assess the situation and advise the -Director
of ITS and others as needed. In the absence^ of the- Manager of Technical
P-6
Appendix 5
Swppe&Assistant Director, the Systems Programmers or the Operations Manager may be
called to initiate action.
At any time one of the contacts can initiate the disaster recovery plan if the situation
includes damage or potential further damage to the computer center that would impact
normal operations. Under no circumstances should a staff member confront individual(s)
committing an access violation that might even remotely be considered a threat. Staff
should move to a safe location and call University Police at once. The Department of
Audit Services is to be notified in writing of any access violation within 24 hours.
Source of Authority : Vice President for Business Affairs
Cross Reference: None
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Information Technology Services
Forms: None
P-7
Appendix 5
Add/Drop (A-5)
Original Implementation: April 27, 1986
Last Revision: January 28, 2003January 30, 2007
Students may add courses through the 2nd class day during the summer semesters and
through the 4th class day during the fall or spring semesters. Academic Department
Chairs/Directors may reconcile class schedules through the official reporting date.
Students may drop classes through five working days past mid-semester or mid-session
as applicable. A student will not be allowed to drop a course after these dates, unless he
or she withdraws from the University.
The following applies:
1. Through the official reporting date, withdrawals or a course dropped will not be
recorded on a student's transcript.
2. After the official reporting date through five working days past mid-term for full
semester courses or mid-session for partial semester courses, a drop, as well as a
withdrawal, will be noted as a "W" on the transcript. At that time, the student's
withdrawal will be reflected on the student information system.
3. If a student has been found guilty of cheating/plagiarism according to policy A-9.1,
Cheating and Plagiarism, the grade of "W" may be changed to "WF" at the discretion of
the faculty member involved.
4. Beginning on the sixth working day after mid-term for full semester courses or mid-session
for partial semester courses, a drop will not be permitted unless the student
withdraws from all courses for the term. This withdrawal will be noted on the transcript
as a "WP" if the student is passing at the time or a "WF" if the student is failing at the
time.
Source of Authority: Provost and Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin, Schedule of Classes
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Registrar
Forms: None
P-8
Appendix 5
Allocation of Information Technology Resources (F-39)
Original Implementation: October 31, 2000
Last Revision: NemJanuary 30, 2007
RESOURCE ALLOCATION
The allocation of Information Technology Resources is consistent with the University's
strategic plan as submitted to the State of Texas Legislative Budgeting Office Board
every biennium. Within the strategic plan is a separate appendix for Information
Resource (IR) goals and-, objectives, and action items for the next five years. These items
are updated every biennium and are consistent with the institution's purpose and goals.
Three organizational entities are primarily responsible for executing the IR Strategic
Plan: Information Technology Services (I7S), Office of Instructional Technology (OIT),
and the University Library. These three entities provide central IR services for the
campus. The following chart displays the organization and functional responsibilities for
these IR services.
LIBRARY:
Campus University
Webmaster
Commercial Electronic
Information
Resources
Instructional Research
Support
Faculty Research
Support
Distance Learning
Library
Coordination
(including Internet)
Electronic Resource-
Based
Instruction
Records Retention
Management
Student Holp DoskTest
Grading
|lNSTRUCTIONAL
TECHNOLOGY:
Coordination of:
(Distance Education
Distributed Learning
Environments
Technology Research
and
Development
Faculty
Training/Consultation
TECHNOLOGY
SERVICESUmYERSITY
INFORMATION
SYSTEMS: Help Desk
(Faculty-and, Staff, and
Students)
Personal Computer Repair
(Faculty, Staff, and Students)
Administrative Application
Systems,
Telecommunications Telephone
Service, Local and Wide-Area
(Voice)
Networks', Internet and
Internet2 service, University
Portal (mySFA), E-mail
Serviceing (Data and Video)
Central Host Systems
The remaining IR responsibility is-lies primarily with the seven six academic colleges
and respective deans. Each college is responsible for offering state-of-the-art computer
labs and faculty desktop computing and for providing technical support for hardware and
software resources.
P-9
Appendix 5
Allocation of information technology resources is aligned with implementation of
institutional goals, objectives, and strategies.
The following table summarizes the physical electronic environment consisting of SFy
hardware platforms, operating systems and database management systems.
SFA Platforms, Systems and Telecommunications
Category Type jg
Mainframe XT/A
Minicomputer
rvcri
AT PLJ
i > ■ j ■ ■ ■
LAN Servers
(Central)
LAN Servers
(Remote)
T A XT
Client/Workstatio
[Operatin Database
Manageme
Capacity/Sizo/Co
nt System
XT/A
A. 1/ J. \.
t tir\4-
vulv
j
Icygo
XT/A (XT/ A XT/A
11/ x i
WIN95,
ns (Central)
1A ^«"|a>
1TXUV
OVOT
U 1 U/
Cliont/Workotatio XT/A
ns (Remote)
WAN Servers
DvrTvT
Standalone PC
Workstations
Internet Sendee
Provider
Shared Network
XT/A
Comments/Descript
ive Information
XT/A r
XT/A
XT/A
XT/A
X 1/ X i.
65% PC, 35% Mac
XT/A
nm
TTXJTy
v7PrI7v
IN/A
A Ar%r*
1VXUV
WIN31,
IN/A
OS
Vendor
IN/A
_
XT/A
1 NM V
5 Mao, 15 PC
VERIO
N/A IXT/A
jrrm
Source of Authority: President
Cross Reference: None
P-10
Appendix 5
Responsible for Implementation: President
Contact for Revision: Vice President for Business AflmrsDirector, Information
Technology Services; Director, Office of Instructional Technology; Dean ofLibraryies
Forms for Implementation: None
P-ll
Appendix 5
Best Value Procurement (C-7)
Original Implementation: January, 1988
Last Revision: February 1, 2001 January 30, 2007
PROCUREMENT PROCESSES
Stephen F. Austin State University makes purchases, not otherwise delegated through
Policy C-10 Delegated Purchasing Authority, on a best value basis through any of the
following processes. All procurement processes require Board of Regents approval as
per Policy D-20.5 Items Requiring Board of Regents Approval. HUB Subcontracting
Plan requirements apply in accordance with University Policy C-16.5 Historically
Underutilized Businesses and state law.
A. All purchases completed with state funds must first consider making the
purchase from Texas Industries for the Blind and Handicapped (TIBH) as
mandated by the state Education Code 51.9335 to promote the purchase of goods or
services from persons with disabilities.
B. Purchases $0 - $5000 are to be negotiated to achieve the best value for the
University.
C. The University may purchase goods or services through competitive sealed bid
procedures with the following limits established for solicitations minimum bidder
requirements.^ A justification must be included in the order file if these minimums are not
met.
a, $0 $5000 Printing Requires 2 bids when using state funds
br-$0—$5000 All other products and services—Contract negotiation of best value
el. $5000.01 - $24,999.99 - Minimum 3 informal bids required; minimum 50% HUB
vendors including one woman-owned and one minority-owned
42. $25,000 $19,999.99 and greater - Minimum 5 formal bids required; minimum 50%
HUB vendors including one woman-owned and one minority-owned; Texas Markotplaco
Electronic State Business Daily posting required, unless Purchasing determines that no
value is added by the posting.
e. $50,000 $99,999.99 Minimum 5 formal bids required; minimum 50% HUB vendors
including one woman owned and one minority owned; Board of Regents approval
required; Texas Marketplace posting required.
f. $100,000 and greater—Minimum 5 formal bids required; minimum 50% HUB vendors
including one woman owned and one minority owned; HUB Subcontracting Plan
required; Board of Regents approval required; Texas Marketplace posting required
P-12
Appendix 5
In determining best value for Competitive Sealed Bids, the University shall consider best
value factors identified in Education Code 51.9335.
D. The University may purchase goody or services through the process established in
Government Code, Title 10, Subtitle D, Subchapter C, Section 2156 for the acquisition of
goods and sendees by through the competitive sealed proposal process outlined in the
Purchasing Department RFP Manual and TBPC Contract Management Guide.
competitive sealed proposals shall include an appropriate number of solicitations to
be determined by the Purchasing Department, including HUB vendors of any gender and
ethnicity when identified as providing the good or service identified. Electronic State
Business Daily posting required, unless Purchasing determines that no value is added by
the posting.
b. $25,000 $49,999.99 Texas Marketplace posting required
c. $50,000 $99,999.99 Board of Regents approval required; Texas Marketplace posting
required
d. $100,000 and greater—HUB Subcontracting Plan required; Board of Regents approval
required; Texas Marketplace posting required
E. The University may purchase goods or services through the process established in
Government Code, Title 10, Subtitle D, Subchapter C, Section Chapter 2157 for the
acquisition of automated information systems goods and services by the catalog purchase
procedure. Use of this procedure requires the award be made to a Catalog Information
Systems Vendor (CISV) as identified by the TBPC.
etr$Q—$2000—Contract negotiation of best value
b. $2000.01—$24,999.99—Minimum 3 informal price comparisons required; minimum
50% HUB vendors including one woman owned and one minority owned
c. $25,000—$49,999.99—Minimum 5 formal price comparisons required; minimum 50%
HUB vendors including one woman owned and one minority owned; Texas Marketplace
posting required.
d. $50,000—$99,999.99—Minimum 5 formal price comparisons required; minimum 50%
HUB vendors including one woman owned and one minority owned; Board of Regents
approval required; Texas Marketplace posting required.
e. $100,000 and greater—Minimum 5 formal price comparisons required; minimum 50%
HUB vendors including one woman owned and one minority owned; HUB
Subcontracting Plan required; Board of Regents approval required; Texas Marketplace
posting required.
P-13
Appendix 5
£^$Q—Up—Catalog purchases may bo mado directly from a CISV without prico
comparisons when ouch purchase is the boot value available and is in tho state's boat
interest. HUB Subcontracting Plan and Board of Regents approval requirements still
apply based on the dollar amounts above.
F. The University may purchase goods or services through group purchasing
programs.
a. $50,000 $99,999.99 Board of Rogonts approval required
b. $100,000 and greater—HUB Subcontracting Plan required; Board of Regents approval
required.
The University may purchase goods or sendees through tho open markot procedure
established in Government Codo, Title 10, Subtitle D, Subchaptor C, Chapter 2155.082.
G. The University may purchase goods or services through State of Texas Term
Contracts, State of Texas Multiple Award Schedules, and DIR/Tex-An Contracts.
H. The University may purchase goods or services through reverse auctions.
/. The University may purchase goods or services through other state agency
contracts when such contracts are available and have followed approved purchasing
processes.
EMERGENCY PURCHASES
J. The University may purchase goods or services on Aan emergency
EMERGENCY basis. An emergency purchase is defined as the purchase of goods or
services that are so badly needed that the agency will suffer financial or operational
damage if they are not secured immediately. A procurement may be declared an
emergency at the buyer's discretion in consultation with the end user and upon approval
by the Director of Purchasing. Declaration of an emergency supercedes all other best
value procurement rules. The University will attempt to obtain bids, price comparisons or
proposals when sufficient time exists by utilizing the most effective procurement process,
including the Electronic State Business Daily, when value is added by using such
processes.
a. $5000.01 and greater—obtain bids, price comparisons or proposals whon sufficient
time exists utilizing the most effective procurement process.
b. $25,000 and greater—Texas Marketplace posting required if bids, prico comparisons
or proposals are solicited as noted above and if the buyer determines that valuo would bo
added by utilizing the Texas Marketplace.
P-14
Appendix 5
EXEMPT PURCHASES
The following purchases are exempt from best value procurement processes. Submission
of a purchase requisition, purchase voucher, or aad-other rules may apply.
(1) Classified Advertising
(2) Hotels and Conference Rooms
(3) Conference Expense; expenses related to conference room services such as
audio/visual/network and food services, (does not include goods purchased for attendees
or transportation services.)
(4) Moving Expenses (employee) — See Policy C-21 Moving Expenses
(5) Student Travel; expenses related to student travel
(6) Library materials for Stephen F. Austin State University Libraries, in accordance with
Gov't Code 2155.139, when such exemption represents the best value to the University
(7) Membership fees and dues
(8) Newspaper and magazine subscriptions, books, videos and software direct from the
publisher
(9) Freight
(10) Intra-agency payments
(11) Rental of exhibit space; i.e., booths for display purposes
(12) Items for resale
(13) Internal Repairs
(14) Purchases from Federal agencies
(15) Utilities, other than electricity for which SFA chose to opt into deregulation
(16) Goods and services for the Early Childhood Lab, Beef Farm, Poultry Farm, Broiler
Houses, and Swine Farm when the purchase directly affects operations and such
exemption represents the best value to the University
(17) Group Travel; expenses related to group travel when such group travel includes
non-University persons and is funded by payment from individual travelers; i.e., Art Tour
P-15
Appendix 5
(18) Prizes and Award for students, employees and non-University individuals
(19) Accreditation Fees
(20) Tournament Fees or Game Guarantees
(21) Licensing Fees or Permits
(22) Employee Registration or Tuition
BEST VALUE DETERMINATION
In determining best value for all procurement processes except Catalog Purchase
Procedure, the University shall consider best value factors identified in Education Code
51.9335.
In determining best value for Catalog Purchase Procedures, tho University shalll consider
best value factors identified in Government Code 2157.003.
COMPETITIVE SEALED BID SUBMISSION, BID OPENING, AND
TABULATION
Bid Submission
(1) Prospective bidders may request specific bid invitations from the Purchasing
Department at any time prior to the bid opening;
(2) A bidder may withdraw its bid by written request at any time prior to the bid opening
date and hour;
(3) A bid received after the time and date established by the bid invitation is a late bid
and will not be considered;
(4) A bid received which does not contain adequate bid identification information on the
outside of the envelope will be opened to obtain such information and will then be
processed as any other bid. If the incorrect information on the envelope causes the bid not
to be considered in making an award, the bid will be considered invalid and rejected;
(5) Bids may be submitted by telefacsimile (fax). The telephone number for fax bid
submission will be identified in the solicitation; no other number may be used for bid
submission. Bids submitted by fax need not be confirmed in writing, but must comply
with all legal requirements applicable to formal bids. If all or any portion of a bid
submitted by fax is received late, is illegible, or is otherwise rendered non-responsive due
to equipment failure or operator error, the bid or the applicable portion of the bid will not
be considered. The university shall not be liable for equipment failure or operator error,
P-16
Appendix 5
nor will such failure or error require other bids to be rejected or the bid invitation to be
re-advertised.
(6) An unsigned bid is not valid and will be disqualified;
(7) A bidder or department may request, in person at the bid opening, that bids be read
aloud. No bid shall be required to be read aloud at any time other than during regular
working hours and days;
(8) When formal bids are required, bids may not be taken or accepted by telephone;
(9) If an error is discovered in a bid invitation, or agency departmental requirements
change prior to the opening of a bid, the Purchasing Department will transmit an
addendum correcting or changing the specifications to all bidders originally listed on the
transmission list for that bid invitation. Bids will not be rejected for failure to return the
addendum with the bid, unless otherwise noted, if the receipt of the addendum is
acknowledged on the face of the bid.
Bid opening and tabulation.
(1) All bid openings conducted by the Purchasing Department shall be open to the public.
(2) Bid opening dates may be changed and bid openings rescheduled if bidders are
properly notified in advance of the opening date.
(3) If a bid opening is canceled, all bids which are being held for opening will be returned
to the bidders.
(4) All bid tabulation files are available for public inspection. Bid tabulations may be
reviewed by any interested person during regular working hours at the offices of the
Purchasing Department. Employees of the university are not required to give bid
tabulation information by telephone.
Source of Authority; Texas Education Code, Chapter 51.9335; President; Vice President
for Business Affairs
Cross References: Policy D-20.5 Items Requiring Board of Regents Approval; Policy C-
16.5 Historically Underutilized Businesses; Policy C-10 Delegated Purchasing Authority
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Purchasing and Inventory///C/5 Coordinator
Forms: Ne&ePurchase Requisition, Purchase Voucher
P-17
Appendix 5
Telephone Communication Services (F-29)
Original Implementation: December 8, 1987
Last Revision: February 1, lOO^January 30, 2007
Information Technology Services (Telecommunications and Networking) is responsible
for the administration of University telephone 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 SFA 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 reimbursedmeat to the
department. Reimbursements for personal calls on a University cellular 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, long
distance 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 for their
discontinuance.
EQUIPMENT INSTALLATION/RELOCATION/ALTERATION and REPAIR
Requests for installation, relocation, alteration, or repair of telephone equipment should
be submitted to the University Switchboard Operator by dialing 0, or to the 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 work order will be
issued, and upon completion, the account will 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 name, social security
numberCampus ID 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, full information must be provided for each access
code requested.
P-18
Appendix 5
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 be charged by IDT for
initial telephone equipment acquisition, and subsequent monthly usage charges. Due to
the nature of cellular telephone equipment and usage areas, it is strongly recommended
that telephone contact with Telecommunications and Networking (extension 6626) be
conductedcontacted -prior to request submission.
800 TELEPHONE NUMBERS
Requests for 800 telephone numbers should be submitted from the department head (or
account custodian) to the Assistant Director of Telecommunications and Networking.
The memorandum must include the purpose of the 800 service, department account
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 be initiated for the requested 800 service. A lead time
of approximately four (4) weeks is required. The 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.
Source of Authority: President
Cross Reference: None
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Assistant Director of Telecommunications and Networking
Forms: Cellular Request Fortem (available from Telecommunications and Networking)
P-19
Appendix 5
Computer Equipment Purchases (C-8)
Original Implementation: December 8, 1987
Last Revision: February, 200<]January 30, 2007
The term "computer-related items" as used in this policy refers to computer-related
hardware, software and services. Purchases of computer-related items should be approved
through the appropriate administrative channels.
It is the responsibility of the department head/account manager to have sufficient
knowledge of the purchasing procedures required by the State of Texas University for
computer-related items when initiating such purchases and to seek the assistance of the
Director of Information Technology Services and the Director of Purchasing as needed.
Although users are responsible for such purchasing decisions, pPersonnel in the computer
Geatet-Information Technology Services department are available for consultation and can
help to determine the feasibility of proposed acquisitions as each relates to consistency
with the University's long range computing plan and with campus computing resource
capabilities, and their effective interface/function with existing campus networks.
As needed, the Purchasing Department will provide the Director of Information
Technology Services with a copy of the purchase of computer-related items. This will
assist the Director in the preparation of computing reports required by the State of Texas
on a regular basis.
Source of Authority: President
Cross Reference : None
Responsible for Implementation: President
Contact for Revision: Director of Information Technology Services
Forms: None
P-20
Appendix 5
Computer Hardware and Software Acquisition (F-7.5)
Original Implementation: January 30,1996
Last Revision: February 1, 2001 January 30, 2007
Scope and Purpose
Stephen F. Austin State University seeks to provide a coherent computing environment
for the benefit of faculty, students, and staff so that needed information can be shared
over the campus network structure and so that equipment and software acquired can be
effectively and efficiently maintained and managed.
This policy provides guidance for the acquisition of desktop computers, applications
software and related technology through creation of a list of recommended equipment
and software. Specific items are suggested for acquisition and the levels and types of
support that can be provided for them are enumerated. Information is also provided on
connecting to the campus network for the purpose of accessing various campus resources,
e.g., student and financial records and university library databases.
It is not the intent of this policy to restrict departments' ability to purchase specific
computing resources, only to provide guidance in selecting equipment which will
maximize their potential for utilizing campus services and computing resources support.
Equipment and Software
Equipment and software are recommended based on the following criteria:
- Suitability for campus-wide use
- Performance
- Campus network connectivity
- Ease of maintenance
- Cost
- Site licensing availability
Current recommended equipment and software information is available from the
Purchasing Department or ITS Networking and Telecommunications.
Support Limitations
Departments purchasing the recommended equipment and/or software may expect to
receive important types and levels of support for the items; acquired as specified on the
P-21
Appendix 5
Mstrtherefore, departments are strongly advised to obtain current information before
finalizing purchasing decisions. Departments which purchase equipment or software
outside those recommended assume the liability for maintenance, licensing, and other
support issues.
Additional Information
Departments wanting further information and advice or whose needs cannot be met from
the current recommended equipment and software are urged to contact the Computing
Help Desk, ext. 1212.
Information Resources Operating Plan Requirements
Current legislation and associated State Department of Information Resources (DIR)
rules require that SFASU file an agency Information Resources Operating Plan each
biennium. Major information resources purchases must be identified in this plan and
approved by DIR before purchases may be made. The -Director of Information
Technology Services is responsible for all DIR plan approvals. Amendments to the
Operating Plan may require 30 days or more for DIR approval and, if not filed and
approved in advance, may delay the acquisition accordingly.
Role of the Purchasing Office
Purchases must comply with all University and State Purchasing requirements and
procedures.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Responsibile for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Information Technology Services
Forms: None
P-22
Appendix 5
Computer Replacement Policy (NEW)
Original Implementation: January 30, 2007
Last Revision: None
Purpose
To establish a policy for replacing University personal computers on a regular basis. This
policy complies with standards issued by the Texas Department of Information Resources
(DIR).
Provisions
1. The University will replace computers on a four-year cycle. Both desktop and laptop
computers are included wherever they may be used - office, classrooms, and
laboratory. Organizational units are encouraged to replace monitors and speakers less
frequently than every four years.
2. Base hardware configurations for desktop CPU units and laptop / tablet computers
will be specified. The University's goal is to provide computers that will perform
robustly over their life-cycle. These configurations will constitute the minimally
acceptable computers for all purchases. No personal computers with hardware
capabilities less than the base configurations may be purchased regardless of source
of funds. The configurations of the base machines will be reviewed at least annually.
3. The base hardware configurations will be the basis for best value negotiations with
prospective vendors. Apple Computer is the sole source for Macintosh computers.
The suitability of the vendors will be reviewed at least annually.
4. Replacement computers will be ordered from the preferred vendors. In most cases, a
base machine will be satisfactory. The University will bear the cost of the least
expensive base machine. Additional costs, including those for enhancements beyond
a base hardware configuration, will be borne by the organizational unit.
5. If the computers being replaced are high performance workstations, the capabilities
and hardware specifications of the workstations must be superior to the base
configurations. The University will meet the costs up to the dollar equivalent of the
least expensive base machine. Additional costs will be borne by the organizational
unit.
6. Computers purchased using funds from external grants are excluded from being
replaced under this replacement policy during the award period of the grant. After the
termination of the grant, the computers will be placed in the replacement cycle.
P-23
Appendix 5
Cross Reference: General Appropriations Act, 79th Legislature, Senate Bill 1, Regular
Session, Article IX, Sec. 9.04; SFA Policy B-24, Property Transfer and Disposal
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Purchasing; Director of Information Technology
Services
P-24
Appendix 5
Contracting Authority (C-9)
Original Implementation: July 18, 1988
Last Revision: October 11, 2001 January 30, 2007
This policy governs the authority to enter and make contracts, purchases, and agreements
of any character on behalf of Stephen F. Austin State University.
1. No member of the Board of Regents shall enter into the discussion, make motions, or
vote on a contract, purchase, or agreement of any character in which the member directly
or indirectly has pecuniary interest unless the General Counsel has advised that there is a
legally permitted exception to this rule with the Regent making the appropriate public
disclosures.
2. The following items shall be submitted to the Board of Regents for approval at either a
regular Board meeting or a special called Board meeting. Each item shall be presented to
the Board for consideration. The General Counsel shall review all contracts and
agreements prior to signature.
a. Construction contracts in the amount of $50700,000 or more
1) Architect-Engineer selections
2) Authority to submit the proposal to the Coordinating Board if the estimated cost
(including all cost) is at least $1,000,000 for new construction, $2,000,000 for renovation,
or as otherwise required under law
3) Construction contract awards
4) Change orders that would increase the cost of the project beyond the amount of the
approved budget
b. Contracts, purchases, and agreements in the amount of $#700,000 or more, whether the
amount is income or expenditure with the exception of:
1) Private, governmental, and foundation grants or agreements in which the donor or
agency stipulates the purpose for which the funds are to be expended
2) Materials purchased for resale in auxiliary operations and in central supply
3) Materials purchased for normal inventory stock for the physical plant operation
4) Materials purchased for normal inventory stock from operation and maintenance
budgets previously approved by the Board
P-25
Appendix 5
5) Maintenance service contracts on elevators, computers, office equipment, chillers, and
water treatment services
6) Library subscription services
7) Recurring printing orders
8) Contracts and agreements for athletic events, entertainment concerts, Fine Arts events,
and other similar activities
9) Group travel packages for resale to students, faculty and staff, and other similar
activities
10) Materials or services purchased for emergencies resulting from disasters, hazards,
and other exigent circumstances
c. Leases of one (1) year or more, including equipment, involving expected aggregate
payments exceeding $5700,000
d. Purchase, sale or exchange of real property
e. Depository contracts
f. Food services contracts or service contracts for similar University activities
g. Architect-Engineer contracts required for projects specified under Subsection 2.a.l.
h. Contracts and agreements with support or development foundations
i. Employment of administrative officers, faculty, and non-classified employees
j. Changes of position status of administrative officers, faculty, and non-classified
employees
k. Dual employment of administrative officers, faculty, and non-classified employees
\L Leaves of absence for one (1) semester or more
2m. Settlements, consent decrees, and similar actions in litigation (Executive session
only, does not require Board action for approval.)
$n. The President shall be delegated the responsibility and authority to enter into
contracts, purchases, and agreements for sums less than $5700,000, whether the amount
is income or expenditure, and to enter into all grants and agreements funded by private
individuals, governmental agencies, and foundations without regard to the amount, unless
otherwise limited by the Board. At the option of the President, contracts, purchases, and
P-26
Appendix 5
agreements for sums less than $#700,000 may be submitted to the Board of Regents for
approval. The General Counsel should review and provide legal advice on all contracts or
agreements. The department responsible for originating the contract is responsible for
maintaining it for the applicable period (minimum of two years).
4o. The President may delegate power to contract, purchase, or enter into agreements of
less than $#700,000, or amounts over $#700,000 to the extent authorized in Section 2.b.
of this policy, to other employees of the University. The President will remain
responsible for all contracts, purchases, and agreements for sums under $#700,000, and
for the proper administration of all grants and agreements funded by private individuals,
governmental agencies, and foundations, regardless of delegation of power to contract,
purchase, or enter into agreements. In the absence of the President, or at such time as the
President is unavailable to sign a document by a required deadline, the following
individuals are authorized to sign on his behalf: (listed in order of priority) Provost and
Vice President for Academic Affairs, Vice President for Business Affairs Finance and
Administration, Vice President for University Affairs, Vice President for University
Advancement, Associate Provost. All other delegations must be specific and in writing to
be effective. The General Counsel should review and provide legal advice on all
contracts or agreements.
#/?. All delegations of contracting authority to persons other than those listed above which
were made by a previous President shall be void once a new President assumes office.
SOURCE OF AUTHORITY: Board of Rogonts
Cross Reference: None
Responsible for Implementation: President
Contact for Revision: President
Forms: None
P-27
Appendix 5
Distribution of SFA Alumni Foundation Scholarships
(C-51)
Original Implementation: July 17, 2001
Last Revision: NeaeJanuary 30, 2007
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 not be applied to parking fines. Any funds 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, social security campus identification number, dollar amount of award,
and school term of award. It should be received at the SFA Financial Aid Office by the
following dates: May 20 for Summer II, Fall, Spring, and Summer I
March 15 for Summer Terms
April 15 for Fall Semester
November 15 for Spring Semester
The SFA Controller's Office will bill the Alumni Foundation monthly for awards made
through the BR accounting system. The bill will include each student's name, social
security 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.
SOURCE OF AUTHORITY: Stephen F. Austin State University Board of Regents;
Stephen F. Austin State University Alumni Foundation, Inc.
P-28
Appendix 5
CROSS REFERENCEOms Reference: Memorandum of Understanding between
Stephen F. Austin State University and Stephen F. Austin State University Alumni
Foundation, Inc. dated May 18, 2001
Responsible for Implementation: Vice President for Finance and Administration
CONTACT FOR KEVlSIONContactfor Revision: Vice President for Business
AffairsAssociate Vice President for Budget and Finance
FGRMSForms: None
P-29
Appendix 5
Faculty/Staff ID Cards (F-13)
Original Implementation: Unpublished
Last Revision: July 11, 2005January 30, 2007
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/-ef-staff identification card.
Employees wishing to use the HPE Campus Recreation facilities, Library, Wollnoss
Center, or other University facilities will may be required to show a current faculty/staff
I&r-Employees wishing to obtain an ID card should follow this procedure:
1. mastreComplete a "Request for Staff/Faculty ID Card" form in Human Resources.
2. After Human Resources will-verif/esy employment, t. The employee must take tho
request to room 13 in the UniversityCenter where he/sho must pay $5(non refundable).
The employee must then take the request form and tho receipt showing paymont to room
221 in the UniversityCenter to have a picture talcon and a card produced. The employee
should then takes the verified request form to the ID officcCard Services office in the
Student Center to have the ID card made.
The fee for a faculty/staff ID card is $5.00. This fee will be charged to the employee's
account and 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, room 221 of tho
UniversityCenter in the Student Center and —^Separating employees are required to
return ID cards during the checkout process.
Retired faculty/staff are also entitled to purchase an encouraged to purchase ID card
using the same process as outlined aboves in the same manner.
Cross Reference: None
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of the Student Center
Forms: Request for Staff/Faculty ID Card (available in Human Resources)
P-30
Appendix 5
File Maintenance for Faculty Personnel Files (A-60)
Original Implementation: October 31, 2000
Last Revision: July 25, 2002 January 30, 2007
The Southern Association of Colleges and Schools requires that the university keep on
file for all full-time and part-time faculty members documentation of academic
preparation including official transcripts, and, if appropriate for demonstrating
competency, official documentation of professional and work experience, technical and
performance competency, records of publications, certifications and other qualifications.
To meet that requirement, the following guidelines have been established which address
the contents of the file as well as the designated place for maintaining the file.
Filed in Office of Provost and Vice President for Academic Affairs:
I. All Academic Ranks, 9 month, 100% time, tenure and non-tenure
track.Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant
Professor, Instructor, Librarian I, II, III or IV; Visiting (Rank), Lecturer, Librarian
I T, II T, III T, or IV T; Designated (full time) 9 month, 100% time, tenure and non
tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curriculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
II. Visiting (Rank), Lecturer, Librarian I T, II T, III T, or IV T, Designated (full
time)—9 month, 100% timo, non tenure track
1) Personnel Action Request form (groon copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA offico
P-31
Appendix 5
1) Post hire form
5) Curiculum Vita
6) Official transcripts from all degree granting institutions attended
7) Three letters of reference
Filed in Office of College Dean:
I. Adjunct, Designated (part time) 4.5 to 9 months, less than 100% time, non-tenure
track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean's office
3) Post-hire form
4) Curriculum Vita
5) Official transcripts from all degree granting institutions attended
6) Three letters of reference
II. Graduate Teaching Assistant (Domestic)—Enrolled graduate student, 50% time or
less, non tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Graduate office
3) Post hire form
1) Official transcripts from all degree granting institutions attended
5) Three letters of reference
Filed in Graduate Office:
I. Graduate Teaching Assistant (International) - Enrolled graduate student, 50% time or
less, non-tenure track
1) Personnel Action Request form (green copy)
P-32
Appendix 5
2) Signed contract issued by Graduate office
3) Post hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
The above records must be maintained for five (5) years after personnel leave active
employment.
Note: See Policy E-l A, Academic Appointments and Titles, for definition of titles.
Source of Authority: Provost and Vice President for Academic Affairs
Cross Reference: Policy and Procedure Manual, 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-33
Appendix 5
Food Drink and Tobaccoflw<<</n Academic
Areas (B-8)
Original Implementation: December 21, 1982
Last Revision: April 30, 2002 January 30, 2007
Limited consumption off ood or beverages is permitted in the public areas of the Steen
Library. Consumption off ood 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 off ood or beverages may be
permitted, provided such permission does not conflict with law.
The provisions of the policy for Use of University Facilities 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 following aforementioned provisions apply to regulations on use of food or
rdrink, and tobacco in the Library, classrooms and laboratories.
Eating, drinking of beverages, and use of all tobacco products is prohibited in the public
areas of the Steen Library and in all indoor classrooms and laboratories. Under
extraordinary circumstances and with advance approval of the appropriate academic
dean, eating or drinking of beverages (but not the use of tobacco products) may bo
permitted, provided such permission does not conflict with law.
SOURCE OF AUTHORITY: Board of Regonts, President, Provost and Vice President
for Academic Affairs
Cross Reference: Faculty Handbook, Tobacco Products, Policy D-35.5; Use of
University Facilities, Policy B-l
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
P-34
Appendix 5
Grade Reporting (A-41)
Original Implementation: January, 1983
Last Revision: January 28, 2003January 30, 2007
On the first day of final examinations of each semester or summer term, the Registrar will
provide official grade report forms for each class to departmentaVschool/division offices.
It is the responsibility of each instructor to record the appropriate grade for each student
listed on the grade sheet by entering the grade into the electronic data base for student
records. Faculty shall complete grade entry by the deadline established on the university
calendar.
The Registrar will provide access for electronic verification grade sheets for each class to
departmental, school, or division offices. It is the responsibility of each instructor to
verify accuracy of grade entry and to notify the Registrar of any discrepancies.
Grades may be posted on bulletin boards or othorm a designated pktees-place only with
the written permission of the student and theft-must be done se-in a manner that an
individual student's grade can not be identified by others. Students may use a touchtone
phone or logon to the University Web Site to obtain their grades as soon as they are
added to the electronic data base.
Source of Authority: Buckley Pell Amendment, President, Provost and Vice President
for Academic Affairs
Cross Reference: NemBuckley-Pell Amendment (Pub. L No. 93-568, 88 Stat. 1858)
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact For Revision: Provost and Viet President for Academic Affairs
Forms: None
P-35
Appendix 5
Graduate Assistantships (A-20)
Original Implementation: Unpublished
Last Revision: January 28, 2003January 30, 2007
To be eligible for a graduate assistantship, a student must have clear or provisional
admission to the graduate school and the departmenX/school/division and be in good
academic standing. A graduate assistant may be assigned to research projects or to
teaching. Graduate assistants assigned at the 50% rate (50% = full graduate assistantship)
are expected to serve 20 clock hours or equivalent teaching assignment per week in the
department/school/division to which they are assigned. Those assigned to other
percentages are expected to work a proportionate number of clock hours. The department
chair/director is responsible for the selection, training, assignment of duties and
supervision of the graduate assistants in his/her department/school/division.
A graduate assistant must be enrolled for at least ninenine six hours of graduate course
work in the fall or spring semesters and three semester hours in a summer session. Should
a graduate assistant fall below the ninenine six or three hour minimum for a semester or
summer session, he or she will not be eligible for an assistantship the following semester.
A student must be approved for an assistantship by the Chair/Director of the Department,
the Academic Dean, the Director of Personnel Services, the Budget Director, and the
Associate Vice President for Graduate Studies and Research. The appointment as a
graduate assistant is completed only after the candidate has attended a mandatory new
employee orientation session in the Office of Personnel Services.
Except for students in the Ed.D., Ph.D. and M.F.A. programs, a student may receive an
assistantship for no more than four long semesters.
Source of Authority: Provost and Vice President for Academic Affairs
Cross Reference: Graduate Bulletin, www.sfasu.edu/graduate/assistantship2.html
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Associate Vice President for Graduate Studies and Research
Forms: Application Form for Graduate Assistantships (available from the office of the
Chair/Director of the academic department)
P-36
Appendix 5
Honorary Degree (D-18)
Original Implementation: October 18, 1988
Last Revision: April 21, 1998January 30, 2007
Stephen F. Austin State University may, on occasion, grant honorary degrees to
individuals who have over an extended period, rendered exceptional contributions to the
University or the public interest through public service, philanthropic activity, intellectual
or artistic performance, or leadership roles. Honorary degrees may not be awarded to
individuals officially associated with the University at the time of the award nor to
individuals holding elective office unless they have achieved distinction in another field
of endeavor.
Nominations for honorary degrees may be submitted to the President by faculty, staff,
administration, or members of the Board of Regents of the University. Nominations will
be evaluated by an advisory committee appointed by the President with representation
from the faculty, staff, student body and administration. The committee will make
recommendations to the President who, in turn, will make recommendations to the Board
of Regents. Only the Board of Regents can authorize an honorary degree, which will be
granted at a regularly-scheduled commencement.
Source of Authority: Board of Regents
Cross Reference: None
Responsible for Implementation: President
Contact for Revision: President
Forms: None
P-37
Appendix 5
Indirect Costs Recovery, Distribution and Use (A-51)
Original Implementation: October 26, 1999
Last Revision: July 11,2005January 30, 2007
Indirect costs are those incurred for a common or joint purpose which benefit more than
one University department/activity, and which are not readily assignable to a specific
department/activity. They also are known as Facilities and Administrative (F&A) orThey
are sometimes referred to as overhead costs. In seme-most instances, grantors and
funding entities agree to reimburse the University for 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 or Project Director must include indirect costs in the
proposed budget for all grants, contracts and cooperative agreements at the maximum
rate allowed by the sponsor. Only the Associate Vice President for Graduate Studies and
Research or his/her designee, in consultation with the President, is authorized to
negotiate indirect cost rates with sponsors.
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 Stephen F. Austin State University will be allocated
as follows:
1. To the Office of Research and Sponsored Programs (ORSP) an amount sufficient to
cover the total actual costs of operations as approved through the Academic Affairs
budget process.
2. Fifty percent (50%) of any remaining revenue (after Step \)upto $100,000 and one
hundred percent (100%) of any remaining revenue in excess of $100,000 to the ORSP to
be distributed to academic units that generated the recovered indirect costs. Such units
shall expend the funds for projects encouraging further research, including, but not
limited to:
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;
P-38
Appendix 5
e?e. purchasing capital equipment directly related to expanding the research
capability of the institution; and
d?f research or project administrative costs not covered by the funding entity,
e.supporting new researchers pending external funding
3. Any remaining/4// funds shall be expended to support research and sponsored programs
at Stephen F. Austin State University 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.
The ORSP shall make distributions to academic units as recommended by the University
Research Council and approved by the Provost and Vice President for Academic Affairs.
The distributions will be made at the close of each fiscal year, based upon the previous
year's indirect cost reimbursements. No allocations will be made to academic units in
any year in which the total indirect costs recovered are less than the actual amount
expended by the ORSP.
Source of Authority: Texas Education Code, Section 115.001, as amended; Provost and
Vice President for Academic Affairs
Cross Reference: None
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Associate Vice President for Graduate Studies and Research
Forms: None
P-39
Appendix 5
Instructor-generated Materials (A-22.1)
Original Implementation: September, 1990
Last Revision: January 28. 2003January 30, 2007
"Instructor-generated materials" generally refers to coursepacks or other such class
materials that are intellectual property compilations and are intended for sale. They are
not merely handouts, copies, textbooks, or trade books published by a commercial or
university press. Copies of handouts distributed in class are provided to students and paid
for by course fees. Published textbooks or trade books must be sold through bookstores.
Under no circumstances, may faculty members sell instructor-generated or other
academic materials directly to students. The instructor-generated materials may then be
sold through the University bookstore or off-campus vendors.
Instructor generated materials must be favorably reviewed and approved by an
appropriate review committee within the faculty member's department and by the dean of
the college involved. The instructor generated materials may then be sold through the
University bookstore or off campus vendors.
The University and faculty member(s) will negotiate a royalty agreement in advance of
the sale of instructor-generated materials in the University bookstore to properly
compensate the faculty member(s) for their time, effort, and intellectual property, unless
it was a work made for hire. See Intellectual Property, Policy D-20. The University shall
not be responsible for royalties or other financial benefits on instructor-generated
materials sold by off-campus vendors.
The faculty member(s) shall retain the right to assemble, edit and amend their intellectual
property as necessary, subject to a department/college review, to determine whether the
general quality of scholarship renders the material suitable for instruction and/or sale. No
departmental/college review may infringe upon the academic freedom of the faculty
member(s) who created the instructor-generated materials.
The General Fair Use Guidelines as described in Copyrighted Works Reproduction,
Policy A-12, are applicable to instructor-generated materials. Copyright notices,
appropriate citations and attributions should be included. The faculty-staff member who
compiles the instructor-generated materials shall be responsible for complying with these
guidelines. Permission must be obtained for materials that will be repeatedly used by the
same instructor for the same class. Using a commercial copy shop does not necessarily
relieve the creator of instructor-generated materials of liability, unless the Fair Use
Guidelines are followed or the copy shop pays appropriate royalties. Campus copy
centers are not permitted to copy such materials, unless these guidelines are followed.
Source of Authority: President, Vice President for Academic Affairs
Cross Reference: Faculty Handbook, University Policies D-20, Intellectual Property and
A-12, Copyrighted Works Reproduction
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Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
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Appendix 5
Intellectual Property (D-20)
Original Implementation: April 9, 1988
Last Revision: October 23, 2003 January 30, 2001
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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(1) 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 on 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 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 nonfiction, 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.T
(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 parties 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 in the course and scope of employment)
(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
or his designee. Compensation and division of royalties, if any, will be negotiated by
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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 ftmding 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.
7. Warranty
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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:
@-©i920 , 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,
the inventor shall, upon request, execute an invention agreement prior to commencement
of the project, or as soon thereafter as practical.
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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 1 .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
include a statement governing the division of royalties between the University and the
donor.
4. Use of Inventions and Discoveries
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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, device or of
information which gives one an opportunity to obtain an advantage over competitors who
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 lawful means available
to the University as determined by the President or his designee.
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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
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
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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,
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.
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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, f