Minutes of the Board of Regents of Stephen F. Austin State University. 2001, Volume No. 174

              Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
April 30,2001 (as amended)
Volume 174
TABLE OF CONTENTS
01-38 Approval of January 8, and January 30, 2000 Minutes 1
01-39 Election of Board Officers ZZZZZ 1
01-40 Election of Interim President ZZZZZZZZZZ'.'.l
01-41 Election of General Counsel ZZZZZZZZ. 1
01-42 Election of Director of Audit Services ZZZZ. 1
01-43 Faculty/Staff Appointments for 2001-2002 ....I. 1
01-44 Changes of Status ZZZZZZZZZ.'.'. 3
01-45 Promotions 3
01-46 Tenure ZZZZZZZZZ 4
01-47 Regents Professorships for 2001-2002 ZZZZZZZZZ. 5
01-48 Faculty Development Leaves for 2001-2002 ZZZZZZZZ. 5
01-49 Leaves of Absence without Pay 5
01-50 Faculty Workload Report for Spring 2001. ZZZZZZZZZZZZZZZ 5
01-51 Curriculum ZZZZZZZZ'. 5
01-52 Proposal for Master of Science in Forestry; Major: Spatial Science...^...... 5
01-53 Proposal to Offer Elementary Education PBIC Program Online ZZZ 6
01-54 Food Service Contract 6
01-55 Course Fees ZZZZZZZZZZZZZZZ 6
01-56 Laboratory Fees Z.ZZZZ. 6
01-57 Distance Learning Fee 6
01-58 Student Service Fee ZZZZZZZZZZZZZZZ''.6
01-59 Undergraduate Application Fee ZZZZZ.Z. 6
01-60 Designated Tuition ZZZZZZZZZZZ. 6
01-61 Room and Board Rates Z.ZZZZ.ZZ. 6
01-62 Purchase of Water Sample Testing Service ZZ.ZZZZZZZZ.7
01-63 Proposal for Forestry Consulting Contract .ZZZZZZZZZ 7
01-64 Resolution on Texas Public Finance Authority Master Lease
Purchase Program 7
01-65 Summer 2001 Budget ZZZZZZZZZ.ZZZZZ.7
01-66 Approval to Purchase Equipment for TIF Grant ZZZZZZZZ
01-67 Reinstatement Fee ZZZZZZ.ZZZZZ.7
01-68 Roofing Project ZZZZZ. 7
01-69 Naming of the Murray Shaw Championship Room ..ZZZZZZZZZZZ. 8
01-70 Renovations and Improvements to Food Service Areas Z.Z.ZZZZ. 8
01-71 Policy Revisions ZZ.Z.ZZ. 8
Appendix No. 1 -Curriculum 9
Appendix No. 2 - Master of Science in Forestry; Major: Spatial Sciences i7
Appendix No. 3 - Course Fees ZZZZ'. 26
Appendix No. 4 - Laboratory Fees ZZ.ZZZZZZZZZ. 29
Appendix No. 5 - Texas Public Finance Authority Master Lease
Purchase Program Resolution 30
Appendix No. 6 - Budget Changes Less Than $50,000 ZZZZZZZ 32
Appendix No. 7 - Policies and Procedures 33
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
APRIL 30, 2001
The meeting was called to order at 10:15 a.m. by Chair Penny Butler. Board members
present in Room 307: Margarita de la Garza Grahm, Kenneth James, Mike Enoch, Gary
Lopez, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf.
Others present in Board Room 307: Roland Smith, Janelle Ashley, Baker Pattillo, and
other SFA administrators, staff, and visitors.
The Board entered Executive Session at 10:18 a.m., and resumed Open Session at 2:46
p.m.
01-38
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, with all
members voting aye, it was ordered that the minutes of January 8, and January 30, 2000
be approved.
01-39
Upon motion of Regent Stevens, seconded by Regent Wulf, with all members voting aye,
it was ordered that Board Chair be Mike Enoch, Vice Chair be Penny Butler, and Secretary
be Susan Roberds.
01-40
Upon motion of Regent Roberds, seconded by Regent Wulf, with all members voting aye,
it was ordered that Roland Smith continue as Interim President at the current salary until a
President is selected and begins employment.
01-41
Upon motion of Regent James, seconded by Regent Roberds, with all members voting
aye, it was ordered that Yvette Clark's appointment as General Counsel be continued, with
the FY2002 salary subject to the preparation and adoption of the budget.
01-42
Upon motion of Regent Lopez, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that Steve McGee's appointment as Director of Audit Services be
continued, with the FY2002 salary subject to the preparation and adoption of the budget.
01-43
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting aye, it was
ordered that the following appointments be approved.
1. Athletics
Ms. Nicole Nelson, Assistant Soccer Coach, at a salary of $12,000 for 9 months,
effective February 5,2001.
Mr. Kenny Washington, Assistant Football Coach and Instructor of Kinesiology,
at a salary of $49,502 for 10.5 months, effective February 9,2001.
Ms. Lee Ann Riley, Women s Head Basketball Coach, at a salary of $95,000 for
12 months, effective April 4, 2001.
Ms. Pennee Hall, Assistant Women s Basketball Coach, at a salary of $50,000 for
10.5 months, effective April 6, 2001.
Ms. Dayna Westbrook, Assistant Women's Basketball Coach, at a salary of
$43,000 for 10.5 months, effective May 28, 2001.
2. Biology
Dr. Alexander Karatayev, Associate Professor, Doctor of Science (Belarussian
Academy of Science), at a salary of $45,000 for 100% time for nine months,
effective September 1, 2001.
Dr. Peter J. King, Assistant Professor, Ph.D. (University of California-Irvine), at
a salary of $37,250 for 100% time for nine months, effective September 1,2001.
3. English
Dr. Karen Kornweibel, Assistant Professor, Ph.D. (University of Texas), at a
salary of $34,000 for 100% time for nine months, effective September 1, 2001.
4. General Business
Dr. Beverly Oswalt, Assistant Professor, Ed.D. (University of Memphis), at a
salary of $50,000 for 100% time for nine months, effective September 1, 2001.
5. Information Technology Services
Kyle Ervin, Programmer Analyst I, at a salary of $27,000 for 100% time, effective
February 19, 2001.
Joey M. Voss, Programmer Analyst I, at a salary of $27,000 for 100% time,
effective February 19, 2001.
6. Management/Marketing/International Business
Ms. Charlotte Allen, Assistant Professor, MBA (Baylor University), at a salary
of $60,000 for 100% time for nine months, effective September 1, 2001.
7. Mathematics and Statistics
Dr. James. D. Stamey, Assistant Professor, Ph.D. (Baylor University), at a salary
of $40,000 for 100% time for nine months, effective September 1, 2001.
8. Modern Languages
Dr. Jeana Paul-Urena, Assistant Professor, Ph.D. (Texas Tech University), at a
salary of $34,000 for 100% time for nine months, effective September 1, 2001.
01-44
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the following changes of status be approved.
1. Controller
Tamara Jo Hart, from Accountant, at a salary of $30,000, for 75% time, to
Accountant, at a salary of $20,000, for 50% time, effective March 19, 2001.
2. Counseling and Career Services
Ms. Catherine Simkunas, Administrative Assistant at a salary of $19,835 for
twelve months, to Coordinator of Testing at a salary of $25,751 for twelve
months, effective February 9, 2001.
3. Modern Languages
Dr. Bonnie C. Todd, from Professor and Interim Chair at a salary of $72,850 for
100% time for eleven months, to Professor and Chair at a salary of $72,850 for
100% time for eleven months, effective February 22, 2001.
4. Physical Plant
John D. Rulfs, from Associate Director of Physical Plant, at a salary of $63,075
for 100% time, to Director of Physical Plant, at a salary of $69,000 for 100%
time, effective February 1, 2001.
5. Social Work
Ms. Becky Price-Mayo, from Information Specialist at a salary of $25,956 for
100% time for twelve months, to Senior Information Specialist at a salary of
$31,500 for 100% time for twelve months, effective January 1, 2001.
01-45
Upon motion of Regent Lopez, seconded by Regent Wilhite, with all members voting aye,
it was ordered that the following individuals be granted promotion to the academic rank
indicated, effective fall semester, 2001.
To Assistant Professor:
Mr. Ron Petti Music
Mr. Gary Wurtz* Music
Ms. Greta Haidinyak Nursing
* Contingent upon completion of doctorate by August 31, 2001.
To Associate Professor:
Dr. Michael D. Stroup Economics/Finance.
Dr. Dawn Ella Rust Kinesiology
Dr. Vi Alexander Elementary Education
Dr. Sally Swearingen Human Sciences
Dr. Robert S. Stewart Biology
To Professor:
Dr. Violet Rogers Accounting
Mr. Stan Bobo Kinesiology
Dr. Mitzi Perritt Human Sciences
Dr. Marie Saracino Human Sciences
Dr. Tim King Music
Dr. Gary Kronrad Forestry
Dr. Ann Doyle-Anderson Modern Languages
Dr. Gary Ford Psychology
Dr. Mark Ludorf Psychology
Dr. Ray Darville Sociology
To Professor Emeritus
Dr. Thomas Franks College of Education
Dr. Elvia Rodriguez Elementary Education
Dr. Jack McCullough Biology
Dr. Walter Robertson Biology
Dr. Calvin P. Barton Mathematics (posthumously)
01-46
Upon motion of Regent Roberds, seconded by Regent Lopez, with all members voting
aye, it was ordered that academic tenure be awarded to the following individuals, effective
September 1, 2001, unless otherwise noted..
Dr. Larry King Communications
Ms. Wanda Mouton* Communications
Dr. Tim Cherry Agriculture
Dr. Dawn Ella Rust Kinesiology
Dr. Alan Sowards Elementary Education
Ms. Ann Ellis Library
Ms. Tina Oswald Library
Ms. Virginia Rigby Library
Mr. Gary Wurtz** Music
* Contingent upon completion of doctorate by 12/31/01. If so, effective date of tenure
will be 1/1/02.
** Contingent upon completion of doctorate by 8/31/01.
01-47
Upon motion of Regent Roberds, seconded by Regent Wulf, with all members voting aye,
it was ordered that the following be awarded Regents Professorships for the academic year
2001-2002.
Dr. Anna Bradfield Human Services
Dr. Michael Legg Forestry
01-48
Upon motion of Regent de la Garza-Grahm, seconded by Regent Roberds, with all
members voting aye, it was ordered that the faculty members listed below be awarded
Faculty Development Leaves for the semester indicated.
Fall 2001:
Mr. Piero Fenci Art
Dr. Jim Corbin Sociology
Dr. Lee Schultz English
01-49
Upon motion of Regent Wulf, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the following faculty leaves of absence without pay be
approved.
1. English and Philosophy
Dr. Beth Donaldson, Assistant Professor, effective fall 2001 for one year to
engage in research and writing directly related to responsibilities at SFA.
2. Mathematics and Statistics
Dr. Deborah Pace, Assistant Professor, effective fall 2001 for one year to accept
a similar position in a visiting capacity at another institution.
01-50
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the faculty workload report for Spring 2001 be approved as
submitted at the meeting.
01-51
Upon motion of Regent Roberds, seconded by Regent Wulf, with all members voting aye,
it was ordered that the Board of Regents approve the undergraduate and graduate
curriculum changes listed in Appendix No. 1.
01-52
Upon motion of Regent Enoch, seconded by Regent Butler, with all members voting aye, it
was ordered that the proposal for a Master of Science in Forestry with a major in Spatial
Science as provided in Appendix No. 2 be approved for forwarding to the Texas Higher
Education Coordinating Board.
01-53
Upon motion of Regent Butler, seconded by Regent Roberds, with all members voting
aye, it was ordered that the online delivery of the Elementary Education Post
Baccalaureate Certification Program and submission to the Coordinating Board be
approved.
01-54
Upon motion of Regent Roberds, seconded by Regent Wilhite, with all members voting
aye, it was ordered that the food service contract be awarded to ARAMARK. The
proposed contract includes renovations and improvements to food service areas not to
exceed $1,000,000. It is also approved that upon acceptance of this contract, the
administration be authorized to proceed with those renovations to be done in house, not
to exceed the amount funded by the food service company.
01-55
Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting
aye, it was ordered that the proposed modifications in the Schedule of Course Fees shown
in Appendix No. 3 be approved, effective beginning with registrations for Fall, 2001.
01-56
Upon motion of Regent Lopez, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the proposed revisions in the Schedule of Laboratory Fees
shown in Appendix No. 4 be approved, effective beginning with registrations for Fall,
2001.
01-57
Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting
aye, it was ordered that the increase in distance learning fees to $25 per semester credit
hour be approved, effective beginning with registration for Fall, 2001.
01-58
Upon motion of Regent Wulf, seconded by Regent Butler, with all members voting aye, it
was ordered that the Student Service Fee be increased to $9.00 per semester credit hour
and that the fee ceiling be established at the amount allowed by statute, effective
beginning with the registration for Fall, 2001.
01-59
Upon motion of Regent Wulf, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the proposed undergraduate application fee of $25.00 be
approved, effective for students applying for Spring 2002.
01-60
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the designated tuition rate be set at $30 per semester hour beginning
with registration for the Fall, 2001 semester.
01-61
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, with all
members voting aye, it was ordered that Room and Board Rates be increased by 3%,
effective Fall 2001 semester.
01-62
Upon motion of Regent Lopez, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the purchase of necessary water samples generated by the
Alto Watershed Project and funded by the College of Forestry, Center for Applied
Studies in Forestry, Forest Resources Institute (FRI), Temple-Inland Incorporated, and
the National Council for the Paper Industry for Air and Stream Improvement (NCSI) be
approved, at a cost not to exceed $ 106,000.
01-63
Upon motion of Regent Lopez, seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that the initiation of a consulting contract for a representative or
consultant in Washington, DC, to represent the University in identifying funding
opportunities be approved, with Governor's Office approval and appropriate processing,
at a total cost not to exceed $90,000 plus $15,000 for expenses for one year, and that the
President be authorized to sign the agreement. Source of funds will include local (non-appropriated)
funds from the Colleges of Forestry and Sciences & Mathematics as well as
funds from the Nacogdoches Economic Development Council.
01-64
Upon motion of Regent Roberds, seconded by Regent Wulf, with all members voting aye,
it was ordered that the Board of Regents adopt the resolution shown in Appendix No. 5 as
amended, authorizing access to the Texas Public Finance Authority's Master Lease
Purchase Program, and that it be evaluated as an option for financing the computing-equipment
purchase scheduled for academic year 2002. Action leading to purchase of the
equipment or implementation of the Master Lease Purchase Program in that purchase will
be brought before the Board of Regents for final authorization.
01-65
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, with all
members voting aye, it was ordered that faculty and staff salaries and benefits included in
the annual budget be increased by $150,208 to provide funding for the education and
general portion of the 2001 Summer Budget. In addition, it is ordered that the total
Summer Budget of $3,604,150 be approved as presented. The Board of Regents Finance
Committee has considered this item.
01-66
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that the purchase of equipment required of the TIF D14 Discovery
Grant for Distance Education be approved, not to exceed $400,000. The source of funds
is the TIF D14 grant.
01-67
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, with all
members voting aye, it was ordered that the Reinstatement Fee be increased to $50 per
credit hour, and that reinstatement would be permitted only in extraordinary
circumstances and at the University's sole discretion.
01-68
Upon motion of Regent Butler, seconded by Regent James, with all members voting aye, it
was ordered that the low bid from Bonner Roofing be accepted for reroofing Rusk,
Boynton, Forestry east end, and Kennedy lower sections, and that the President be
authorized to sign related purchase orders and contracts. Project price not to exceed
$333,868. Source of funding is the HEAF 2001 budget.
01-69
Upon motion of Regent Wilhite, seconded by Regent Lopez, with all members voting aye,
it was ordered that the reception room at William R. Johnson Coliseum be named the
Murray Shaw Championship Room.
01-70
Upon motion of Regent Wulf , seconded by Regent de la Garza-Grahm, with all members
voting aye, it was ordered that that the University be authorized to proceed with the
improvements to the food service areas. The University Physical Plant will be
responsible for Phase I at a cost not to exceed $300,000. Phase I will begin immediately
in order to be completed prior to the Fall 2001 semester. Phase II will require the services
of an architect and construction manager. The University recommends Scott & Strong for
A/E services and J. E. Kingham for construction manager to be approved at the July
Board meeting. Bids for Phase II will be presented at the July Board meeting.
01-71
Upon motion of Regent Roberds, seconded by Regent James, with all members voting
aye, it was ordered that the policy revisions be approved as presented.
X. REPORTS
A. Faculty Senate
1. Resolutions Passed by Faculty Senate
a. Putting the University Budget Online
b. University Honor Code
c. Arrests Made by NPD on Campus
d. Graduate School Admission Requirements
e. Privacy Rights
2. Suggested Policy Revisions in Process of Being Completed in Faculty Senate
a. Intellectual Property Rights
3. 2000-2001 in Review
a. Goals and Accomplishments
b. Communication between Faculty, Administration, and the Board of Regents
c. Faculty Morale
4. Hopes for the Future at SFA
B. Interim President
1. Commencement
2. Telecommunications Infrastructure Grant
C. Presidential Selection Committee Update on Presidential Search
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, with all
members voting aye, it was ordered that the meeting be adjourned.
Meeting adjourned at 4:20 p.m.
C\
CN
Approved Undergraduate Course Proposals
University Curriculum Committee
2000-2001 Academic Year
Deleted Courses
Course
Number Course Title Major Notes
COM 215 Management of Meetings Communication Change course number
ENG215 Poetry and Drama English Change course number
ENG 231 World Lit: Ancient to Renaissance English Change course number
ENG 232 World Lit -Since the Renaissance English Change course number
ENG 234 Literary Genres English Change course number
ENG 360 Mythology English Change course number
ENG 340 Folklore English Change course number
ENG 333 American Literature Survey English Change course number
ENG 334 America Literature Since 1865 English Change course number
ENG 345 Shakespeare English Change course number
ENG 489 History of the English Language English Change course number
ENG 311 The Structures of English English Change course number
ENG365 Studies in Film and Literature English Change course number
ENG 385 Literature for Children English Change course number
ENG 395 Literature for Adolescents English Change course number
ENG 371 Creative Writing English Change course number
ENG 371 Creative Writing English Change course number
ENG 371 Creative writing English Change course number
ENG 280 Writing about Literature English Change course number
ENG 373 Reasoning and Writing English Change course number
ENG 330 Topics in Literature English Change course number
ENG 465 Comparative World Literature English Change course number
ENG 403
ENG 410
ENG 420
ENG 430
ENG 440
ENG 450
Medieval British Literature
English Lit: The Renaissance
English Lit: The Neoclassical Period
English Lit: The Romantic Period
English Lit: The Victorian Period
English Literature 1900 - 1960
English Change course numbers
and consolidate
Approved Undergraduate Course Proposals
University Curriculum Committee
2000-2001 Academic Year
Deleted Courses
ENG 435
ENG 445
ENG 455
American Lit: The Romantic Period
American Lit: The Period of Realism
American Literature 1920 -1960
English Change course numbers
and consolidate
ENG 414 Introduction to Linguistics English Change course number
ENG 480 English in the Secondary School English Change course number
ENG 373 Reasoning and Writing English Change course number
ENG 471 Advanced Composition English Change course number
ENG 475 Advanced Independent Studies in English English Change course number
ENV441 Photogrammetry and Remote Sensing Forestry Change course number
ENV441L Photogrammetry and Remote Sensing Lab Forestry Change course number
GBU 225 The Business Environment General Business Change course number
HMS 442,
HMS 442L
Standards for Early Childhood Programs Human Sciences Change course number
SWK215L Practicum Social Work Change course number;
change to lecture
APPROVED
GRADUATE COURSE PROPOSALS
SPRING, 2001
Notes
Adds research component to MPAC program
Adds new component to curriculum.
Adds new component to curriculum.
Replaces 495G, cross-listed with 495
Replaces 489G, cross-listed with 489
Replaces 490G, cross-listed with 490
Combines 3 existing courses into one topics course.
Combines 2 existing courses into one topics course.
Replaces ENG 524, adds prerequisites
Replaces ENG 525, adds prerequisites
No credit. Documents training as teaching assistant
Adds new component to English program
Adds new component to Env. Sci. program
Enhances assessment skills of graduates
Replaces 403G, cross-listed with 403
Replaces 404G, cross-listed with 404
Replaces 405G, cross-listed with 405
Replaces 429G, cross-listed with 429
Replaces 463G, cross-listed with 463
Adds new component to program
Adds new field of study to curriculum
Adds research component to Music Ed. program
Adds new component to Music Ed. program
Adds new component to Music Ed. program
Adds new component to Music Ed. program
Adds optional course in Music Education
Adds optional course in Music Education
Adds optional course in Music Education
Adds optional course in Music Education
PS Y 490G Human Assessment
PSY495G Psychopathology
PSY 502 Personality
PS Y 514 Organizational Psychology
PSY 515 Groups at Work
RDG 501 Adv. Stud. Early Lit. of Young Ch.
RDG 502 Adv. Stud, of Upper Level Literacy
RDG 503 Reading Assessment
RDG 504 The Reading Professional
SPE 571 The Educational Diagnostician
Psychology
Non-Psychology
Psychology
Psychology
Psychology
Reading
Reading
Reading
Reading
Special Education
Adds graduate credit option
Adds graduate credit option for non-psych, majors
Adds new field of study to graduate curriculum
Adds option to I/O program & other grad. programs
Adds option to I/O program & other grad. programs
To comply with certification requirements
To comply with certification requirements
To comply with certification requirements
To comply with certification requirements
Adds capstone course to curriculum
Course Changes
Course
CSC 435G Teleprocessing & Data Comm.
CSC 441G Principles of Systems Prog.
CSC 445G Computer Graphics
ENG 505 World Literary Topics
ENG 521 British and American Authors
ENG 530 British Lit. Types and Modes
ENG 532 American Lit. Types and Modes
ENG 580 Composition Theory and Pedagogy
ENG 582 Bibliography and Research Meth.
ENG 583 Special Topics
ENG 595 Independent Study
EPS 502 Applied Behavior Analysis
PS Y 518 Advanced Psychopathology
Type Notes
Change in prerequisites
Change in prerequisites
Change in prerequisites
Change in course number and prerequisites
Change in title, number, and prerequisites
Change in number and prerequisites
Change in number and prerequisites
Change in title
Change in title, description, and prerequisites
Change in number (formerly 578)
Change in number (formerly 575)
Change prefix from SPE
Change in title (See PSY 495G above)
Appendix No. 2
Nonsubstantive Degree Program Proposal
NAME OF INSTITUTION Arthur Temple College of Forestry. Stephen F. Austin State University
NAME OF PROPOSED PROGRAM Master of Science in Forestry: Maior: Spatial Scie
Display how proposed programs(s) would appear on the Coordinating Board program inventory; include Texas CIP
designation^).
College Degree Major CIP
F0R MSF Spatial Science 0305060005
How would name(s) of program(s) appear on student diplomas?
MSF Spatial Science
How would name(s) of program(s) appear on student transcript?
Master of Science in Forestry
Major: Spatial Science
Administrative unit(s) responsible for the program(s):
Arthur Temple College of Forestry. Stephen F. Austin State University
Proposed date for implementation of the program: Fall Semester. 2001
Person to be contacted for further information about proposed program(s):
Name: Dr. R. Scott Beasley Title: Dean. Arthur Temple College of Forestry
Phone:(936)468-3301 FAX: (936)468-2489
Signatures: -
Campus Chief Executive Officer Date
System Chief Executive Officer Date
(As appropriate)
Governing Board approval date:
17
I. REASON FOR REQUEST
A. In our increasingly technologically advancing world, especially in the field of natural resource management, the
ability to effectively quantify, qualify, map, monitor and manage our natural resources is crucial. The
spatial information science disciplines of photogrammetry, digital remote sensing, geographic
information system (GIS) and global position system (GPS) are tools that a natural resource manager can use
to address spatially related natural resource problems, issues and concerns. If our natural resource
professionals are to make prudent managerial decisions about the resources under their supervision, knowledge
of the quantity, quality, value, location and spatial distribution of those resources is crucial. The proposed
degree will provide students with the necessary skills to address natural resource related problems, issues and
concerns from a spatially oriented perspective.
The need fora graduate with a spatial science background in natural resource management is increasing. A
search of the two most popular internet sites that post natural resource related spatial analysis positions, such as
Cyber-Sierra's Natural Resources Job Search @ http://cyber-sierra.com/nrjobs/gis.html or The GIS Jobs
Clearinghouse @ http://w-vvw.gjc.org, reveal that on average there are approximately 25 spatial science positions
added per day. According to the United States Bureau of Labor Statistics, the number of spatial science related
positions within forestry/natural resource related positions in the United States will increase bv approximately
17 percent between 1996 and 2006.
The need for natural resource graduates with a spatial science background is further confirmed by the number of
inquiries received by faculty in the Arthur Temple College of Forestry. Dr. Daniel Unger and Dr. Peter Siska,
current faculty in the Arthur Temple College of Forestry, each receive on average 3 to 4 direct contacts per
semester from prospective graduate students wishing to pursue a graduate degree in forestry/natural resource
management with an emphasis in the spatial science disciplines.
Spatial science programs are traditionally housed in geography programs such as those at the University of
Texas at Austin, Texas A & M University, University of North Texas and Southwest Texas State University
where students can pursue a geography degree with a specialization and/or in-depth study of the spatial sciences
which traditionally focus mainly on GIS and GPS applications. In addition, geography departments focus more
on the cultural/human interactions of a geographic education and typically lack the photogrammetry and digital
remote sensing perspective provided by schools such as the Arthur Tempie College of Forestry at Stephen F.
Austin State University within a forestry/natural resource management application.
Although most academic institutions accredited by the Society of American Foresters in the South allow a
graduate student to pursue a graduate degree with, an emphasis in the spatial analysis disciplines, there is
currently no SAF accredited institution in the South that awards a masters degree with a designated major in the
spatial sciences. The University of Kentucky and Auburn University allow an undergraduate to pursue a degree
with an emphasis in the spatial analysis disciplines within a traditional SAF degree program. The University of
Arkansas provides an undergraduate degree in the spatial information sciences; the only one of its kind at anv
SAF accredited institution in the United States.
Stephen F. Austin State University has a window of opportunity to take the lead role in offering this much
needed graduate degree that would focus on all four spatial analysis disciplines of photogrammetry, digital
remote sensing, GIS and GPS within a traditional forestry/natural resource management program. '
18
II. PROGRAM DESCRIPTION
A. Degree Objective
Provide a masters degree for a student with a forestry/natural resource undergraduate degree that will allow
a student to become proficient in applying photogrammetry, digital remote sensing, GIS, GPS and spatial
statistics to quantify, qualify, map, monitor and manage natural resources.
B. Degree Title
Master of Science in Forestry; Spatial Science Major (Minimum of 12 credits in spatial analysis/spatial
information coursework)
C. Degree Outline
Required/Core Courses
Course Credits
FOR 551 Advanced GIS Concepts 3
FOR 552 Remote Sensing of Natural Resources 3
FOR 510 Research Methods 3
Select one of these:
FOR 553 Advanced GIS Applications
FOR 649 Digital Image Processing 3
FOR 521 Advance Landscape Ecology
FOR 589 Thesis Research 3
FOR 590 Thesis Writing _3_
Total = 18
Non inclusive Possible Electives (currently listed)*
Course Credits
FOR 553 Advanced GIS Applications 3
FOR 564 Aerial Photo Interpretation 3
FOR 649 Digital Image Processing 3
FOR 521 Advanced Landscape Ecology 3
GEOG 501 Physical Geography Seminar 3
GEOG 502 Cultural Geography Seminar 3
GEOG 503 Regional Geography Seminar 3
FOR 517 Biometrics 3
MATH 520 Statistical Analysis I 3
MATH 522 Regression Analysis 3
MATH 524 Applied Multivariate Statistics 3
MATH 525 Applied Nonparametric Statistics 3
CSC 511 Programming Languages 3
CSC 425/525 Database Management Systems 3
*The choice of elective courses will be determined by.the student and his/her graduate committee, based on the proposed
research topic.
19
ffl. RELATIONSHIP TO EXISTING AUTHORIZED PROGRAMS
A. The proposed program, which is a tool oriented forestry/natural resource degree, would enhance our current
programs by providing a degree that would enhance a students understanding of the spatial analysis tools
available as aids in making natural resource management decisions. Current programs and their relationship
to the proposed degree are itemized as follows:
Current Degrees (resource based) Proposed Degree (tool based)
Bachelor of Science in Forestry Master of Science in Forestry
- Forestry Major - Spatial Sciences Major
- Forest Recreation Management Major
- Forest Management Major
- Forest Range Management Major
- Forest and Wildlife Management Major
Master of Forestry
- Forestry Major
- Forest Management Major
- Silviculture major
Master of Science in Forestry
- Forestry Major
- Forest Management Major
- Silviculture Major
B. The proposed tool based program, which has previously been unavailable at Stephen F. Austin State University,
would compliment our existing resource based programs well by providing an additional avenue for current as
well as new students to broaden their understanding of our natural world and how to use the spatial analysis
tools available to increase their management effectiveness. Although it is expected that overall graduate*
enrollment would increase with the proposed degree (e.g. approximately 5-10 graduate students at any given .
time), the effect of the increased enrollment would be minimal with respect to additional section requirements or
increased faculty load. The proposed program would require no new faculty. The classes as outlined under
Program Description in Section II are being taught by existing faculty and have adequate space to accommodate
the increased enrollment. In addition, computer hardware and software as well as programmetry field
equipment required for the degree are in place and are being updated on a rotating basis to stay current in the
fast paced and high demand spatial science disciplines.
20
IV. EXPECTED ENROLLMENT
A. Expected enrollment for the proposed degree stratified by academic year, year of study as well as expected
attrition and graduated rates are as follows for the first five years:
B. Assumptions in determining expected enrollment numbers came from using: (1) contacts and personal
experience from existing spatial science faculty at other academic institutions; and, (2) enrollment numbers for
students pursuing spatial science related degrees at other southern SFA accredited academic institutions.
21
V. RESOURCES
A. Description of recently implemented and new courses for the proposed degree.
1. Courses implemented and/or significantly altered within the past three years that would be included in the
proposed curriculum are itemized below:
Title
FOR 551 Advanced GIS Concepts
FOR 552 Remote Sensing of Natural Resources
2.
Description
Expanded examination of GIS theory, concepts,
technology and applications.
Introduction to the theoretical and practical
applications of digital remote sensing for natural
resource management. Specifics include: history
and overview of remote sensing, electromagnetic
spectrum, image acquisition, radiometric
correction, geometric correction, image
classification and accuracy assessment.
The applications of GIS technology to building
and maintaining databases and analyzing spatial
and temporal problems.
Application of photogrammetric principles to
quantify and qualify forested/natural resources
via the interpretation of black and white, color and
color infrared aerial photographs.
Analysis of digital image processing techniques
applied to satellite and other non-photographic
data involved with mapping, monitoring and
management of natural resources. Techniques
involved with enhancement and analysis for both
visual and digital applications are explored.
No new courses are required for the proposed degree. Although additional courses may be offered and
proposed in the future, all course requirements for the proposed degree as described under Program
Description currently exist and are being taught by existing faculty.
FOR 553 Advanced GIS Applications
FOR 564 Aerial Photo Interpretation
FOR 649 Digital Image Processing
22
B. Description of faculty resources and faculty requirements relevant to the Master of Science in Forestry; Spatial
Science Major.
1. Description of current spatial science faculty members and their contribution to the proposed
degree are as follows:
a. Dr. Daniel Unger, Assistant Professor of Remote Sensing/GIS.
Ph.D. received from the University of Idaho in the College of Forestry, Wildlife and Range
Sciences, Remote Sensing/GIS emphasis, 1995.
.^Current assignment: 75 percent teaching, 25 percent research.
Appointment date: September 1998.
Expected contribution to proposed program: 50 percent.
Courses faculty member would teach: FOR 552, FOR 564 and FOR 649.
b. Dr. Peter Siska, Assistant Professor of GIS/Remote Sensing.
Ph.D. received from Texas A&M University, GIS/Remote Sensing/Spatial Analvsis emphasis
1995. '
Current assignment: 52 percent teaching, 48 percent research.
Appointment date: September 1999.
Expected contribution to proposed program: 50 percent.
Courses faculty member would teach: FOR 551 and FOR 553.
2. No new courses are required for the proposed degree. Hence, current teaching assignments would be
unaltered.
3. No new faculty positions/teaching assistantships are anticipated within the first five years of the proposed
program. The faculty, necessary equipment and seating/classroom space are adequate to accommodate the
expected increase in enrollment.
23
C Description and status of equipment, including computer software and hardware as well as programmetry
equipment, required for the proposed program are itemized below:
1. Computer software required for the proposed degree has been purchased and is continually updated on an
annual basis for current teaching and research assignments. We currently have industry standard spatial
analysis software capable of handling any spatially oriented natural resource related problem, issue or
concern. Specific software in-house includes ARC/INFO 8.0.2, ArcView 3.2, ERDAS Imagine 8.4 and
Trimble's Pathfinder Office 2.51. Other software in-house used to enhance the production capability of our
spatial analysis products includes Adobe's Photoshop, PageMaker and Illustrator.
2. Computer hardware required for the proposed degree, which is housed in the Arthur Temple College of
Forestry's Graduate GIS Laboratory, includes five Silicon Graphic 02 workstations. The 02 workstations
run IRIX 6.2.5 operating system (UNIX based) and are networked using TCP/IP connectivity to a Silicon
Graphics ORIGIN 200 File and Application Server. The specifications for each SGI 02 workstation
include an R5200 MIPS CPU, 256 Mb RAM, Cobalt Chipset Video Adapter, 21 inch monitor and
10/100Mbps Network Interface. The GIS Laboratory also has an HP 755cm Large-size plotter for printing
graduate level class and research maps with a maximum print size of 36 x 42 inches. Also housed in the
Graduate GIS Laboratory are a variety of GPS receivers used for data collection and include six Trimble
GeoExplorer3, one Trimble ProXRS and one Trimble TDC1.
Additional hardware accessible for graduate students pursuing the proposed degree is located in the Arthur
Temple College of Forestry's Undergraduate GIS Laboratory. The undergraduate laboratory houses twenty
Silicon Graphics 320 Visual workstations and a teacher workstation. All of the computers in the
undergraduate lab are networked via Cat5 Ethernet cabling to a Silicon Graphics ORIGIN 200 File Server
located in the Graduate GIS Laboratory. Each workstation connects to the ORIGIN 200 server using
Samba, a suite of applications running on the IRIX operating system on the server, allowing file sharing,
account storage, data acquisition and data backup from a centralized location. Both the Undergraduate°and
Graduate laboratories are connected using a fiber optic link, allowing speeds up to lOOMbps uninterrupted
data transfer. The specifications for each undergraduate SGI 320 Visual workstation include the Windows
NT Operating System, Pentium III 500 iMhz CPU, 256 Mb RAM, Cobalt Video Processor, 17 inch monitor
and 10/1000Mbps Network Interface Card. The undergraduate laboratory also has a networked Lexmark
Optra 45N networked color printer with Tabloid print ability and 600 x 600 maximum dpi.
3. Photogrammetiy equipment required for the proposed degree has been purchased and is continually updated
on an annual basis for current teaching and research assignments. Current equipment includes 25 pocket
stereoscopes, 4 mirror stereoscopes, 15 Michigan Parallax Wedges, 10 parallax bars, two light tables and
one portable light table. Additional equipment includes 15 engineer scales for precise photogrammetric
measurements, 20 photo density scales, 20 micrometer wedges, 15 multiscale photo templates and
7.5 minute USGS topographic quadrangle maps covering all of Texas for photo interpretation comparison.
The Arthur Temple College of Forestry also has an extensive archive collection of aerial photographs of
Stephen F. Austin State University and east Texas dating from the 1930's to present for teaching and
research.
24
D. Description and status of facilities with respect to the proposed program.
1. Facilities to support the proposed program, and its integration with other programs within the Arthur
Temple College of Forestry are currently in place. The main building housing the Arthur Temple College of
Forestry, in which a Graduate and Undergraduate GIS Laboratory as well as a photogrammetry lab are
housed, consists of a two-story 51,695-ft2 building. The building contains fifty-two offices for faculty, staff
and students. The building also contains eight classrooms and 16 laboratories including a 2,505 ft2
lecture/conference room. The laboratories, which provide an excellent opportunity to integrate spatial
analysis into other aspects forestry/natural resource management, include wildlife disease, silviculture,
necropsy, fire, eco-physiology, dendrology, growth chambers, recreation and two wildlife labs.
The Graduate and Undergraduate GIS Laboratories and photogrammetiy lab as described above in Section
C under Resources are centrally located and easily accessible by faculty, staff and students. The
laboratories are well lit and maintained according to industry spatial analysis software and hardware. In
addition to current faculty responsible for the laboratory as described above in Section B under Resources, a
full-time staff member whose office is located within the Graduate GIS Laboratory is responsible for
maintaining the laboratories with respect to software upgrades, hardware upgrades and the daily operation
of the laboratories.
25
Appendix No. 3
MODIFICATIONS TO SCHEDULE OF COURSE FEES
26
27
28
Appendix No. 4
MODIFICATIONS TO SCHEDULE OF LAB FEES
29
Appendix No. 5
TEXAS PUBLIC FINANCE AUTHORITY MASTER LEASE PURCHASE PROGRAM
RESOLUTION
(TO BE ADOPTED BY THE GOVERNING BODY OF A STATE AGENCY OR
INSTITUTION OF HIGHER EDUCATION TO FINANCE EQUIPMENT UNDER THE
MASTER LEASE PURCHASE PROGRAM.)
WHEREAS, pursuant to Chapter 1232, Texas Government Code, the Texas Public Finance
Authority ("Authority") is authorized to issue revenue bonds or other obligations to finance the
acquisition of equipment for state agencies and institutions of higher education;
WHEREAS, Stephen F. Austin State University ("Agency") intends to request the Authority
from time to time to issue revenue bonds or other obligations to finance or refinance equipment
in an aggregate amount not exceeding the amount authorized by the Legislature in the General
Appropriations Act or other act of appropriation;
WHEREAS, the Agency now desires to approve and authorize request for financing or
refinancing of equipment and to authorize the Interim President or President to submit request
for financing or refinancing from time to time and to take such other actions as may be necessary
with respect thereto; and
WHEREAS, the Agency desires and intends that this Resolution and authorizations it
embodies remain in effect until rescinded, withdrawn, or amended by action of the Stephen F.
Austin State University Board of Regents;
THEREFORE, BE IT RESOLVED BY THE Stephen F. Austin State University Board of
Regents THAT:
1. The acquisition of equipment has been duly authorized by law and is required or suitable
for public purposes mandated by law and the financing or refinancing of the equipment is
appropriate.
2. The President or the Interim President of Stephen F. Austin State University is hereby
authorized and directed to submit requests from time to time to the Authority to issue
bonds or other obligations, in an aggregate amount not exceeding the Agency's
appropriation authority for the equipment.
3. The Interim President or President is further authorized to approve, execute and deliver the
Master Lease Agreement Requests for Financing, and such other instruments, including
but not limited to the financing documents required by the Authority's rules, and to take
such other actions as are necessary and appropriate in connection with the issuance, sale or
delivery of the bonds or other obligations.
4. This Resolution and the authorizations embodied herein shall continue in effect until
rescinded, withdrawn, or amended by action of the Stephen F. Austin State University
Board of Regents.
5. Due notice of this meeting and the subject matter of this Resolution was given as required
by law and a quorum of the Stephen F. Austin State University Board of Regents was
present at the meeting at which this Resolution was considered.
Adopted and effective as of April 30, 2001.
Mike Enoch • Susan Roberds
Chair, SFASU Board of Regents Secretary, SFASU Board of Regents
Left blank intentionally.
31
Appendix No. 6
STEPHEN F. AUSTIN STATE UNIVERSITY
SCHEDULE OF BUDGET INCREASES
January 9, 2001 to April 12. 2001
ACTIVITY RECIPIENT TRANSFER SOURCE
32
Appendix No. 7
Policies for Board Review
April 30,2001
33
Policies for Board Review
April 30,2001
34
Add/Drop A-5
Original Implementation: April 27, 1986
Last Revision: January 25, 2000April 30, 2001
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 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 or can secure the
dean's permission by demonstrating some exceptional circumstance.
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 be permitted only with the permission of the
student's dean and will be noted as a "WP" if the student is passing at the time or a "WF" if
the student is failing at the time. A withdrawal will also be noted as a "WP" or "WF" on the
transcript.
Source of Authority: Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin, Schedule of Classes
Contact for Revision: Registrar
Forms: None
PI
Allowable Credit Hours and Completion Time for A-7.5
Doctoral Students
Original Implementation: April 21, 1998
Revision Date: ^me-April 30, 2001
1. Effective September 1, 1998, those students who have completed a total of 130 or
more doctoral hours will be subject to paying tuition and fees in an amount to be
commensurate with the current out-of-state tuition and foes, or tho equivalent of full-cost-of-
education as determined by Stephen F. Austin State University.
2. Effective September 1, 1998,1. 7hose students who have reached a total of 99 or more
doctoral hours will be disallowed student employment by Stephen F. Austin State
University.
3. Effective September 1, 1999, 2. 7hose students who have completed a total of 99 or
more doctoral hours will be subject to paying tuition and fees in an amount to be
commensurate with the current out-of-state tuition and fees, or the equivalent of full-cost-of-
education as determined by Stephen F. Austin State University.
4. Effective September 1, 1998, and 3. is very academic year thereafter, a formal review
of each doctoral student's academic progress will be conducted subsequent to three years
of full-time enrollment by the appointed graduate program advisor within the department
and/or respective college. In all cases, the review process will be initiated within the
program/department and follow the guidelines set forward in the most current Graduate
Bulletin and/or the most current guidelines as recorded in the Office of the Associate
Vice President for Graduate Studies and Research. Each review will result in a progress
profile to be shared with the student, major professor, graduate program advisor,
department chair, and dean of the college, and placed on record with the Graduate
School. Subsequent to the three-year review, a doctoral student must file a progress
report signed by the major professor with the graduate program advisor. Accumulation of
doctoral hours in excess of 99 while failing to complete the degree will constitute
unsatisfactory progress and will result in the termination of the student's degree program.
In the case when a student's program is terminated, she/he may request a Post-
Termination Review to be conducted by the department chair, graduate program advisor,
and dean of the college. The Post-Termination Review may result in a recommendation
for reinstatement to the Associate Vice President for Graduate Studies and Research.
£r 4. An appeal for reinstatement beyond the Post-Termination Review may be made in
writing to the University Graduate Council.
Source of Authority: Texas Education Code 61.059 (1); Vice President for Academic Affairs
Cross Reference: Graduate Bulletin
Contact for Revision: Vice President for Academic Affairs
Forms: None
P2
Cheating and Plagiarism
Original Implementation: Unpublished
Last Revision: April 20, \999April 30, 2001
Throughout their education program, students should be impressed with the fact that cheating
and plagiarism are morally degrading and that these practices seriously interfere with learning and
intellectual development. It is a responsibility of faculty members to make every effort (1) to
inspire in their students an appreciation of and a desire for honesty in academic work, (2) to
create an atmosphere that discourages dishonesty, and (3) to take appropriate action in instances
of dishonesty.
Cheating
It is the responsibility of the student to abstain from cheating. Dishonesty of any kind with
respect to examinations, written assignments, in or out of class, alteration of records, or illegal
possession of current examinations or keys to examinations shall be considered cheating.
It is the responsibility of each faculty member to maintain the best possible conditions to
prevent cheating in any manner. Each faculty member shall arrange for vigilant protection of all
examinations and class exercises. He/she shall also employ every precaution to deny access to
class records or examinations to anyone who is not entitled to such information.
Plagiarism
Courtesy and honesty require that any ideas or materials borrowed from another must be fully
acknowledged. Offering the work of another as one's own is plagiarism. The subject matter of
ideas thus taken from another may range from a few sentences or paragraphs to entire articles
copied from books, periodicals, or the writing of other students. The offering of materials
assembled or collected by others in the form of projects or collections without acknowledgment
is also considered plagiarism. Any student who fails to give credit for ideas or materials taken
from another is guilty of plagiarism.
Procedure
A faculty member who has evidence that cheating or plagiarism has occurred should gather all
pertinent information, and approach the student or students involved, and initiate the following
procedure. Students shall be given the option of allowing the faculty member to adjudicate the
cheating or plagiarism allegation informally through student/teacher interaction or the right to a
formal haring before the College Council hearing panel described in they may appeal according to
Policy A-2, Academic Appeals by Students. At its discretion, the College Council may
P3
constitute a subcommittee of the Council with student representation to conduct the formal
If an informal adjudication process is selected by the student(s), the faculty member shall review
all evidence of cheating or plagiarism and discuss it directly with the student(s) involved. After
hearing the student(s)' explanation or defense, the faculty member shall notify the student of
their determination of whether cheating and/or plagiarism has occurred and the penalty as
determined by the faculty member (e.g., zero for assignment, failure of exam, re-submission of the
paper, failure of the course, referral to the Dean of Student Development for more serious
University lever level discipline, etc.). The faculty member shall make notes of the conversations
and retain all pertinent documents for a period of at least two years. A student who chooses this
informational informal adjudication may appeal the faculty determination under the Academic
Appeals by Students, Policy A-2.
If a formal hearing is requested at the onset of the allegation, the faculty member shall
immediately advise the Department Chair, who in turn shall advise the Dean, that a hearing
before the College Council or its subcommittee will need to be convened. Student representation
on the College Council will be assured as outlined in Policy A 2 regarding general academic
appeals by students. The College Council or its subcommittee's role will be solely to determine
whether cheating or plagiarism has taken place and has been committed by the accused
student(s). The College Council or its subcommittee in a cheating/plagiarism hearing shall follow
formal hearing procedures to include written notice of the charges, and opportunity to question
(cross examine) witnesses, opportunity to present their side of the story, and the opportunity to
have counsel present to give them advice. Should the student have an attorney present, then
University Counsel shall also attend the hearing. All testimony shall be recorded and copies of
pertinent documents shall be retained by the College Council and provided to the Dean's office
for safekeeping. (The College Council may establish informal hearing procedures for general grade
appeals processed through Policy A 2, Academic Appeals by Students. These formal procedures
only apply to cheating/plagiarism hearings.)
Upon a determination by the College Council or its subcommittee regarding whether cheating/
plagiarism has taken place, the faculty member shall determine a grade or other appropriate
action. The student may appeal the grade through the Academic Appeals by Students Policy A-
2, but any steps involving the College Council in that policy would not be applicable to the
limited circumstances of such an appeal. Documents involved in a finding of cheating/plagiarism
shall become student records.
Documents involved in a finding of cheating/plagiarism shall become student records.
Penalties
Penalties for cheating/plagiarism may include, but are not limited to:
P4
Reprimand, F on assignment, F or WF in the course, probation, suspension, or expulsion.
A student who is found to have cheated/plagiarized and withdraws prior to the award of a grade
will continue to have the determination of the infraction within their student records. Further
cheating/plagiarism infractions would then lead to more serious penalties such as suspension or
expulsion from the University through a referral to the Dean of Student Development. The
student(s)' grade will be withheld by the instructor pending resolution through the above
procedures, even if the grade must be withheld after final grades are due in the Office of the
Registrar.
Source of Authority: Vice President for Academic Affairs and Vice President for University
Affairs
Cross Reference: Faculty Handbook, Student Handbook, and Academic Appeals by Students,
Policy A-2, and Add/Drop, Policy A-5
Contact for Revision: Vice President for Academic Affairs
Forms: None
P5
Class Attendance and Excused Absences A-10
Original Implementation: November 9,1981
Last Revision: April 21, 1998 April 30, 2001
Class Attendance
Regular and punctual attendance is expected at all classes, laboratories, and other activities
for which a student is registered. For those classes where attendance is a factor in the
course grade, the instructor shall make his/her class policy known in writing at the
beginning of each term and shall maintain an accurate record of attendance.
Regardless of attendance, every student is responsible for course content and assignments.
Excused Absences
It is University policy to excuse students from attendance for certain reasons. Among
these are absences related to health, family emergencies, and student participation in
certain University-sponsored events.
Students are responsible for providing documentation satisfactory to the instructor for
each class missed. Students with acceptable excuses will be permitted to make up work
for absences to a maximum of three weeks of a semester or one week of a six-week
summer term when the nature of the work missed permits.
In the case of absences caused by participation in University-sponsored events,
announcement of such absences by the Vice President for Academic Affairs will
constitute an official excuse. Faculty members should submit a written explanation of the
absence, including the date, time and an alphabetical listing of all students attending to the
office of the Vice President for Academic Affairs for publication.
Source of Authority: Vice President for Academic Affairs
Cross Reference: General Bulletin, Faculty Handbook, Student Handbook and
Activities Calendar
Contact for Revision: Vice President for Academic Affairs
Forms: None
P6
Course Incidental Fees A-12,1
Original Implementation: April 21, 1998
Last Revision: Neae^pnV 30, 2001
Each course other than a laboratory class that is offered by the University will charge a
course incidental fee of $6. These funds will be used to provide materials, supplies,
and/or services which result in a direct educational benefit in the classroom. Laboratory
classes charge a fee for the purpose of providing materials and supplies in the laboratory
(See Policy A-24, Laboratory Fees); therefore, the course incidental fee will not be
charged for a laboratory class.
In those cases where the costs of classroom materials, supplies, expendable equipment,
and guest lecturers or travel expenses to off-campus locations as an integral part of the
classroom learning experience exceed the $6 minimum, the additional per capita cost of
these goods and services and other educational opportunities may be added to the
minimum fee. The course incidental fee charged must reasonably reflect the actual cost to
the University of the materials and services for which the fee is collected.
Course incidental fees in excess of $6 shall by recommended by the department chair and
approved by the Dean of the College and the Vice President for Academic Affairs. These
fees shall be published in the appropriate bulletin of the University. These fees will be
reviewed and approved annually by the Board of Regents. All course incidental fees are
to be collected by the Controller's Office through student billings. All course incidental
fees collected are to be spent for materials, supplies and/or services which provide a
direct benefit to the classroom environment.
Source of Authority: Texas Education Code, Sec. 54.501 and 54.504, VTCA, Board of
Regents, President, Vice President for Academic Affairs
Cross Reference: None
Contact for Revision: Vice President for Academic Affairs
Forms: None
P7
Dead Week A-15
Original Implementation: June 16, 1982
Last Revision: April 21, l99SApril 30, 2001
Dead week is an established tradition in higher education to allow students the necessary
time to prepare for final examinations. During the last five class days of each long
semester, written examinations (except to cover daily assignments) and themes or
assignments beyond normal daily requirements are not to be assigned without written
notification to the students prior to the twelfth class day.
The Division of University Affairs and major student groups (SGA, RHA, IFC,
Panhellenic, UC Programs) of the University shall observe dead week by refraining from
sponsoring on-campus student social activities (parties, dances, films, concerts,
banquets). On-campus advertising for any social activity sponsored off-campus by a
student group during dead week will not be approved.
Source Of Authority: Vice President for Academic Affairs, Vice President for
University Affairs
Cross Reference: Faculty Handbook
Contact For Revision: Vice President for Academic Affairs, Vice President for
University Affairs
Forms: None
P8
Research Enhancement Program A-39
Original Implementation: September, 1965
Last Revision: January 20, 1998 Apri 130, 2001
Research Enhancement funds provided by the State of Texas are the basis of the support
for the faculty research enhancement program. The funds are intended to encourage and
enhance research opportunities for faculty members and serve as "support for innovative
research and seed monies to attract non-state financial support. "[1987 Report of the
Select Committee on Higher Education.]
The Research Enhancement Program at Stephen F. Austin State University is composed
of two components: the Faculty Research Grants Program and the Minigrants Program.
The Faculty Research Grants Program provides substantive support for research and
scholarly creative activities. Minigrants provide an opportunity for faculty to carry out
small projects or preliminary research activities which will increase their competitiveness
in the acquisition of external funds.
Any faculty member, including any professional librarian, is eligible to apply for a
faculty research grant, subject to the following conditions:
1. A faculty research grant will not be awarded for the purpose of obtaining an
advanced academic degree.
2. The recipient of a faculty research grant in a given year is ineligible for a grant the
following year, except that, in the first year of a fiscal biennium, a project may be
funded for two years under extraordinary circumstances.
3. Except in extraordinary circumstances, an applicant is limited to one faculty
research grant proposal in a single year.
4. The recipient of a faculty research grant may not accept another concurrent grant
for tho same research. Faculty research grant funds may not be used for research
activities or equipment funded by another research grant. This does not preclude
the use of these funds for purposes of matching.
5. Because the College of Forestry has access to research funds from other sourcos
members of the College of Forestry are not eligible to apply to the Faculty
Research Grants program. Those researchers who have access to research funds
from other sources are encouraged to exhaust all alternative funding pathways
prior to applying for a faculty research grant.
6. In the expenditure of faculty research grant appropriations, a recipient is subject
to all local, state, and federal fiscal regulations.
P9
7. A recipient is subject to all local, state, and federal affirmative action regulations.
8. Any research proposal that would involve the use of human subjects, laboratory
animals, or hazardous materials must be accompanied by a memorandum of
approval from the chair of the appropriate University committee. These
committees are: Institutional Review Board for the Protection of Human Subjects,
Institutional Animal Care and Use Committee, Environmental Safety and
Health/Radiation Committee, Biosafety Committee, and Public Health Committee.
9. A faculty research grant recipient must make such progress and final reports about
his/her project as required by the Office of Research and Sponsored Programs.
The final report must include a 200-word abstract of the research and the findings.
10. Any publication resulting from a faculty research grant shall acknowledge that the
project was conducted under a Stephen F. Austin State University faculty research
grant. Copies of the publication shall be filed with the Office of Research and
Sponsored Programs and with the Steen Library.
11. Each recipient of a faculty research grant is subject to the provisions of, and shall
be responsible for adherence to, the University policy on Intellectual Property
(Policy D-20), which applies 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 subject to protection under patent,
trademark, or copyright laws or common law." In addition, each recipient shall
be responsible for securing and disposing of all other legal claims, such as
copyrights, to any publication or other original creation made or conceived in the
course of research or other activity supported by a faculty research grant
12. Nothing in this policy shall conflict with State or Federal law or with the policies
of the Board of Regents of the University.
[Delete the sections on Criteria for Evaluating Faculty Research Grant Proposals,
Methods of Evaluating Faculty Research Grant Proposals, and Allocation of Faculty
Research Funds, since they are primarily focused on procoduros and subject to
modification by the University Research Council]
For information on application procedures, program guidelines, submission deadlines,
methods of evaluating faculty research proposals, and criteria for evaluating faculty
research grant proposals , for evaluating faculty research grant proposals, methods of
evaluating faculty reGoarch grant proposals, submission deadlines, program guidelines,
and application procedures contact the Office of Research and Sponsored Programs.
P10
Source of Authority: Texas Education Code, sec. 141.001 et seq.; 7 U.S.C., sec. 2131; 9
CFR Part 3; 17 U.S.C., sec. 101; 37 CFR Parts 203 and 204; 35 U.S.C., sec. 101; 42
U.S.C., sec. 289; 45 CFR Part 46; President; Vice President for Academic Affairs
Cross Reference: University Policy D-20, Intellectual Property
Contact for Revision: Associate Vice President for Graduate Studies and Research
Forms: None
Pll
Satisfactory Academic Progress for Financial Aid Recipients A-40
Original Implementation: September, 1985
Last Revision: July 14, \998April 30, 2001
For a student to be eligible to receive federal student assistance at SFASU, tho student
must maintain satisfactory progress in the course of study being pursued as described
1
* AAl l students must be enrolled in degree or teaching certificate program.
* Newly enrolled undergraduate students must be admitted "in good standing" with
SFASU Admissions.
* Students who have re-entered SFASU should not be on academic probation.
* Students receiving financial aid must maintain satisfactory progress toward completion
of their respective degree in order to remain eligible for student aid funds. A maximum
number of attempted credit hours is set for each degree goal.
* Satisfactory progress bases full-time, 3/4 time, 1/2 time or less than 1/2 time enrollment
on the number of hours in which the student enrolled as of the university census date for
each semester.
* Satisfactory progress considers all coursework including withdrawals, incomplete and
failures.
CREDIT HOUR ACCUMULATION
The following aro three categories for attendance, the number of credit hours a student
must complete each academic year, and the maximum number hours attempted for degree
completion. The stated maximum allowable hours at each level of study (Bachelors, Post-
Baccalaureate, Masters and Ph.D.) are for all students regardless of the number of
changes in major or concentration. The student's entire academic record at SFASU
(including prerequisite courses) is used to calculate the maximums. Course work
transferred to SFASU will count toward the allowable number of maximum credit hours.
P12
Undergraduate 6 through 8 hours 6 credit hours'1' 195 oomootor hours*
Post-Baccalaureate 6 through 8 hours 6 credit hours4 36 semester hoi
Graduate: Masters 5 graduate hours 5 credit hours* 54 semester hours*
MFA&MBA 5 graduate hours 5 credit hours* 50 semester h.
* Credit hours will be considered to be satisfactorily completed if one of the following
grades is earned: A, B, C, D or P. Grades of F, W, WH, WF or WP arc not satisfactory. If
a graduate student receives a WH for Thesis Research or Thesis Writing, the hours will
not be counted as hours attempted due to the length of time needed to complete this
degree requirement.
* If you withdraw from the university prior to the end of the semester, it may affect your
eligibility for future financial assistance.
GRADE POINT REQUIREMENTS (GPA)
In addition to the above, to be eligible to receive financial aid:
* All undergraduates must have and maintain a cumulative GPA of 2.0 or better.
* Graduate students must maintain a cumulative GPA of 3.0 or better.
Note: Students who are admitted to Stephen F. Austin State University at a non-degree,
provisional (except graduate students will be given one semester to remove provisional
status), transient, summer prep or career interest or self-improvement, or if on academic
probation, will not be eligible to receive financial aid. When the student is admitted to a
degree program, or special student status is changed, or probation status is removed, an
eligible student may then apply for financial aid. Credit hour accumulation and GPA will
be checked for compliance at the end of each semester. Students who are not making
satisfactory progress will be allowed to receive financial aid for a (grace) semester.
Students who arc not in compliance after the grace semester are not eligible for assistance
until they have successfully completed one semester of academic course work which
meets the credit hour and GPA standards as indicated above. Students who are not
making satisfactory academic progress may file a written appeal to the Financial Aid
Office. Appeals will then go before a committee for review and all students will be
notified of their decision in writing. Appeals should include all documentation which
supports any mitigating circumstances concerning the failure to maintain the expected
level of satisfactory progress. All decisions made by the committee are final. Students
have thirty (30) days after grades are posted to file an appeal with the Financial Aid
Federal regulations mandate minimum standards of "satisfactory progress "for students
receiving financial assistance. These requirements apply to the student's entire academic
history, whether financial aid was received or not and to all types of aid: Grants, Loans,
and Work-Study. The standards for determining progress at the university are composed
of three separate measurements: Grade point average, Credit hour requirements, and
Maximum hours allowed. For a student to be eligible to receive federal and state student
financial assistance at SFASU, the student must maintain satisfactory progress in their
course of study. All students must be enrolled in a degree or teaching certificate
program. Newly enrolled undergraduate students must be admitted "in good standingtf.
P13
NOTE: Students who are admitted to SFASU as a Non-Degree, Provisional (except
graduate students who will be given one semester to remove provisional status),
Transient, Summer Prep, Career Interest or Self-Improvement, Audit Courses, AARC
. (090) tutoring, or if on academic suspension, will NOT be eligible to receive financial
aid. When the student is admitted to a degree program, Special Student status is
changed, or suspension status is removed, an eligible student may then be considered for
financial assistance.
GRADE POINT A VERAGE (GPA)
This is the qualitative measurement used for academic work at this University. For
financial aid purposes, a student must maintain a cumulative GPA of 1.8 or better as a
Freshman, 2.0 or better as a Sophomore through Senior and 3.0 or better as a graduate.
Grade point averages will be checked on an annual basis.
CREDIT HOUR REQUIREMENTS
This is the quantitative measurement of a minimum number of hours completed each year
at SFASU. A year is defined as Summer I, Summer II, Fall, and Spring sessions. In
order to receive financial assistance, all students must complete at least 75% of the hours
attempted.
♦ Credit hours will be considered to be satisfactorily completed if one of the following
grades is earned: A, B, C, D, or P. Grades ofF, W, WH, WFt or WP are not
satisfactory. If a graduate student receives a WHfor Thesis Research or Thesis
Writing, the hours will not be counted as hours attempted due to the length of time
needed to complete this degree requirement. However, there is a two-year limit on
Thesis Research and Thesis Writing.
♦ If you withdraw from the university prior to the end of the semester, receive all F's,
or receive a combination of all W's and F's, you will be denied for future financial
assistance. W's and F fs will be checked after each semester. You may reapply after
Satisfactory Progress has been met.
♦ Financial Aid is given to students enrolled for remedial courses (098 & 099). These
courses are considered attempted hours and also count as earned hours for financial
aid satisfactory progress. A student must make a grade of A, B, C, D, or P to remain
in compliance.
♦ Repeated classes are treated the same as any other class.
MAXIMUM HOURS ALLOWED
The stated maximum allowable hours at each level of study are for all students regardless
of the number of changes in major or concentration. The student's entire academic
record at SFASU (including prerequisite courses) is used to calculate the maximums.
Course work transferred to SFASU will count toward the maximum number of allowable
credit hours. Maximum hours allowed will be checked after each semester.
P14
Students who are not in comvliance are not eli2ible for assistance until thev have made
up the credit hour deficiencv from the last evaluation period and/or brought their GPA
up to the Qualitative standard indicated. Once the deficiencv is made up. the student
should notify the Financial Aid Office.
Students who are not making satisfactory academic progress may file a written appeal to
the Financial Aid office. Appeals will then go before a committee for review and all
students will be notified of the committee's decision in writing. Appeals should include
all documentation, which supports any mitigating circumstances concerning the failure
to maintain the expected level of satisfactory progress. All decisions made by the
committee are final. Students have thirty (30) days after notification of denial of
financial aid to file an appeal with the Financial Aid office.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Financial Aid; Vice President for Business Affairs
Forms: None
P15
Federal Property Inventory and Control
Original Implementation: Unpublished
Last Revision: January 19,1999
Property acquired under Federal grants and contracts is maintained according to the
guidelines of the University's centralized property management and control system,
which also governs the maintenance of state property. (See Property Inventory and
Management, Policy C 42)
Disposition of Federal property must respect the terms of the grant or contract under
which it was acquired.
This policy also applies to disposition of property acquired through State grants and
contracts.
Source of Authority: Vice President for Business Affairs
Cross Reference: Property Inventory and Management, Policy C 42
Contact for Revision: Director of Purchasing and Inventory
Forms: None
P16
Property Maintenance and Validation
Original Implementation: January 1,1985
Last Revision: January 19, 1999
Each department head is to exercise care and control over the assets for which he/she is
responsible. Property should be monitored on a perpetual basis. Location changes are to
be reported to the Property Manager as they take place. (See Adjustment of Inventory
Records Policy) Transfers to surplus or other departments must have prior approval of the
Property Manager. (See Property Transfer and Disposal Policy) Missing or Stolen
Property must bo reported immediately. (Sec Missing or Stolen Property Policy)
To validate the accuracy of property records, an Annual Physical Inventory Audit is
conducted February through April of each year. During this Annual Inventory Audit it is
the responsibility of each department head to physically count and verify by tag number
and room location all items on the official departmental inventory. Each item on the
report must bo physically marked showing verification of the item and its location or
documented as to the reasons for not being verified. Responses will be duo from
custodian departments within 45 days. The annual property report is duo to SPA 45 days
from the department due date. Each department head shall sign an Annual Inventory
Audit Receipt and return it to the Property Manager. The receipt will include the
following statement:
"I understand that I am under financial liability for loss or damage to this (those) item(s)
if the loss or damage results from my negligence, intentional act, or failure to exercise
reasonable care, safeguard, maintenance, or servicing."
Inventory validation spot-checks will be conducted by Inventory personnel in a routine
fashion to allow independent verification. Other spot-checks will be porformed-wkeft
necessary. Spot-checks will not be performed during annual inventory (January—April).
Transaction statements listing all additions and deletions to the departmental inventory
are mailed out monthly. Building and room information and the name of tho individual in
possession of the property should bo recorded on these transaction statements and
returned to the Property Manager.
Source of Authority; Toxas Government Codo Ann. Sec. 403.271 (a) through 103.278;
President; Vice President for Business Affairs
Cross Reference: Adjustment of Inventory Records, Policy C-l; Property Transfer and
Disposal, Policy B-24; Missing or Stolen Property, Policy B-19
Contact for Revision: Director of Purchasing and Inventory
Forms: Annual Inventory Audit Receipt
P17
Property Responsibility with Change in Dopartmont Head B 11
Original Implementation: January 1, 1985
Last Revision: January 25, 2(
Definition: Verification of property includes documenting that all items are accounted for
and are in good condition.
OUT GOING DEPARTMENT HEAD
When there is an administrative change in department heads, the out going department
head (interim or permanent) must request from the Property Manager a current list of
inventory items for which he/she is accountable. Verification of all items must be
completed and the Change in Department Head form signed by the out going department
head within 30 days prior to the individual's last day.
IN COMING DEPARTMENT HEAD
The incoming departmont head (interim or permanent) must request from the Property
Manager a current list of inventory items for which he/she will be accountable.
Verification of all items must be completed and the Change In Department Head form
signed by the incoming department head within 30 days of the individual's first day.
Source Of Authority: Texas Government Code Ann. Sec. 403.271 (a) through 403.278;
President; Vice President for
Business Affairs
Cross Reference: None
Contact For Revision: Director of Purchasing and Inventory
Forms: Change In Department Head (available from Purchasing and Inventory
P18
Missing or Stolen University Property
Original Implementation: January 1,1985
Last Revision: April 19, 1999
ANY EQUIPMENT DISCOVERED TO BE 'MISSING' OR 'STOLEN' MUST BE
REPORTED IMMEDIATELY.
Missing property is to be reported to the Property Manager. Stolen property is to be
reported to BOTH tho Property Manager and the University Police Department.
NEGLIGENCE—Whether equipment is considered Missing or Stolen, tho department
hoad must malco an initial determination of whether negligence was involved in the loss
of tho property. Aftor reviewing the detailed report of loss tho Property Manager shall
make a further determination of nogligonco. If the Property manager determines4hat
nogligenco is involved, tho Director of Purchasing, Internal Auditor and President will be
notified immediately. Tho Stato Auditor and Attorney General will be notified within 5
working days. Failure to report Missing or Stolen Property within tho required time
frames may be considered negligence.
Missing Property
Missing property is dofinod as any personal property that has disappeared with no
explanation.
MISSING PROPERTY MUST BE REPORTED TO THE PROPERTY MANAGER
IMMEDIATELY UPON RECOGNITION OF THE LOSS. Tho department hoad must
complete a Missing or Stolen Property Report in full with a detailed report of tho loss; i.e.
last known location, last date soon, date of discovery of loss, etc. This form must-be
submitted to the Property Manager within 24 hours of notification.
Missing property will remain on the department's inventory for three (3) years and will
bo cloarly marked as "Missing". Tho department hoad must continue to search for the
missing property during tho 3-yoar timo period. At the end of throe (3) years the property
will be removed from contralizod inventory records upon approval from tho State
Auditor's Office. Tho State Auditor reviews all equipment reported missing and makes a
final determination as to whether tho custodian of the property was negligent.
Stolon Property
Stolen property is dofinod as any personal property missing by known theft, whether by
forced removal, burglary, theft by employees, or other criminal acts.
STOLEN PROPERTY MUST BE REPORTED TO THE PROPERTY MANAGER
AND UPD IMMEDIATELY UPON RECOGNITION OF THE LOSS. Tho department
head must complete a Missing or Stolen Property Report in full with a detailed report of
tho theft; i.e., last known location, last dato soon, evidence of thoft, date of discovery of
P19
loss, etc. Both tho Missing or Stolen Property Report AND a Police Report must be
submitted to the Property Manager within 24 hours of notification. Property will bo
removed from contralizod inventory records upon approval from the State Auditor's
Office. The State Auditor reviews all equipment reported stolen and makes a final
determination as to whether the custodian of tho property was nogligont.
Source of Authority: Texas Government Codo Ann. Sec. 403.271 (a) through 403.278;
President; Vice President for Business Affairs
Cross Reference: Nono
Contact for Revision: Director of Purchasing and Inventory
Forms: Missing or Stolon Property Report (available in Purchasing and Inventory);
Police Report (available from UPD)
P20
Property Transfer and Disposal B-24
Original Implementation: January 1, 1985
Last Revision: October 26, 1999April, 2001
Surplus or salvage property is not to be disposed of in any manner other than those
described herein. Disposition of property acquired through Federal or State grants and
contracts must respect the terms of the grant or contract under which it was acquired.
Surplus Property is defined as any personal property that is in excess of the needs of the
department and which is not required for its foreseeable need. Surplus property may be
new or used but must have additional useful life.
Salvage Property is defined as any personal property which through use, time or accident
is so depleted, worn out, damaged, consumed, or outdated that it is obsolete and/or can no
longer serve the purpose for which it was originally intended.
TRADE-IN OF EQUIPMENT
Before declaring property surplus or salvage a department may consider trading in the
property on new property of the same general type when such exchanges are in the best
interest of the University. Trade-ins must be included in vendor negotiations from the
beginning; not added after completion of a contract. The requisition must include the
following information about each piece of equipment to be traded in: description,
inventory number, approximate age and condition; i.e., poor, good, working, not
working, etc. It is the department's responsibility to remove and return the inventory
number plate to the Property Manager.
Trade-ins are offered "where is, as is, at the State's option" during the bid process. The
final decision to trade is made after the bids have been received and an evaluation has
been performed by Purchasing and the department. The evaluation must consider 1) the
value to the University if the equipment can be utilized in another area for the same or
other suitable purposes; 2) the value of the equipment if offered in a public sale.
PROPERTY TRANSFERS BETWEEN DEPARTMENTS
Property may be transferred from one department to another by the use of the Property
Transfer Form (PTF). The form is to be signed by the department head transferring the
equipment and by the department head receiving the equipment. After completion, all
copies of the form are to be forwarded to the Property Manager.
Section I is to be completed by the department transferring the equipment. The form and
the physical property are to be forwarded to the department accepting responsibility for
the equipment.
Section II is to be completed by the department receiving the equipment. Once the
department head accepting the equipment signs the form, he/she is accepting
P21
responsibility for the care and control of the equipment. The completed form is to be
forwarded to the Property Manager. After the transfer is recorded a copy of the PTF will
be returned to the department head accepting responsibility for the equipment.
TRANSFERS TO SURPLUS
When equipment is determined to be surplus or salvage and will not be transferred
between departments, the department must contact the Property Manager. At the Property
Manager's direction the department should complete Section I of the Property Transfer
Form (PTF) for a transfer to Surplus. The PTF and equipment are to be delivered to the
surplus storage area. The Property Manager may direct the department to provide
documentation other than the PTF depending on the disposal action taken. Surplus or
salvage property is not to be delivered to the surplus storage area or otherwise disposed
of without first contacting the Property Manager.
Once an item is declared surplus or salvage, the Property Manager will determine which
disposal option best meets the needs of the University. Options for disposal will be
considered in the order listed below:
1. re-use on campus through transfer to another department
2. cannibalization for parts
3. posting on the Coordinating Board web-site for purchase by or donation to a
public school or school district (instructional materials only, including data
processing equipment)
4. all data processing equipment (including items posted to the Coordinating Board
web site and not transferred to a public school or school district) will be transferred
to the Texas Department of Criminal Justice
5. donation to another state agency
6. all remaining items will be advertised for public sale
7. donation to a private non-profit entity
8. discarded
TRANSFERS FROM SURPLUS
Equipment declared surplus or salvage is available, without cost, for transfer to those
departments in need of such equipment. Availability is on a first-come, first-serve basis
after screening for the proposed purpose. Inspection of the equipment may be arranged by
contacting the Property Manager.
P22
POSTING INSTRUCTIONAL MATERIALS TO THE COORDINATING BOARD
WEB SITE
All surplus items determined to be "materials or equipment that can be used for
instructional purposes" will be posted to the Coordinating Board web site for direct
transfer to a public school or school district. Posting may be for consideration or for no
consideration as determined by the Property Manager. Disposal options 4-8 can not be
considered until "materials or equipment that can be used for instructional purposes" has
been posted to the Coordinating Board web site.
Postings will be made for a minimum one (1) week. All items posted for one week but
not transferred to a public school or school district will be a) transferred to TDCJ (data
processing equipment only) or b) offered for public saledisposed off ollowing disposal
options 5-5.
If more than one public school or school district seeks to acquire the same property on
substantially the same terms, the Property Manager shall give preference to a public
school that is considered low-performing by the commissioner of education or to a school
district that has a taxable wealth per student that entitles the district to an allotment of
state funds under Subchapter F, Chapter 42, Education Code.
TRANSFER OF DATA PROCESSING EQUIPMENT TO THE TEXAS
DEPARTMENT OF CRIMINAL JUSTICE
Computer equipment meeting the definition of "materials or equipment that can be used
for instructional purposes" will first be posted to the Coordinating Board web site
following established rules. Any data processing equipment not posted and any data
processing equipment not transferred to a school district shall be transferred to the Texas
Department of Criminal Justice following established rules.
Data processing equipment means information technology equipment designed for the
automated storage, manipulation, and retrieval of data by electronic or mechanical means.
The term includes central processing units, front-end processing units, mini-processors,
microprocessors, and related peripheral equipment such as data storage devices,
document scanners, data entry equipment, terminal controllers, data terminal equipment,
computer-based word processing systems other than memory typewriters, and equipment
and systems for computer networks.
Data processing equipment will not be disposed of in any manner other than Disposal
Options 3 and 4 described herein.
PUBLIC SALE OF EQUIPMENT
The Property manager shall determine prices and conduct a public sale on a regular basis.
The Director of Purchasing and Inventory will review all items and sale prices prior to
each sale. All sales will be advertised with time for all interested parties to view the items
P23
prior to the sale day. The Property Manager shall determine a method of access to the
property on sale day which is fair and equitable to all interested parties and which
prevents unnecessary traffic on campus by non-University personnel prior to the sale.
The Property Manager is not eligible to purchase any item for which he/she has
established pricing. No special privileges will be given to any employee or non-employee
wishing to purchase surplus items.
Proceeds from each sale of surplus property are credited, in the year of the sale, to a
revenue category (E&G Surplus Sales or non-E&G Surplus Sales) corresponding to the
fund from which the original purchase was made.
Source of Authority: Texas Government code, Title 10, Subtitle D, Chapter 2175; Texas
Government Code, Title 10\ Subtitle B, Section 2054.003(3)(A); President; Vice President
for Business Affairs
Cross Reference: Texas Government code, Title 10, Subtitle D, Chapter 2175; Texas
Government Codo, Title 10, Subtitle B, Section 2054.003(3)(A)Property Inventory and
Management Policy C-42
Contact for Revision: Director of Purchasing and Inventory
Forms: Property Transfer Form (available in Purchasing and Inventory
P24
Removal of Property from University Campus —B-25
Original Implementation: July 3,1986
Last Revision: January 19,1999
In accordance with Texas Government Code Ann. Sec. A03.273(d) State property may be
used only for State purposes. Property in the possession of Stephen F. Austin State
University may be removed from the campus only for official business of the University.
When it is so removed, the individual removing it assumes pecuniary responsibility.
If such property is to be removed, the department head responsible for the equipment
should prepare and sign a "Removal of Equipment From Campus " form. The inventory
number, date of purchase, description and inventory value may be obtained from the
departmental inventory printout provided by the Property Manager.
The original of the completed form should be sent to Purchasing and Inventory prior to
physical removal of the equipment from campus. A copy should be kept for
departmental inventory records. A follow up audit will be made by the Property
Manager on the date equipment is to be returned to the University. If an extension of time
is needed, contact the Property Manager.
The Removal of Equipment from Campus form must also be filled out for equipment
being removed with an indefinite return date. The Department Head will be required
annually to verify the status of all such equipment. This verification will be initiated via a
memo from the Property Manager and will be separate from the Annual Physical
Inventory Audit.
Source of Authority; Texas Government Code Ann. Sec. 403.271(a) through 403.278;
President; Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Purchasing and Inventory
Forms: Removal of Equipment from Campus (available in Purchasing and Inventory)
P25
Trade-in of Equipment «-*?■
Original Implementation: January 1,1985
Last Revision: January 19,1999
A department may offer surplus or salvage property as a trade in on new property of the
same general type when such exchanges are in the best interest of the University. Trade
ins must be included in vendor negotiations from the beginning; not added after
completion of a contract. The requisition must include the following information about
each piece of equipment to be traded in: description, inventory number, approximate age
and condition; i.e. poor, good, working, not working, etc. It is the department's
responsibility to remove and return the inventory number plate to the Property Manager.
Trade ins arc offered "where is, as is, at the State's option" during the bid process. The
final decision to trade is made after the bids have been received and an evaluation has been
performed by Purchasing and the department. The evaluation must consider 1) the value
to the University if the equipment can be utilized in another area for the same or other
suitable purposes; 2) the value of the equipment if offered in a public sale. (See Property
Transfer and Disposal Policy)
Source of Authority: Texas Government code, Title 10, Subtitle D, Chapters 2151
through 2176; President; Vice President for Business Affairs
Cross Reference: Property Transfer and Disposal Policy and Purchase Requisition
XvTTvj
Contact for Revision: Director of Purchasing and Inventory
Forms: Purchase Requisition, Policy C 30
P26
University Vehicles (Rental) B-30
Original Implementation: June 1,1984
Last Revision: October 26, 1999 April 30, 2001
The provisions of the policy on the 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 provisions apply to University vehicles.
I. Official Use:
University motor vehicles can only be used for the transaction of official University
business.
A. Reservations
1. Vehicles will be rented exclusively to individuals or organizations that have
funds budgeted by the University.
2. All vehicles, except road buses, are rented on a first-come, first-serve basis.
Reservations can be made by memo to the Physical Plant Grounds and Transportation
Department, P.O. Box 13031 SFA Station, by phone at 468-5107, or on the Physical
Plant Web site. Reservations should be made as far in advance as possible.
3. Persons for whom reservations are made, must be on the Approved Drivers List
and be acting on behalf of, and within the responsibility of the university department that
he/she is employed. 7 Afemist have a minimum of four passengers for vans, must have
definite pick-up and return times, and must have an approved University account.
4. Cancellations should be made as far in advance as possible. Cancellations made
less than 48 hours in advance will incur a $20.00 fee.
B. Procedure for Checking Out Vehicles
1. Vehicles can be picked up at the Physical Plant Grounds and Transportation
Department, located at Starr Avenue and University Drive, between 7:00 a.m. and 4:00
p.m. Monday through Friday.
2. Special arrangements may be made for pick-up outside normal hours.
3. When two or more users are renting the same vehicle over a weekend, the users
may be required to turn in and pick up vehicles at the University Police Department.
P27
4. Individuals picking up vehicles must present a Stephen F. Austin State
University Approved Driver Certificate and a valid driver's license.
5. Personnel in the Grounds and Transportation Department, will furnish approved
drivers with:
a. keys to vehicle
b. copy of vehicle charges and reservation form
c. credit card(s)
d. daily record of state-owned motor vehicle use
e. vehicle roadability report
f. insurance card
C. Passengers
1. Passengers in University vehicles will normally be university employees or
students traveling on University business.
2. Passengers who are not University employees or students may be authorized to
ride in University vehicles when their presence is consistent with University business or
functions.
3. University employees and students may have guest(s), spouse or children
accompany them while the University employee or student is traveling on University
business provided:
a. The guest does not interfere with the University business of the trip or cause
any additional expense to the University.
b. The department that sponsors the trip that the guest(s) are attending accepts
full responsibility for the action of the guest(s) and the liability for any injury to the
guest(s).
c. If the guest is a minor child, the sponsor is responsible for the child's actions
and is responsible for ensuring the child follows all safety policies and regulations
including seat belts and child restraints.
d. The University bus fleet is not equipped with seat belts or child restraints and
safety of the child is the responsibility of the sponsor and of the department sponsoring
the trip.
P28
D. Use of University Road Buses
The 46-passenger Eagle bus and 36-passenger Blue Bird bus provide transportation
for University departments and groups. The guidelines in this section have been
established to provide a fair and equitable manner for the scheduling of the buses and to
generate sufficient revenue to pay for their operation and maintenance.
1. Authorized Trips. Only University groups and departments whose trips have
received prior approval from the department head and/or dean of school may reserve the
bus. A professional driver will be provided by the Physical Plant Department. Each user
must be accompanied by authorized University personnel, who shall be responsible for
all travel, schedules, and arrangements. The use of the bus is limited to those destinations
that may be reached by hard surfaced roads.
2. Reservations. Application for the use of the University bus shall be made to the
Director of Physical Plant. No reservation may be reassigned in whole or in part. The
user may not delegate any control or responsibility to any other party without prior
written approval of the Director of Physical Plant. Furthermore, reservations for one trip
may not be used for a different trip without the prior written approval of the Director of
Physical Plant.
3. Priorities for Use
a. Use of University buses for athletic purposes will be given the first priority.
b. Those departments having activities scheduled at least a year in advance that
require maximum utilization of the buses shall receive second priority.
c. In other cases, the following shall be considered:
1) Advance Scheduling: Where feasible, the use of the buses will be
approved on a first-come,
first-serve basis.
2) Distance: The distance to be traveled will be considered in determining
priority.
3) Number of Passengers: The number of passengers will be considered in
determining priority.
4) Purpose of Trip: In cases of simultaneous requests when the number of
passengers and distance are approximately the same, the trip providing the most benefit
to Stephen F. Austin State University shall receive priority.
E. Record Keeping
P29
Users of University vehicles are required to complete a written report on the use of
such vehicles, including a list of University personnel on the trip. Reports are to be made
daily, with a separate report required for each day. Required reports are made on forms
provided by the Grounds and Transportation Department when checking out a vehicle.
F. Check-in
1. If returned after 7:00 a.m. or prior to 4:00 p.m. on weekdays, the vehicle should
be returned to the Grounds and Transportation Building. The vehicle charges and
reservation form, the daily record use of State Owned Motor Vehicles form, keys, credit
card(s), and gasoline receipts should be given to Grounds and Transportation personnel.
2. If returned at some other time, the vehicle should be parked, the doors should be
locked and all the items mentioned above should be dropped into the slot in the front door
of the Grounds and Transportation Building at Starr Avenue and University Drive.
3. Individuals may lose the privilege of using University vehicles if the vehicle(s)
has been damaged during use, or if reports of vehicle use are incomplete.
4. Purchases, other than with University credit cards, are at the drivers expense,
subject to reimbursement. Reimbursement will be approved when the Physical Plant is
furnished an approved voucher accompanied by purchase receipts. Receipts must show
vehicle license number, amount of purchase, and item(s) purchased. Failure to properly
present receipts will result in non-reimbursement.
5. Purchase of fuel. Fuel is furnished as part of the rental price of the vehicle if
purchased on credit cards furnished at the time of the rental. Fuel purchased not using
credit cards will be at the expense of the using department. Reimbursement should be
claimed on the travel voucher of the individual being reimbursed.
G. Breakdowns and Accidents
1. Instructions for proper reporting and handling of accidents and breakdowns are
contained in the glove compartment of all University vehicles.
2. In all cases in which a vehicle cannot be returned to the campus, one of the
following people should be contacted:
a. During working hours (7:00 a.m. to 4:00 p.m.)
Transportation Manager - 409956/468-5107
Associate Director, Physical Plant 109/168 1341
Director, Physical Plant -109/468 1290 936/468-4341
b. After working hours: University Police - 4Q99J6/468-2608
3. All major repairs must be arranged by the Manager of Transportation.
P30
4. A driver involved in an accident must fill out Texas Department of Public Safety
Form ST-2 (blue form) within 24 hours and turn in to University Police upon return to
campus. UPD will:
a. Complete the Texas Peace Officers* accident report.
b. Forward a copy of the report to the Safety Department.
c. Complete the blue form and forward it to the Texas Department of Public
Safety.
5. Departments using fleet vehicles will be charged for damages as the result of
accidents or from abusive use.
6. The Safety Department will contact the insurance adjuster, provide appropriate
information, and act as general liaison in the event of an accident.
7. The University's insurance covers a driver's liability if he/she is:
a. An approved University Driver.
b. Operating the vehicle in an official capacity.
H. Charges
In addition to mileage charges, the following minimum charges for the Road Buses
will apply. There will be a minimum daily charge of $50.00 per day for local use and a
minimum charge of $100.00 per day if the driver is required to be away from home base
overnight. If daily mileage charges exceed $50.00 for local or $100.00 for away trips, the
daily charge will be waived. Also all expenses (meals and lodging) for the driver(s) are
the responsibility of the renting department.
I. Special Provisions
1. All drivers of buses must have a Class C-CDL license and submit to DOT
physicals and drug baseline and random testing.
P31
2. All drivers must have a valid driver certificate issued by UPD.
3. Buses must carry at least 1/3 of their capacity.
4. Certain buses, due to mechanical condition, are restricted to use in a 150-mile
radius.
5. Users of fleet vehicles who purchase gas, oil, and other products by cash ticket
or credit card must sign tickets, including license number of vehicle and items purchased.
Purchase of gas, oil, etc on other than University credit cards furnished with the vehicle
will be the responsibility of the using department.
6. Drivers may be requested from the Physical Plant Department (PPD) and, if
available, will be furnished at a rate established annually by the PPD. Drivers are
normally paid on a portal-to-portal basis. Special arrangements should be made for
extended trips. There is a minimum charge of two hours for any called driver.
7. No alcoholic beverages will be allowed in state vehicles.
Source of Authority: Board of Regents, President, Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Physical Plant, Director of Safety
Forms: None
P32
Adjustment of Inventory G-4
Original Implementation: January 1, 1985
Last Revision: January 25,2(
When the need arises to alter the doscription or change the location of an item on a
departmental inventory, tho person responsible for the department's inventory must
initiate a memo or email to the Property Manager listing tho inventory number(s),
description and the change(s) desired.
The following fields must bo updated throughout the year as changes occur:
—1 .Responsible Department Namo—this will only be changed for 1 of 3 reasons:
a.through means of a transfer form when property is transferred between
departmeats
b.if it is determined that an orror was made in tho original entry
c.department has a namo chango
—1 .Building and Room Location
—2.End User Name
—3 .Department Chair Name
—4.Serial Number this will only be changed when it is determined that an error was
made in the original entry or that original equipment has boen returned to the company
and replaced.
—5.Description—this will only be changed when it is determined that the equipment has
not changed but that a more accurate doscription is noedod to facilitate the physical
inventory process.
Source of Authority: Vice President for Business Affairs
Cross Reference: Nono
Contact for Revision: Director of Purchasing and Inventory
Forms: Nono
P33
Investments - Endowment Funds C-41.A
Original Implementation: Unpublished
Last Revision: January 25, lOOOApril 30, 2001
GENERAL
This Investment Policy Statement (IPS) applies to all Stephen F. Austin State University
(the "University") endowment funds. These funds are given to the University by
individuals and institutions to promote, encourage and advance education and to improve
the degree and non-degree educational functions by establishing scholarships,
fellowships, professorships, academic chairs and other academic endeavors at the
University, as specified by donors.
As provided in the Texas Education Code, each member of the Board of Regents (Board)
has the legal responsibilities of a fiduciary in the management of funds under the control
of the University. The Board recognizes its responsibility to insure that the assets of the
endowment funds are managed for the exclusive benefit of the University in accordance
with its donors' intentions, effectively and prudently, in full compliance with all
applicable laws.
Separate fund balance accounts are maintained for all funds. Funds may be restricted
either by the donor or the Board. Restricted funds are available primarily for specific
purposes considered beneficial to the University.
The investment of the Endowment funds is governed by Section 51,002151.0031 of the
Texas Education Code. This section states that the University "... with regard to
donations, gifts and trusts may establish endowment funds that operate as trusts and are
managed under prudent person standards." The currently accepted prudence standard is
the prudent expert standard, and it defines the duty of a trustee to exercise "the care, skill,
prudence and diligence under the circumstances thon prevailing that a prudent man acting
in a like capacity and familiar with such matters would use in the conduct of an enterprise
of a like character with like aims." As used in this section, "prudent person standard" is
the standard of care described in Article VII, Section lib. of the Texas constitution, and
means that standard ofj udgment and care that persons of ordinary prudence, discretion,
and intelligence exercise in the management of their affairs in regard to the investments
of their funds, considering probable income as well as probable safety of their capital
In the management of the University endowment investments, consideration will be given
to the need to balance a requirement for current income for present activities with a
requirement for growth in principal to compensate for inflation. Consideration will be
given to the need for safety of principal, liquidity, diversification, yield and quality.
The overall objective of the IPS is to assure that the University's endowment funds are
invested in a manner to achieve as high a level of return as can reasonably be expected to
be achieved given the primary objective of safety and preservation of principal. The IPS
P34
clearly and concisely states the responsibilities of all parties involved with the
endowment funds. The IPS will assist the Board, the Finance Committee ("Committee")
and the University Administration in effectively communicating with and monitoring the
investment manager(s) and the investment firm(s) that will be engaged from time to time
to facilitate the management of the endowment assets of the University. It states the
Boards1 attitudes, guidelines and objectives in the investment of the endowment assets.
RESPONSIBILITIES
The University acknowledges that the ultimate responsibility for satisfactory investment
results rests with the Board. The Board believes that this responsibility is best discharged
by delegating certain authority to the University administration and by appointing one or
more investment management organizations to assume certain responsibilities.
The specific responsibilities of the Board in the investment process include and are
limited to developing a sound and consistent investment policy, developing sound and
consistent investment policy guidelines, establishing reasonable investment objectives,
allocating the endowment assets between equity and fixed-income investments, and other
investment mediums which it may deem appropriate and prudent, communicating clearly
the major duties and responsibilities of those accountable for investing the endowment
assets and achieving investment results, evaluating performance results, and abiding
within all applicable laws, including conflict of interest provisions therein.
The Vice President for Business Affairs (Vice President) is designated as the investment
officer for the University. As such, the Vice President or designee(s), is responsible for
accounting for investments, monitoring and evaluating performance results, and ensuring
that policy guidelines are being adhered to and investment objectives are being met. In
addition, the Vice President or designee(s), is responsible for the purchase, sale,
assignment, transfer and management of investments, for communicating with
investment managers, brokers and dealers, for compiling performance results, and for
determining the proper distribution of investment returns to the various accounts. The
Vice President is also responsible for determining the appropriate distribution of income
in accordance with the distribution policy in the distribution policy section. The Vice
President will submit an annual investment perspective to the Board of Regents.
INVESTMENT POLICY
The Board believes that the endowment assets should be managed in a way that reflects
the application of sound investment principles.
The Board adheres to the traditional capital market theory that maintains that over the
long term, the risk of owning equities should be rewarded with a somewhat greater return
than available from fixed-income investments. This reward comes at the expense of
higher volatility of returns and more exposure to market fluctuations than with fixed-income
investments. Fixed-income investments provide a more predictable return and
higher current income than do equities. Thus assets should be allocated between fixed-
P35
income investments and equities are such a manner as to provide for current income
while providing for maintenance of principal in real terms.
Avoiding large risks is essential. The University is willing to trade off some potential
opportunities for gain from high-risk investments (with high loss potential) by assuming a
moderate-risk posture in order to have a more stable positive return. This may result in
sacrificing some potential opportunities for gain during rising markets in order to avoid
large short term declines in market value during falling markets. Since the University is
adverse to large downward fluctuations in the value of its investments resulting from
volatile market value fluctuations, such year-to-year volatility should be minimized.
INVESTMENT POLICY GUIDELINES
For the purpose of this policy all securities which use long-term credit ratings must be
rated the equivalent of "A" or better by a nationally recognized credit rating service.
Securities using short-term credit ratings must be rated at least A-2, P-2, F-2 or the
equivalent by a nationally recognized credit rating service.
The following categories of securities are permissible investments:
a) Direct obligation of the United States Government or its direct agencies.
b) Direct obligations of federally-sponsored agencies in accordance with the above
paragraph.
c) United States dollar denominated bonds, debentures, or commercial paper and
convertible securities issued by corporations in accordance with the above paragraph.
d) Common stock and preferred stock issued by United States domiciled corporations and
common stocks of foreign companies listed on the major U.S. or foreign security
exchanges.
e) Certificates of Deposit issued by federally insured state banks, federally insured
savings and loan associations and saving banks or federally insured credit unions.
Amounts over the insurance limit of the institutions must be secured by pledged
securities.
f) Bankers acceptances accepted by a bank organized and existing under laws of the
United States or any state in accordance with the above paragraph.
g) Money Market Mutual Funds. Funds must be registered with the Securities and
Exchange Commission, have a maximum dollar weighted average maturity of no
longer than 13 months, and be no-load funds. Funds must have assets consisting of
securities described in the paragraphs above and seek to maintain a stable net asset
value of $1.00 per share (or unit).
P36
h) Direct Security Repurchase Agreements. Direct Repos must be fully secured
(collateralized) by securities authorized under the sections (a) through (f) above. Such
collateral must be held by a third party. All agreements will be in compliance with
Federal Reserve Bank guidelines.
i) Shares of investment companies as defined by the Investment Company Act of 1940.
These companies include both closed-end investment companies and open-end
investment companies (mutual funds). Shares in these companies may be purchased if
they own securities described in sections (a) through (h) above.
j) Certain types of transactions and purchase of certain types of securities are specifically
prohibited by this policy. Commodity trading including all futures contracts,
purchasing of letter stock, short selling, option trading, and margin trading are
specifically prohibited. Neither tax-exempt debt of state and local governments,
private placements, nor guaranteed investment contracts may be purchased. No
investments will be made in derivative products as defined by the Financial
Accounting Standards Board in SFAS, No. 119. Collateral mortgage obligations that
do not pass the FFIEC test may not be purchased.
k) Assets and/or funds reportable within the scope of the University's annual financial
report may not be invested in or used to purchase securities, including obligations, of
a private corporation or other private business entity that owns 10% or more of a
corporation or business entity which records or produces any song, lyrics or other
musical work that explicitly describes, glamorizes or advocates:
(1) acts of criminal violence, including murder, assault, assault on police officers,
sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual orientation, or
religion.
1) Except for up to three cases, no more than five percent (5%) of the portfolio, including
convertible securities, can be invested in any one company. This will be measured on a
cost basis. No more than ten percent (10%) of the portfolio can be invested at any time in
one company based on the market value of the stock and portfolio. This section is not
applicable to investments in U.S. Government securities.
P37
m) No more than fifteen percent (15%) of the portfolio can be invested in any one industry,
as defined by Standard and Poor's broad categories, based on the cost value of the
portfolio. No more than thirty percent (30%) of the portfolio can be invested in any one
industry based on the market value of the portfolio. The holdings do not have to be
invested in industry groups that represent a cross-section of the economy.
n) All of the equities purchased for the portfolio (based at market value) should have a
minimum market capitalization of $250 million.
The allowable range and target asset allocation for the endowment funds is:
For the fixed income portion of the portfolio the asset mix should be, maximum U.S.
government bonds 100%, minimum government bonds 0%, maximum corporate bonds
50%, minimum corporate bonds 0%, maximum cash 100%, minimum cash 0%.
Gifts of individual securities will be liquidated or transferred to an equity fund manager
currently employed by the University under the Use of Investment Firms section. The
liquidation or transfer will take place as soon as possible. If liquidated, the proceeds will
be invested in accordance with the allowable range and target asset allocation set forth in
this policy. Exceptions to this policy are securities described by sections (a), (b) and (c)
above. Such securities may be held so long as the asset allocation ranges are maintained.
The policy in this section can be overridden by a written directive from a donor.
USE OF INVESTMENT FIRMS
The Vice President or designee, is responsible for selecting of brokers and dealers for the
execution of security transactions and for the safe keeping of securities. Sales, purchases
and exchanges will be transacted through well-capitalized, nationally-recognized
investment firms which are major participants in the equity and fixed-income markets.
Firms should be selected to provide the maximum benefit to the University. The Vice
President may choose to use a request for proposals to select the firm or firms with which
the University deals.
Selection of outside investment managers will follow these guidelines:
a) The Vice President or designee, within statutory and other regulatory authority, may
place selected funds of the University with investment managers outside the
University for investment purposes. The investment of such funds will be subject to
the provisions of this investment policy statement. The Vice President is authorized to
negotiate with outside investment managers for the benefit of the University.
P38
b) Outside investment manager(s) will receive a copy of the IPS and a Letter of
Instructions outlining investment instructions and asset allocation parameters
expressed in writing by the Vice President. The Letter of Instructions will state return
objectives that are reasonable and achievable within the guidelines provided herein.
These return objectives should be achieved over a reasonable time frame, thus it is
not necessary for the outside manager(s) to exceed the return expectations each
quarter. In addition, each outside investment manager must execute a written
statement to the effect that the registered principal of the organization has received
and thoroughly reviewed the investment policy of the University. The statement must
also acknowledge that the organization has implemented reasonable procedures and
controls in an effort to preclude imprudent investment activities.
c) Consistent with this investment policy statement and their Letter of Instruction, the
outside investment manager(s) will be responsible for making decisions on a
discretionary basis. This includes buy, hold, sell and timing decisions. The outside
manager(s) must make responsible decisions in the selections of specific securities
and the general timing of purchases and sales necessary to achieve a satisfactory
overall return for the assets.
d) Outside manager(s) will invest only into the security class(es) for which they were
retained to manage. The manager(s) have discretion to place funds into cash,
however, their performance will be measured against an index which measures their
security class without deducting the cash position.
Investment managers employed by the University to invest in equities may be evaluated
using the following guidelines:
a) The average portfolio Beta should be between 1.10 and 0.90. That is to say that the
volatility of the fund should not differ from the volatility of the S&P 500 by more
than ten percent. The Beta calculation should include any cash position in the
portfolio.
b) The R-Squared may be as high as 100% over a time frame of one year or longer if all
investment objectives are met. R-Squared is a statistical evaluation to measure
similarity in behavior of the portfolio to the market.
c) The annualized Alpha should be greater than the managers fee essentially showing
that value is being added for the risk taken. Alpha measures the excess return for the
amount of risk taken.
d) Portfolio turnover will be monitored. If the performance results of the portfolio meet
the objectives stated herein, the rate of turnover in the portfolio will not be an
evaluative factor. However, a portfolio turnover higher than the average of similar
fund managers is considered a negative.
P39
Files will be maintained on investment firms with which the University deals. The files
will contain financial statements for the firms and NASD reports for the brokers and
firms or other appropriate documentation that supports the financial stability of the firms.
These files will be updated annually. A list of approved brokers and firms will be
maintained and changes will be approved by the Board of Regents.
DISTRIBUTION POLICY
The spending policy should balance the long-term objective of maintaining the
purchasing power to the endowment funds with the goal of providing a reasonable,
predictable, stable, and sustainable level of income to support current needs. Pursuant to
Chapter 163 of the Uniform Management of Institutional Funds Act, an institution of
higher education may not expend the net unrealized appreciation of the assets of an
endowment fund. The Vice President may review the nature of the various endowments
to determine the need for income for current spending and the ability to tolerate
variability in current income. The asset allocation between fixed-income securities and
equities may reflect diversification needs of the endowments.
PERFORMANCE EVALUATION
The Vice President will submit quarterly reports to the Board on the performance of the
investment portfolio. The reports will disclose the book value and market value of the
portfolio at the beginning and ending of the reporting period by the type of asset and fund
type invested. The reports will disclose the realized and unrealized gains/losses on the
portfolio for the reporting period. Additions and changes in the market value of the
portfolio during the period will be reported. The reports will show the pooled fund value
as well as individual assets by fund type. The reports will state the maturity date of each
asset that has a maturity date. The total return on the portfolio, on each asset class and for
each manager will be reported.
The performance of the total portfolio, each asset class and each manager will be
compared to appropriate benchmarks and included in the quarterly reports to the Board.
The report will contain sufficient information for the Board to determine if actions should
be taken to correct any deficiencies that may exist.
CONFLICTS OF INTEREST
Members of the Board are frequently persons of wide-ranging business interests.
Therefore, a prudent, independent investment decision process may result in investments
in firms or organizations with which a member of the Board is affiliated. Affiliation shall
be interpreted within this section to mean an employee, officer, director, or owner of five
percent or more of the voting stock of a firm or organization. The investment staff or an
unaffiliated investment manager may in