Minutes of the Board of Regents of Stephen F. Austin State University. 1988, Volume No. 87

              Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
April 19,1988
Volume 87
INDEX
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
HELD AT NACOGDOCHES, TEXAS
April 19, 1988
Page
88-60 Election of Officers 2
88-61 Approval of Minutes of the Meeting
of January 19, 1988 2
88-62 Approval of Faculty and staff
Appointments for FY 1988-89 per
Supplement to the Board 2
88-63 Approval of Faculty and Staff
Appointments 2
88-64 Approval of Changes in Status 8
88-65 Approval of Leaves of Absence 10
88-66 Approval of Returns from Leave of Absence. . . io
88-67 Approval of Resignations 10
88-68 Approval of Retirements lx
88-69 Approval of Tenure Awards 12
88-70 Approval of Faculty Promotions 12
88-71 Approval of Faculty Development.Leaves .... 13
88-72 Approval of Faculty Workload Report 13
88-73 p^"^1 of Poli-cy Relating to Intellectual
88-74 Tabling of Policy Concerning Award of
Honorary Degrees 13
88-75 Approval of Change in Policy on
Regents Professorships 13
88-76 Award of Regents Professorships for
Academic Year 1988-89 14
88-77 Approval of Budget Adjustments i4
Page
88-78 Approval of Summer 1988 Budget 14
88-79 Approval of Annual Operating Budget
for FY1989 14
Financial Certification 15
88-80 Approval of Amendments to Investment
Policy 15
88-81 Approval of Bank Depository Bid Document ... 16
88-82 Authorization to sign Contract for
Third Party Administrator for Section 125
Cafeteria Plan 15
88-83 Approval of Policy on Food Purchases is
88-84 Approval of Policy on Contracting Authority. . 17
88-85 Approval of Policy on Compensation in
Excess of Base Salary 17
88-86 Approval of Contract for Alterations
and Additions to University Security
Building 17
88-87 Approval of Budget for Alterations
and Additions to University Security
Building 17
88-88 Approval of Preliminary Plans, Submission
to Coordinating Board, and Authorization
to Seek Bids for Steen Library Expansion ... 17
88-89 Approval of Preliminary Plan, Submission
to Coordinating Board, and Authorization
to Seek Bids for Boynton Building Reno
vation Project 18
88-90 Authorization to Seek Bids for Early
Childhood Building Re-roofing 18
88-91 Authorization to Issue Purchase Orders
for H.P.E. Renovation Projects 18
88-92 Authorization to Issue Purchase Order
for Removal of Asbestos in East College
Cafeteria, Hall 9, 14 and 16 18
Page
88-93 Authorization to Sign Contract with
Purtle and Associates for Consulting
Engineering Services 19
88-94 Authorization for Alumni Association
to Expand to "Television Room" in
University Center 19
Policy Relating to Intellectual
Property 20
Investment Policy 32
Bank Depository Bid Document 37
Policy on Food Purchases 42
Policy on Contracting Authority 44
Policy on Compensation in Excess of
Base Salary 48
Pineywoods Investment Co., Inc. Contract
for Alterations and Additions to Universitv
Security Building . 50
Purtle and Associates Contract for
Consulting Engineering Services 71
Agreement with Benefit Plan Administrators for
Section 125 Cafeteria Plan . 7 89
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
HELD AT NACOGDOCHES, TEXAS
April 19, 1988
The meeting was called to order by Mr. Dan Haynes, Chairman
of the Board of Regents, at 9:00 a.m., January 19, 1988.
REGENTS
PRESENT: Mr.
Mr.
Mr.
Mr.
Mr.
Mr.
Mr.
Ms.
Ms.
Dan Haynes of Burnet
Lavoy Moore of Conroe
Homer Bryce of Henderson
Richard Hile of Jasper
Kelly Jones of Arlington
Nelson Rusche of Jasper
M. M. Stripling of Nacogdoches
Willia Murphy Wooten of Crockett
Peggy Wright of Nacogdoches
STAFF
PRESENT:
VISITORS
Dr
Mr
Dr.
William R. Johnson, President
Don L. Henry, Vice President for
Administrative and Fiscal Affairs
Baker Pattillo, vice President for
University Affairs
Dr. Robert J. Provan, General Counsel
Dr. James V. Reese, Vice President for
Academic Affairs
Dr. Nancy Speck, Vice President for
University Advancement
Ms. Lucy Stringer, Assistant to the
President
Dr. Janelle Ashley, Dean, School of
Business
Mr. Ted Bowen
Dr. R. G. Dean, Chairman, Faculty
Senate
Dr. James G. Dickson, Professor, Department
of Political Science
Mr. Doug Fonville, University News Service
Dr. Jim Howard, Chairman, Faculty Senate
Donna McCollum, KTRE-TV
Lou Rodriguez, KTRE-TV
Constance Spreadbury, Professor,
Department of Sociology
Bryan Spurling, Editor, The Pine Log
Dillard Tinsley, Professor, Department of
Management and Marketing
Doug Wong, Associate Editor, The Pine Log
Ms
Mr
Dr
Mr
Dr
88-60
Upon motion of Regent Bryce, seconded by Regent Rusche, with
all members voting aye, it was ordered that Regent Haynes be
elected Chairman and Regent Moore be elected Vice Chairman
of the Board of Regents for Stephen F. Austin State Uni
versity, and that Mr. Don Henry be elected secretary to the
88-61
Upon motion of Regent Wright, seconded by Regent Jones, with
all members voting aye, it was ordered that the minutes of
the meeting of the Board of Regents on January 19 1988 be
approved. x ' J-*°°' wts
88-62
Upon motion of Regent Rusche, seconded by Regent Wooten,
Y1^ ^11 members voting aye, it was ordered that the faculty
SS? 5 ? aPP?i*tments for 1988-89, as submitted with the
Board Agenda m the Supplement to the Board, be approved.
88-63
°f *e^ent BrYfe, seconded by Regent Moore, with
V^?^* ™ ^^ «* th
1. Academic Assistance and Resource Center
afppR?bSCSa J- Dillon' 39' B.S. (Texas A&I University),
AARC Lab Coordinator, at a salary of $12,565 for 100%
time for twelve months, effective January 18, 1988.
2. Accounting
*?6?^11^* Howard' Part-time Instructor, at a salarv
$2,000 for 25% time for the spring semester, 1988
«MJ?ie T* Kelly> Lecturer, at a salary of $8,750 for
% time for the spring semester, 1988.
^^^ Ann Marsh, Part-time Instructor, at a salary
of $2,000 for 25% time for the spring semester, 1988
Mr. Brendan Walsh, 40, M.B.A. (Stephen F. Austin State
University), Part-time Instructor, at a salary of
$2,000 for 25% time for the spring semester, 1988.
S' I6' D'B-A- <MemPhis State Univer-l<
t i Professor' at a salary of $45,000 for
time for nine months effective fall semester,
1.988 •
Administrative Services
Ms. Irene D. Armsworth, Part-time Instructor, at a
salary of $1,500 for 25% time for the spring semester,
1988. '
Dr. Elizabeth Ryan Brice, Part-time Instructor, at a
salary of $3,000 for 50% time for the spring semester,
1988.
Ms. Florence Elizabeth Elliott-Howard, Part-time
Instructor, at a salary of $3,000 for 50% time for the
spring semester, 1988.
Ms. Nancy J. Engman, Lecturer, at a salary of $3,000
for 50% time for the spring semester, 1988.
Ms. Linda Howes Whiting, Part-time Instructor, at a
salary of $1,500 for 25% time for the spring semester,
1988.
Art
Ms. Corinne Jones, Lecturer, at a salary of $6,000 for
100% time for the spring semester, 1988.
Communication
Mr. Benjamin A. Click, Lecturer, at a salary of $6,000
for 80% time and a salary of $1,500 for 20% time as
Stone Fort Advisor for the spring semester, 1988.
Mr. Steve Richard Jennings, Part-time Instructor, at a
salary of $1,500 for 25% time for the spring semester,
1988. '
Mr. Kenneth Kennamer, Part-time Instructor, at a salary
$1,830 for 25% time for the spring semester, 1988.
This represents teaching in addition to regular duties
as Director of University News and Information.
Mr. Miles L. McCall, Lecturer, at a salary of $4,500
for 75% time for the spring semester, 1988.
Mr. Barry Glenn Oliver, Lecturer, at a salary of $6,000
for 100% time for the spring semester, 1988.
Ms. Helen Dickey Varner, Lecturer, at a salary of
$6,000 for 75% time for the spring semester, 1988.
Mr. Mark S. Zindler, Part-time Instructor, at a salary
of $1,750 for 25% time for the spring semester, 1988.
6. Computer Science
Dr. Fred H. Fisher, 46, M.B.A. (Stephen F. Austin State
University), Visiting Lecturer, presently employed at
Texas ASM University, at a salary of $2,500 for
12.5% time for the spring semester, 1988.
Dr. Michael J. Quick, 41, Ph.D., (Texas A&M Univer
sity) , Visiting Lecturer, presently employed at Texas
A&M University, at a salary of $2,500 for 12.5% time
for the spring semester, 1988.
7. Counseling and Special Educational Programs
Ms. Beverly Hall, Part-Time Instructor, at a salary
rate of $3,000 for 50% time for the spring semester,
1988.
Dr. Elnita 0. Stanley, Part-Time Instructor, at a
salary of $8,750 for 50% time for the spring semester,
1988. '
8. Criminal Justice
Mr. John Daniel Norton, Part-time Instructor, at a
salary of $3,500 for 50% time for the spring semester,
1988. '
9. Early Childhood Lab
Ms. Jan Marie Averitte, Infant Teacher, at a salary of
$14,360 at 100% time for twelve months, effective
January 4, 1988.
10. Elementary Education
Ms. Annelle Barbin, Part-time Instructor, at a salary
of $1,500 for 25% time for the spring semester, 1988.
Dr. Sylvia W. Stalker, 43, Ph.D. (Clarion University),
Visiting Assistant Professor, at a salary of $4,000 for
100% for summer I, 1988.
11. English and Philosophy
Ms. Sylvia Bierschenk, Part-time Instructor, at a
salary of $3,250 for 50% time for the spring semester,
1988.
Ms. Deborah Elizabeth Bush, Graduate Intern, at a
salary of $3,250 for 50% time for the spring semester,
1988.
Mr. Robert Ashley Richey, Part-time Instructor, at a
salary of $3,250 for 50% time for the spring semester,
1988.
Ms. Linda Kaye Russell, Part-time Instructor, at a
salary of $3,250 for 50% time for the spring semester,
1988.
Ms. Leann K. West, Part-time Instructor, at a salary of
$1,625 for 25% time for the spring semester, 1988.
12. Forestry
Dr. Laurence C. Walker, Lacy Hunt Professor, at a
salary of $7,215 for 50% time for three months, effec
tive March 1, 1988.
13. Health and Physical Education
Ms. Jane D. Robertson, Part-time Instructor, at a
salary of $3,000 for 42% time for the spring semester,
1988.
Mr. E. K. Sowell, Part-time Instructor, at a salary of
$1,969 for 50% time for the spring semester, 1988.
14. History
Ms. Hazel S. Abernethy, Part-time Instructor, at a
salary of $3,600 for 50% time for the spring semester,
1988 •
15. Home Economics
Ms. Elizabeth Ann Arnold, Lecturer, at a salary of
$16,000 at 100% time for nine months, effective
November 16, 1987.
16. Library
Ms. Leigh Ann Williams, Manager, Library Computing, at
a salary of $22,500 for 100% time for twelve months,
effective April 4, 1988.
17. Management and Marketing
Mr. Richard Wade Ballenger, Part-time Instructor, at a
salary of $3,000 for 50% time for the spring semester,
1988 •
Ms. Geralyn Marie Franklin, Part-time Instructor, at a
salary of $3,000 for 50% time for the spring semester,
1988.
6
Ms. Marlene C. Kahla, Part-time Assistant Professor, at
a salary of $7,121 for 50% time for the spring
semester, 1988.
18. Mathematics and Statistics
Dr. William D. Clark, Lecturer, at a salary of $9,600
for 100% time for the spring semester, 1988.
Dr. Robert R. Fleet, Lecturer, at a salary of $7,400
for 100% time for the spring semester, 1988.
Mr. Hossein Mohammed Hosseinpour, Lecturer, at a salary
of $6,2 00 for 100% time for the spring semester, 1988.
Ms. Vicky Gail Lymbery, Lecturer, at a salary of $1,850
for 25% time for the spring semester, 1988.
19. Modern Languages
Dr. Robert Norris, Part-time Instructor, at a salary of
$2,650 for 50% time for the spring semester, 1988.
20. Music
Ms. Sally Beaty, Part-time Instructor, at a salary of
$1,500 for 25% time for the spring semester, 1988
Ms. Debbie J. Berry, 35, M.A. (Stephen F. Austin State
University), Part-time Instructor, at a salary of
$2,500 for 42% time for the spring semester, 1988.
Ms. Gabriela Imreh Spalding, Part-time Instructor, at a
™ry Of $2'000 for 33% time for the spring semester,
1988 •
Mr. William c. Krause, Part-time Instructor, at a
fllorY °f $4'500 for 75% time for the spring semester,
1988 •
21. Nursing
Ms. Margaret Bergeron Bostrom, 36, M.S.N. (University
=Jo fnnessee)/ Instructor, at a salary of $6,000 for
50-s time for the spring semester, 1988.
22. Physics and Astronomy
Dr. John P. Decker, Part-time Professor, at a salary of
$20,283 for 100% time for the spring semester, 1988.
23. Political Science and Geography
Dr. Harry V. Hoechten, Part-time Instructor, at a
salary of $4,000 for 50% time for the spring semester,
1988.
24. Psychology
Mr. David W. Milem, 28, M.A. (Stephen F. Austin State
University), Part-time Instructor, at a salary of
$1,800 for 25% time for the spring semester, 1988.
25. Secondary Education
Dr. Guy T. Harrison, Part-time Assistant Professor, at
a salary of $2,000 for 25% time for the sprina
semester, 1988.
26. Social Work
Ms. Kathleen H. Belanger, Part-time Instructor, at a
salary of $1,500 for 25% time for the spring semester,
1988 •
Mr. Roger Bruce McNellie, Part-time Instructor, at a
?Sry °f $1'700 for 25% time for the spring semester,
Mr. William E. Syers, Jr., Part-time Instructor, at a
?Soory °f $4'000 for 50% time for the spring semester,
1988 •
Mr. Arlyn Dean Vierkant, Part-time Instructor, at a
salary of $1,500 for 25% time for the spring semester,.
1988 •
27. Applied Studies
The following faculty are teaching at the location and
for the salary indicated for the spring semester, 1988
Dr
Dr
Dr
Dr
Dr
Dr
Dr
Freddie Avant
B. Duke Brannen
Royce E. Burton
Ralph Eddins
Dale E. Fish
Mike Granada
William G. Heeney
Dr. Harold G. Hill
Dr. Harry V. Hoechten
Dr. Jerry L. Irons
Dr. Samir Maamary
Dr. Bennat c. Mullen
Coffield
Humble
Coffield
Fairfield
Coffield
Coffield
Jasper
Humble
Coffield/Michael
Tenaha and
Coordinator
Humble
Humble
$1,091
1,540
2,341
1,488
1,091
1,091
1,446
1,540
5,216
1,936
1,540
1,540
Dr. Mary Ella Lowe Longview 1,43 6
Dr. Bruce Payette Coffield 1,091
Dr. Milton R. Payne Longview 1,436
Dr. Hugh D. Prewitt Humble 1,540
Dr. Kay G. Rayborn Humble 1^540
Mr. Jesse H. Richardson Coffield and
Advisor 1,591
Dr. Elvia Rodriguez Humble 1,540
Dr. Jose A. Rodriguez Longview 1^436
Dr. Robert Frank Smith Lufkin 1,338
Dr. Stephen N. Smith Coffield 1,091
Dr. Donnya E. Stephens Longview 1,436
Dr. John T. Thornton Fairfield 1,488
Dr. William F. Weber Coffield 1,716
88-64
Upon motion of Regent Wright, seconded by Regent Jones, with
all members voting aye, it was ordered that the following
changes of status be approved:
1. Counseling & Special Educational Programs
Ms. Joan Richman, from secretary for 25% time on Under
graduate Rehabilitation Training Grant, secretary for
50% time on Rehabilitation Training for the Blind, and
computer lab assistant for 25% time for Job Placement
at a total salary of $12,016 for twelve months, to 50%
time as secretary on Undergraduate Rehabilitation
Training, 25% time as computer lab assistant for new
PIC grant, and 25% time as computer lab assistant for
Job Placement at a combined salary of $14,677 for
twelve months, effective February 15, 1988.
Ms. Kathleen W. Weigel, from 25% time as project coor
dinator for Undergraduate Rehabilitation and 25% time
as project coordinator for Job Placement at a total of
50-s time at a salary of $9,3 54 to 25% time as project
coordinator for Undergraduate Rehabilitation, 25% time
for Job Placement, and 25% time for new PIC grant for a
total of 75% time at a salary of $14,031 for twelve
months, effective February 15, 1988.
2. Elementary Education
Dr. Judy A. Barnes, Part-time Instructor, for an addi
tional $1,000 to teach an additional course during the
spring semester, 1988.
Dr. Macra A. Brunson, Assistant Professor, for an addi
tional $1,000 to teach an overload during the sprina
semester, 1988.
Ms. Bette B. Bunger, Part-time Instructor, from a
salary of $3,000 for 50% time (two lecture classes) to
$4,500 for 100% time (for one lecture class and three
f?10nS °f student teaching) for the spring semester,
^•Elizabeth J* Vau<?han, Assistant Professor, for an
additional $1,000 to teach an overload during the
spring semester, 1988.
3. English and Philosophy
Mr. Doug Dollar, Part-time Instructor, from a salary of
$3,250 for 50% time to $6,500 for 100% time for the
spring semester, 1988.
Dr. Carroll Schoenewolf, Professor, as visiting profes
sor at Northeast Forestry University in Harbin, China,
during the spring semester, 1988.
4. Health and Physical Education
Mr. James M. Ferguson, Part-time Instructor, $500 for
8.3% time for two months, effective April 1, 1988.
This is due to a faculty resignation.
5. Mathematics and Statistics
Ms. Vicky Lymbery, Lecturer, from a salary of $1,850
for 25« time to a salary of $5,550 for 75% time for the
spring semester, 1988.
6. Music
Dr. Ronald E. Anderson, from Professor and Interim
Chairman at a salary of $38,817 for nine months to Pro
fessor and Chairman at a salary of $49,500 for eleven
months effective January 18, 1988.
7. Secondary Education
'*?18^ L< Rulfs' Instructor, for an additional
oa teach an overload during the spring semester,
88 •
Tooa
1988 ! Darcy Wri3ht> Lecturer, for an additional
teach an overload during the spring semester,
10
8. Social Work
Dr. Michael R. Daley, from Assistant Professor and
Interim Director at a salary of $27,680 for nine months
to Assistant Professor and Director at a salary of
$34,500 for eleven months, effective January 15, 1988.
9. University Affairs
Mr. Roger Dudley, from Interim Chief of University
Police to Sergeant, effective January 19, 1988.
88-65
Upon motion of Regent Hile, seconded by Regent Wooten, with
all members voting aye, it was ordered that the following
leave of absence be granted:
1. English and Philosophy
Dr. Leonard A. Cheever, Professor, will spend the
spring and summer, 1988, as a Fulbright Lecturer in
Costa Rica.
88-66
Upon motion of Regent Moore, seconded by Regent Bryce, with
all members voting aye, it was ordered that the following
return from leave be approved:
1. University Affairs
Mr. William A. Hill, Chief of University Police, effec
tive January 19, 1988.
88-67
Upon motion of Regent Wright, seconded by Regent Rusche,
with all members voting aye, it was ordered that the follow
ing resignations be accepted:
1. Accounting
Mr. N. Ross Quarles, Assistant Professor, effective
August 31, 1988.
2. Administrative Services
Dr. Douglas A. Goings, Assistant Professor, effective
May 31, 1988.
11
3. Computer Science
Mark Johns' Instructor, effective August 31
4. Early Childhood Lab
52' on06^^11 COOk/ Master Toddler Teacher, effective
JYiay 20/ 1988.
5. Health and Physical Education
M# McGaughy, Instructor, effective March 31
6. Home Economics
?? ?laaett' ASSistant Professor'
7. Mathematics and Statistics
8. Nursing
Ms.^cindy James Denham, Instructor, effective May 31,
88-68
Sf Regen^ Rusche' seconded by Regent Wooten STTSgSSLt was ordered ?hat
1. Accounting
; 19^8?' ASSistant ^ofssor, effective
2. Art
SoveSer1" Illy***5' Associate Professor, effective
3. Counseling and Special Educational Programs
Professor and Chairman, effective
4. English and Philosophy
Dr. Neal Houston, Professor, effective July 31, 1988.
12
88-69
Upon motion of Regent Bryce, seconded by Regent Wright, with
all members voting aye, it was ordered that academic tenure
be awarded to the following individuals, effective
September 1, 1988.
Dr. Joe Gotti, Agriculture
Dr. Orlynn R. Evans, Computer Science
Dr. Becky Greer, Home Economics
Dr. Suzy Weems, Home Economics
Ms. Carol Scamman, Library
Dr. Michael R. Daley, Social Work
88-70
Upon motion of Regent Hile, seconded by Regent Moore, with
all members voting aye, it was ordered that the following
individuals be granted promotion to the academic rank indi
cated, effective fall semester, 1988.
To Professor!
Dr. David Creech, Agriculture
Dr. Don A. Hay, Biology
Dr. John R. Butts, Communication
Dr. Mingteh Chang, Forestry
Dr. Calvin W. Hines, History
Dr. David A. Shows, Health and Physical Education
To Associate Professor!
Dr. Jack Ethridge, Accounting
Dr. William E. Morrison, Counseling and Special Educa
tional Programs
Dr. Bruce A. Payette, Counseling and Special Educa
tional Programs
Dr. Ernest B. Ledger, Geology
Dr. R. LaRell Nielson, Geology
Dr. G. Michael Epping, Management and Marketing
Dr. N. Ann Doyle-Anderson, Modern Languages
Dr. Andrew Parr, Music
Dr. W. James Robertson, Nursing
Dr. Donnya Stephens, Secondary Education
Dr. Michael R. Daley, Social Work
To Assistant Professor:
Dr. Becky Greer, Home Economics
Dr. Sherry L. Rulfs, Secondary Education
Dr. Allen Oster, Theatre
13
To Librarian III:
Ms. Elaine Hackarci, Library
Ms. Mildred Reed Hancock, Library-
Ms. Bernice Wright, Library
88-71
Upon motion of Regent Wright, seconded by Regent Wooten,
with all members voting aye, it was recommended that the
faculty members listed below be awarded Faculty Development
Leaves for the fall or spring semesters, 1988-89, as indi
cated, at full pay.
Dr. Camille Price, Computer Science Fall, 1988
Dr. Robert Gruebel, Physics Fall, 1988
Dr. Francis Abernethy, English Fall, 1988
Dr. Thomas Nail, History Spring,1989
Dr. Dillard Tinsley, Management and Marketing Spring'1989
88-72
Upon motion of Regent Wright, seconded by Regent Jones, with
all members voting aye, it was ordered that the faculty
workload report for the spring semester, 1988, be approved
as submitted.
88-73
Upon motion of Regent Hile, seconded by Regent Rusche, with
all members voting aye, it was ordered that the proposed
Policy Relating to Intellectual Property be approved as
presented on page 20.
88-74
Upon motion of Regent Wright, without opposition, the pro
posal to establish a policy concerning the award of Honorary
Degrees was tabled until the July, 1988, meeting of the
Board of Regents.
88-75
Upon motion of Regent Rusche, seconded by Regent Bryce, with
all members voting aye, it was ordered that the policy on
Regents Professorships be changed to provide that two out
standing faculty be named Regents Professor each year with
no distinction between an award for teaching and another for
research.
14
88-76
Upon motion of Regent Moore, seconded by Regent Wright, with
all members voting aye, it was ordered that the following be
awarded Regents Professorships for the academic year
1988-89.
Dr. James G. Dickson, Jr., Political Science
Dr. Dillard Tinsley, Management and Marketing
88-77
Upon motion of Regent Moore, seconded by Regent Jones, with
all members voting aye, it was ordered that the following
budget adjustments be approved:
1. $14,000 from E & G Surplus to Account No. 1823
(Accreditation SACS) to fund activities related to the
Southern Association Self study during FY 1988.
2. $4,500 from E & G Surplus to Account No. 1405
(Personnel Services) to purchase service award pins for
faculty.
3. $16,780 from E & G Surplus to supplement Account No.
1140 (Faculty Research) which allows funding of
research proposals with the highest priority.
4. $3,942 from E & G Surplus to Account No. 1061 (Academic
Assistance Center) to fund salary for a faculty member
to plan new remediation programs that will be necessary
following the implementation of the state-wide testing
program that will be required of all students beginning
in 1989. ^
5. $18,000 from Auxiliary Enterprise Surplus to supplement
Account No. 5311 (International Programs) for facultv
exchange.
6. $2,285 from Auxiliary Enterprise Surplus to supplement
Account No. 6341 (Board Room Redecorating) for the
final payment on chairs.
88-78
Upon motion of Regent Hile, seconded by Regent Moore, with
all members voting aye, it was ordered that the Summer Bud
get for 1988, totalling $1,804,880, be approved.
88-79
Upon motion of Regent Moore, seconded by Regent Jones, with
all members voting aye, it was ordered that the proposed
annual operating budget for FY1989 be approved as presented.
15
FINANCIAL CERTIFICATION
In accordance with the request of the Board of Regents, the
President and Vice President for Administrative and Fiscal
Affairs certify to the best of their knowledge and belief
that:
1. All accounting reports submitted to the Board of
Regents contain information resulting from procedures
that are in compliance with the state law and regula
tions and are correct.
2. All funds are on deposit.with approved.depositories as
authorized by the Board of Regents, August 27, 1987.
88-80
Upon motion of Regent Rusche, seconded by Regent Wooten,
with all members voting aye, it was ordered that the amend
ments to the Investment Policy adopted by the Board of
Regents at its January 19, 1988, meeting be approved as pre
sented below: (See page 32).
II. FUNDS WHICH MAY BE INVESTED
A. Operating Funds: Operating funds belonging to
the following current fund groups may be held in
local depository banks and/or invested in accor
dance with this policy:
Auxiliary Fund Groups
Designated Fund Group
Current Restricted Fund Group
Funds belonging to the Educational and General
Fund Group must be held in the State Treasury.
One exception to this rule is deposits held for
students (example—general property deposits)
which may be invested at the discretion of the
University. Operating Funds are funds which will
normally be consumed in the operation of the Uni
versity within the fiscal year. For this reason,
operating funds must be invested for a shorter
period of time than non-operating funds, with
primary consideration to maintain liquidity.
Maturities shall be scheduled to conform with
cash flow requirements during the fiscal period.
Funds not required for current operations may be
invested in securities listed herein but bearing
maturity dates of no longer than two years from
date of purchase.
16
IV. SELECTION OF FINANCIAL INSTITUTION AS DEPOSITORY FOR
UNIVERSITY DEMAND DEPOSIT FUNDS
A. All University demand deposit funds, either owned
or controlled by Stephen F. Austin State Univer
sity, will be deposited in banks authorized by
the Board of Regents.
B. Bids will be received periodically, as determined
by the Board of Regents, from financial institu
tions located in the state of Texas wishing to
receive University deposits.
C. All bids will be sealed, to be opened at such
times as indicated by the University Administra
tion.
B- A-eontjraet-fsir-a-speeified-pejfiod-will-be-awajfded
by-th«-*oe*d--of--Re^eftta-r - --Bi^-s--must--be-- 3? eee i ved
ftlfcth
ErD,. Gifts or bequests to Stephen F. Austin State Uni
versity requiring that a designated financial
institution be used as a condition of the gift or
bequest will be considered and approved or
rejected by the Board of Regents.
88-81
Upon motion of Regent Hile, seconded by Regent Stripling
with all members voting aye, it was ordered that the Board
approve the bank depository bid document as it appears on
page 37.
88-82
Upon motion of Regent Wooten, seconded by Regent Bryce, with
all members voting aye, it was ordered that the President be
authorized to sign a contract with Benefit Plan Administra
tors, Inc. as a third party administrator for a Section 125
Cafeteria Plan for University employees.
88-83
Upon motion of Regent Rusche, seconded by Regent Hile, with
all members voting aye, it was ordered that the Board
approve the Policy on Food Purchases as it appears on page
4 2*
17
88-84
Upon motion of Regent Jones, seconded by Regent Wright, with
all members voting aye, it was ordered that the Board
approve the Policy on Contracting Authority as it appears on
page 44.
88-85
Upon motion of Regent Hile, seconded by Regent Jones, with
all members voting aye, it was ordered that the Board
approve the Policy on Compensation in Excess of Base Salary
effective immediately, as it appears on page 48.
88-86
Upon motion of Regent Bryce, seconded by Regent Jones, with
all members voting aye, it was ordered that a contract with
Pineywoods Investment Co., Inc. for the alterations and
additions to the University Security Building be approved
and that the Chairman of the Board be authorized to sign the
contract. (See page 50).
88-87
Upon motion of Regent Wright, seconded by Regent Moore, with
all members voting aye, it was ordered that the following
budget for the alterations and additions to the University
Security Building be approved:
Construction Cost $2 07,783
Movable Equipment 12,000
Architectural and
Engineering Fees 15,595
Contingency 15,000
Administrative Costs 2.500
TOTAL BUDGET $252.878
88-88
Upon motion of Regent Rusche, seconded by Regent Wooten,
with all members voting aye, it was ordered that the Board
approve the preliminary plan for the Steen Library Expansion
Project, authorize its submission to the Coordinating Board,
and upon Coordinating Board approval that the Administration
be authorized to seek bids for the project. In addition,
the Board certified that the need for additional Library
space is at least equal to the need of the University for
additional or more modern instruction or research equipment.
18
88-89
£LR?gent Br?fe' seconded by Regent Wright, with
approve the 3^ J^oTSTLSSSniSiSSS Reno-istration
be authorized to seek bids for the projec?.
88-90
2?nin!Swn of Regent Ki}e> seconded by Regent Jones, with
all members voting aye, it was ordered that bids be taken
Earlv ch-MrJhrwi tj,,,1!^,- t,- ^. Z. . ae ^ajcen
Ch
tract.
11 ^ers vonng aye, it was ordered that bids be taken
for the Early Childhood Building Re-roofing Projec? and ?hat
the Chairman of the Board be authorized to sign the cSn-
88-91
w??h ^1On Z Rege^ Wright, seconded by Regent Stripling
dint Si members voting aye, it was ordered that the Iveii-
S? !J d t i rh d
b r!?Zed to sign purchase orders for the following
H.P.E. renovation projects based on the low bids received:
1. Refinish floor in Shelton Gym
Bauer Flooring $ 7/000
2. Replace bleacher frames
Speciality Erection Company $ 12,439
Alternate 1
Renovate swimming pool bleachers
Speciality Erection Company $ 5,141
3. Resurface handball courts
N.A.H., Incorporated $ 6 920
4. Resurface tennis courts
Teni-Trak, Incorporated $ 16,206
Source of Funds: Equal division between Auxiliary Enter
prise Surplus and Higher Education Assistance Funds?
88-92
Of+.Regent Ha4e' seconded by Regent Rusche, with
^g ayS/ Lt WaS ordered that the President be
tO 21!? a Purchase order, with the approval of
Si Si?^°f the Board' for the removal of asbestos in
the East College Cafeteria, Hall 9, Hall 14 and Hall 16
19
88-93
Upon motion of Regent Jones, seconded by Regent Wooten, with
all members voting aye, it was ordered that the Chairman of
the Board be authorized to sign a contract with Purtle and
Associates for consulting engineering services. (See page
71.) * *
88-94
Upon motion of Regent Moore, seconded by Regent Rusche, with
all members voting aye, it was ordered that the Alumni Asso
ciation be authorized to expand its offices into the area
designated as the "television room" in the University Cen
ter, providing that any renovation necessary will be
financed by the Association and that renovation plans will
be subject to the approval of the Administration.
20
POLICY RELATING TO INTELLECTUAL PROPERTY
STEPHEN F. AUSTIN STATE UNIVERSITY
I- Philosophy
Stephen F. Austin State University encourages participation
by faculty, staff and students in scholarly research and
creative activities which support and enhance teaching in
its classrooms and laboratories. While research conducted
at Stephen F. Austin State University is aimed at discovery
and dissemination of knowledge, rather than profit from
commercial application, the Board of Regents recognizes that
questions regarding intellectual property rights may arise
from such activities. The Board of Regents seeks through
adoption of this policy to balance the interests of the
public, the University and the inventor, author, or artist
in intellectual property arising from research and creative
activities conducted by employees of the University. The
Board further seeks to ensure that inventions, discoveries
and creative works are used and controlled in an efficient
and prudent manner which will result in maximum benefit to
the public, the University and the inventor, author, or
artist.
II. Applicability
This policy shall apply to all persons employed by Stephen
F. Austin State University or a component thereof, and to
anyone using facilities or funds subject to control or
supervision by Stephen F. Austin State University. This
policy, as amended from time to time, shall be deemed to
constitute part of the conditions of employment of every
employee, including student employees. Unless otherwise
excluded, this policy shall apply to intellectual property
of all. types (including any invention, discovery, trade
secret, technology, scientific or technological development,
computer software, conception, design, creation or other
form of expression of an idea) regardless of whether subject
to protection under patent, trademark, or copyright laws, or
common law.
III. . Copyright
A. Definitions
1. Copyright is the ownership and control of the
intellectual property in original works of
authorship. Copyright ownership and the
rights thereof are defined by federal law.
It is the policy of Stephen F. Austin State
21
University that all rights in copyright shall
remain with the creator of the work unless
otherwise subject to contractual or legal
obligations, or the work is a "work made for
hire" as that term is defined by federal law.
2. A "work made for hire" is:
(1) a work prepared by an employee within
the scope of his or her employment; or
(2) a work specially ordered or commissioned
by the University for use as a
contribution to a collective work, as a
part of a motion picture or.other
audiovisual work, as a translation, as a
supplementary work, as a compilation, as
an instructional text, as a test, as
answer material for a test, or as an
atlas, if the parties expressly agree in
a written instrument signed by them that
the work shall be considered a "work
made for hire." An "instructional text"
is a literary, pictorial, or graphic
work prepared for publication and with
the purpose of use in systematic
instructional activities.
B. Ownership
!• General
In keeping with academic tradition, the
University does not claim ownership.of books,
articles, software and similar works, the
intended purpose of which is to disseminate
the results of academic research or scholarly
study. The University claims no ownership of
popular nonfiction, novels, poems, musical
compositions, software or other works of
artistic imagination which do not result from
projects commissioned or assigned by the
University. Unless evidence of excessive use
or abuse of University funds or facilities
exists, the University will convey, upon
request and to the extent consistent with its
legal obligations, the copyright in such
works to the individual creator(s) or
author(s).
22
2* Sponsored Research Agreements
Copyright ownership of all material
(including software) that is developed in the
course of, or pursuant to, a sponsored
research agreement (whether funded by a
public or private agency or organization)
shall be determined in accordance with the
terms of the sponsored research agreement,
or, in the absence of such terms, the
copyright shall become the property of the
University.
3. Use of University Resources
a. Copyright in all material (including
software) that is developed with the
significant use of funds, space,
hardware, or facilities administered by
the University, including but not
limited to classroom and laboratory
facilities, but without any obligation
- to others in connection with such
support, shall reside in the University.
The University recognizes and affirms
the traditional academic freedom of its
faculty and staff to publish freely
without restriction. In keeping with
this philosophy, the University will not
construe the provision of office or
library facilities as constituting
significant use of University funds,
except for those situations where the
funds were paid specifically to support
the development of such material.
b. Copyright in works resulting from
projects that are performed in whole or
in part by any person with financial
support in the form of wages, salaries,
stipends or grants from funds
administered by the University shall be
determined in accordance with the terms
of the support agreement or, in the
absence of such terms, shall become the
property of the University.
c. Copyright in works generated by research
performed in whole or in part by any
person while utilizing equipment or
facilities provided to the University
23
under conditions that impose copyright
restrictions shall be determined in
accordance with such restrictions.
Revenue Sharing
!• Works Not Owned by Stephen F. Austin State
University
If the University does not claim ownership of
an intellectual property, authors of
intellectual works not owned by the
University may copyright the related work,
publish it, register the copyright and
receive any revenues which may result
therefrom.
2- Works in Which Stephen F. Austin State
University Has a Property Interest
(Generally. Commissioned Works)
a. Royalty income received by the
University through the sale, licensing,
leasing or use of copyrightable material
in which the University has a property
interest will normally be shared with
the author. Authorship for this purpose
shall be determined by the President or
his designee. Compensation and division
of royalties, if any, will be negotiated
by written agreement prior to
commencement of work on the project, or
as soon thereafter as practical.
bl In the event that an author contributes
a personal work to the University, a
written agreement accepting such
contribution shall be executed. The
terms of the agreement shall include a
statement governing the division of
royalties between the University and the
author.
c. In cases of extramural funding, the
terms of the funding agreement shall
govern the division of any royalties
that may result from commercialization
of materials resulting therefrom. In
the event that the funding agreement
vests royalty rights in the University,
and does not provide any royalty share
24
for the author, the terms of Section III
C(2) (a) shall apply. No such royalty
payment to the author, however, may
violate the terms of the funding
agreement.
D- Use of University or Aaencv Sponsored Materials
1. Prior to the use of a work in which the
University has an interest, the author will
consult with the University through
appropriate administrators, or provide a
reasonable opportunity for such consultation,
with respect to its use. The University
reserves the right to use for instructional
and research purposes, without obligation to
make payment therefor, any works created by
employees or students during their periods of
employment or attendance and revisions or
derivations of such works.
2. When unresolved questions on use occur, they
shall be referred to the President or his
designee for resolution.
E. Revision of Materials
Materials owned by the University under the terms
of this policy shall not be altered or revised
without providing the author a reasonable
opportunity to assume the responsibility"for the
revision. If the author declines the opportunity
to revise such material, the assignment of
responsibility for the revision will be made by
the President or his designee in consultation with
the appropriate department or office.
F. Withdrawal of Materials
1. Materials owned by the University under the
terms of this policy shall be withdrawn from
use when the University, in consultation with
the author, deems such use to be obsolete or
inappropriate. No withdrawal or other
discontinuance that would violate the terms
of any licensing or other agreement relating
to the materials shall take place.
2. The University may release to the author(s)
the right to any work copyrighted in the name
of the University.
25
G. Warranty
Prior to the filing of an application for
registration with the Copyright Office, Library of
Congress, an author of any work owned by the
University under the terms of this policy shall
sign a statement that he or she warrants that, to
the best of his or her knowledge, the work does
not infringe on any existing copyright or other
legal rights; that work not identified as
quotations is the expression and creation of the
author; that necessary permission for quotations
and the like has been obtained; and that the work
contains no libelous material or any material' that
invades the privacy of others.
H. Notice of Copyright
All material owned by the University under the
terms of this policy shall be protected by notice
of copyright in the name of the University. The
proper form of such notice is as follows:
Stephen F. Austin State University. All
d
p
rights reserved.
The date should be the year in which the work was
completed or in which it was published, whichever
is earlier. The name of the University should be
spelled out in its entirety.
Patents
A. Obligations
1. Employees and others who are subject to this
policy by virtue of their.employment or use
of University services or facilities shall
disclose to the President or his designee,
any invention or discovery (including those
made under cooperative arrangements); provide
complete information thereon; and cooperate
with the University in protecting potential
patent and know-how rights in accordance with
Article XI, below.
2. When an invention arises from a project
specially commissioned by the University, the
inventor shall assign all rights, title and
interest in and to any such invention to the
26
University or its designee and assist the
University or its designee in securing patent
protection on the invention. In this
instance, the inventor shall, upon request,
execute an invention agreement prior to
commencement of the project, as soon
thereafter as practical.
B. Sponsored,Research
1. In cooperative undertakings sponsored by, or
involving, third parties, provisions for the
control of patents normally should be
consistent with the general policy stated
above. However, it is recognized that in
some cases the interests of other
organizations (federal, industrial, etc.)
will justify modifications of the general
policy. In those cases, the provisions with
respect to patents shall appear in the
applicable memorandum of understanding or
agreement for the review and approval of the
President. It is intended and provided that
disclosed inventions will be identified and
managed in accordance with patent policy and
procedures.
2. Nothing in this policy shall be interpreted
as precluding the acceptance of a contract,
grant, or agreement which provides for
ownership of inventions and patent rights by
the cooperating agency or organization.
C. Royalties __
1. After a deduction of fifteen percent (15%)
for administrative costs, and a deduction for
the cost of patenting, licensing, and
protecting of invention and patent rights,
the net royalties or other income arising
from an invention or discovery shall be
divided as follows:
(1) Fifty percent (50%) to the inventor or
inventors;
(2) Fifty percent (50%) to the University.
2. Special facts concerning an invention may
warrant a different distribution of
royalties. Agreements with respect to
27
royalties shall be in writing and signed by
^.the President 02* his designee. Any agreement
which grants the inventor more than fifty
percent (50%) of the net royalties shall
require approval of the Board of Regents•
3. In the event that a person contributes an
invention to the University, a written
agreement accepting the, contribution shall be
executed. The terms of "the agreement shall
include a statement governing the division of
royalties between the University and the
donor.
D. Use of Inventions and Discoveries
1. Prior to the use of an invention or discovery
in which the University has an interest, the
employee responsible for the invention or
discovery will consult with the University
through appropriate administrators, or
provide a reasonable opportunity for such
consultation, with respect to its use. The
University reserves the right to use for
instructional and research purposes, without
obligation to make payment therefor, any
inventions or discoveries made by employees
during their periods of employment and
revisions or derivations of such inventions
or discoveries.
2. When unresolved questions on use occur, they
shall be referred to the President or his
designee for resolution.
v- Trademarks, Service Marks and Trade Names
A. Trademarks and service marks may be any work,
name, symbol, or device, or any combination
thereof adopted and used by the University in the
sale or advertising of goods or services to
identify and distinguish such goods and services
from those sold by others.
B. Trade names include any names used to identify
Stephen F. Austin State University and its
services.
C. The President or his designee shall be responsible
for protection and licensure of trademarks,
28
service marks, and trade names used by or related
to Stephen F. Austin State University.
D. No licenses shall be granted to commercial
entities for use of trademarks or service marks in
connection with commercial services or stationery,
alcoholic beverages, inherently dangerous
products, products of obscene or disparaging
characteristics, health related products, products
classified as staple foods, meats, and natural
agricultural products, and any other uses which in
the opinion of the President or his designee would
degrade the reputation or goodwill of the
University.
VI. Trade Secrets
Trade secrets may be comprised, generally, of any formula,
pattern, device or compilation of information which gives
one an opportunity to obtain an advantage over competitors
who do not know or use it in commercial applications. Trade
secrets in which Stephen F. Austin State University
maintains an interest shall be protected in accordance with
the terms of sponsored research agreements or, if none
exist, by any lawful means available to the University as
determined by the President or his designee.
VI1- Disclosure of Intellectual Property
A. Each individual subject to this policy has a duty
to disclose promptly, in writing, and prior to any
disclosure either to the public or for commercial
purposes, any intellectual property created: or
discovered by such individuals Disclosure shall
be made to the President or his designee.
B. The President shall adopt policies and determine
procedures for appropriate institutional review of
such disclosures. The duty to disclose arises as
soon as the individual has reason to believe,
based upon his or her own knowledge or upon
information supplied by others, that the
intellectual property may be protectable under
patent, trademark, or copyright law, or common
law. Certainty about the protections to be
afforded such intellectual property is not
required before a disclosure should be made. Each
individual subject to this policy shall execute
such declarations, assignments, or other documents
as may be necessary to protect the University's
interest in such intellectual property.
29
C. Disclosure of equity ownership or management
participation in a business entity that has an
agreement with the University relating to
research, development, licensing, or exploitation
of intellectual property created or discovered by
an employee shall be made in accordance with
Article VIII below.
VI11- Equity Ownership and Management Participation
A. Ownership of any equity interest in a business
entity that has an agreement with the University
relating to research, -development, licensing, or
exploitation of intellectual property created or
discovered by an employee shall be disclosed to
the President or his designee. The President
shall take any necessary steps to avoid injury to
- the University as a result of potential conflicts
of interest arising out of such equity ownership,
B. No employee may serve as a director, officer, or
employee of a business entity that has an
agreement with the University relating to
research, development, licensing, or exploitation
of intellectual property in which the University
has an ownership interest except upon request of,
or prior approval by, the Board of Regents,
Authorization to serve as a director, officer, or
employee of such a business entity may be subject
to one or more conditions established to avoid
injury to the University as a result of potential
conflicts of interest.
C. In accordance with Section 51.912 of the Texas
Education Code, the names of all business entities
that have an agreement with the University
relating to the research, development, licensing,
or application of intellectual property in which
employees own an equity interest, or for which
such persons serve as director, officer, or
employee, shall be reported to the governor and
legislature on an annual basis. The University
may accept equity interests as partial or total
compensation for rights conveyed in agreements
with business entities relating to intellectual
property owned by the University. The University
may negotiate, but shall not be obligated to
negotiate, an equity interest on behalf of any
employee as a part of an agreement between the
University and a business entity relating to
30
intellectual property created, discovered, or
developed by the employee and owned by the
University.
IX. Disposition of Tncnmq
A. In the disposition of any net income accruing to
the University or a component from patents, trade
secrets, or copyrights, first consideration shall
be given to the promotion of research.
B. In the disposition of any net income accruing to
the University or a component from licensure of
trademarks or service marks, first consideration
. shall be given to creation or enhancement of
scholarship programs.
X. License Agreements
A. Agreements which grant a third party the right to
make, use, or sell a patented invention, invention
know-how, or trade secret that has been disclosed
and assigned to, or is otherwise owned by, the
University shall require approval by the Board of
Regents.
B. Agreements which grant a third party the right to
reproduce, sell or use a copyrighted work,
trademark, service mark, or trade name in which
the University owns an interest shall require
approval by the President.
XI. • Administration of Intellectual Proper€y
A. The President or his designee shall be responsible
for administering this policy. Duties encompassed
by this responsibility shall include filing
appropriate registration forms and supporting
. documents with the Copyright Office, Library of
Congress, or the Patent and Trademark Office,
negotiating and drafting licenses and other
royalty agreements, drafting necessary agreements
for specially commissioned works, determining the
applicability of this policy and appropriate law
to intellectual property, and adoption of policies
and procedures consistent with this policy
statement and necessary for determination of
ownership or protection of the University's
interests in intellectual property. All referrals
to the President or his designee, under this
31
policy, shall follow established procedures and
administrative channels of communication.
B. In determining the University's ownership interest
in any intellectual property and measures
necessary for appropriate protection or
exploitation of such interests, the President or
hisdesignee may utilize assistance from
designated University committees, the General
Counsel, Texas Attorney General, an appropriate
private law firm or attorney, or corporations
established for the purpose of managing
intellectual property.
C. The responsibility for commercial marketing and
licensure of intellectual property, and for
maintenance of appropriate fiscal records, is
assigned to the President or his designee.
D. All expenses of copyright registration, patenting
and other forms of protection sought by the
University shall be borne by the University. If
the University fails or refuses to pursue within a
reasonable period any registration of copyright or
patent, or other protection, for intellectual
property in which an employee has an ownership or
royalty interest, the employee may independently
pursue registration or other protection of such
interest. The individual shall be reimbursed for
expenses related to such protective action if the
University subsequently decides to assert and
exploit the University's interests in the
property.
32
STEPHEN F. AUSTIN STATE UNIVERSITY
INVESTMENT POLICY
(Revised April 19, 1988)
I. PURPOSE
™LPUrpO?e Of this P°licY' pursuant to H.B. 1488 of the
70th Legislature, Regular Session, is to direct the
investment of funds of Stephen F. Austin State University
to achieve the maximum yield while maintaining safety and
liquidity as described in the following paragraphs. This
policy applies to local income and local funds that the
University may lawfully hold in local depository banks or
invest in the types of securities enumerated herein as
opposed to funds that must be remitted to and held by the
State Treasury, which are invested by the State Treasurer.
II. FUNDS WHICH MAY BE INVESTED
A. Operating Funds: Operating funds belonging to the
following current fund groups may be held in local
depository banks and/or invested in accordance with
this policy:
Auxiliary Fund Groups
Designated Fund Group
Current Restricted Fund Group
Funds belonging to the Educational and General Fund
Group must be held in the state Treasury. One
exception to this rule is deposits held for students
(example—general property deposits) which may be
invested at the discretion of the University.
Operating Funds are funds which will normally be
consumed in the operation of the University within the
fiscal year. For this reason, operating funds must be
invested for a shorter period of time than non-operating
_ funds, with primary consideration to
maintain liquidity. Maturities shall be scheduled to
conform with cash flow requirements during the fiscal
period. Funds not required for current operations may
be invested in securities listed herein but bearing
maturity dates of no longer than two years from date
of purchase.
B. Non-operating Funds: Non-operating funds belonging to
the following non-current fund groups may be held in
local banks and/or invested in accordance with this
policy:
33
Plant Funds Group - For Plant Extension
Plant Fund Group - Renewals and Replacement
Plant Fund Group - Retirement of Indebtedness
Endowment Fund Group
Loan Fund Group
Agency Fund Group
«?«? ?5 bS exercised to have funds available to meet
?nSI t Payments of Plant Funds, principal and
interest payments on Retirement of Indebtedness^ Funds,
transfer of interest of Endowment Funds and loans to
?hofSn^ °/ i°ar\ Junds- Projected disbursement of
these funds together with a sufficient safety margin
shall be scheduled prior to the beginning of each
*"f ft year and • Sha11 be uPdated and corrected
ISSS I' 4-KeW Pi°3acts affecting these funds will be
Init* i -^ suchedule- Before implementation, this
schedule will be approved by the Vice President for
Administrative and Fiscal Affairs.
Generally, the remaining non-operating funds are held
for a longer duration of time and may be invested in
securities bearing longer maturities. One-half of the
remaining non-operating funds shall be invested in
securities bearing maturity dates of no more than two
S ?I™ ?di *° lncrease yield/ the other one-half may
be invested m securities bearing maturity dates of up
J i^,years- should market conditions change,
Sfefemay ^ ^^ tO d ^
III. AUTHORIZED INVESTMENTS
.fnJo?P?rated city or town, a county, a public
S2?Si* H8t«1CV- an institution of higher education as
defined by Section 61.03 of the Education Code, or anv
nonprofit corporation acting on behalf of any of those
?£ S ^y.' ln^acc°rdance with this Act, purchase, sell,
^ fUndS Under its c°ntr°l in the
1)
2)
obligations of the United States or its
agencies and instrumentalities;
direct obligations of the state of Texas or
its agencies;
3) other obligations, the principal of and
interest on which are unconditionally
guaranteed or insured by the State of Texas
or the United States;
34
4) obligations of states, agencies, counties,
cities, and other political subdivisions of
any state having been rated as to investment
quality by a nationally recognized
investment rating firm and having received a
rating of not less than A or its equivalent;
5) certificates of deposit issued by states and
national banks domiciled in this state that
are:
(A) guaranteed or insured by the Federal Deposit
Insurance Corporation, or its successor; or
(B) secured by obligations that are described by
Subdivisions (1) - (4) of this subsection, which
are intended to include all direct agency or
instrumentality issued mortgage backed securities
rated AAA by a nationally recognized rating
agency, or by Chapter 72 6, Acts of the 67th
Legislature, Regular Session, 1981 (Article
2529b-l, Vernon's Texas Civil Statutes), and that
have a market value of not less than the
principal amount of the certificates; and
6) fully collateralized direct repurchase agreements
having a defined termination date, secured by
obligations described by Subdivision (1) of this
subsection, pledged with a third party selected
or approved by the political entity, and placed
through a primary government securities dealer,
as defined by the Federal Reserve, or a bank
domiciled in this state.
(b) In addition to investment in obligations,
certificates, or agreements described in
Subsection (1) of this section, bond proceeds of
an incorporated city or town, a county, or a
public school district, or local revenue of an
institution of higher eduction, may be invested
in common trust funds or comparable investment
devises_ owned or administered by banks domiciled
in this state and whose assets consist
exclusively of all or a combination of the
obligations described by Subdivision (l)-(4) and
(6) of Subsection (a) of this section. Common
trust funds of banks domiciled in this state mav
be used if they:
(1) are available:
(2) comply with the provisions of the Tax Reform Act
of 1986 and applicable federal regulations
governing the investment of bond proceeds; and
35
(3) meet the cash flow requirements and the
investment needs of the political subdivision or
institution.
IV. SELECTION OF FINANCIAL INSTITUTION AS DEPOSITORY FOR
UNIVERSITY DEMAND DEPOSIT FUNDS
A. All University demand deposit funds, either owned or
controlled by Stephen F. Austin State University, will
be deposited in banks authorized by the Board of
Regents.
B. Bids will be received periodically, as determined by
the Board of Regents, from financial institutions
located in the state of Texas wishing to receive
University deposits.
C. All bids will be sealed, to be opened at such times as
indicated by the University Administration.
D. Gifts or bequests to Stephen F. Austin State
University requiring that a designated financial
institution be used as a condition of the gift or
bequest will be considered and approved or rejected by
the Board of Regents.
V. SAFETY
Investment safety means more than complying with the
requirements of and investing in securities specified by
H.F. 1488, 70th Legislature, Regular Session. It includes
the exercise of prudent management to maintain a
diversification of investments, and adequate liquidity, as
well as employment of the following internal control
procedures:
(1) The person primarily responsible for the investment of
University funds will not receive, hold nor release
original security documents.
(2) The order to purchase, trade or sell a particular
security may originate with the person primarily
responsible for investments but must be evidenced by
written approval of the vice President for
Administrative and Fiscal Affairs on a form approved
by him. ^
(3) cash vouchers and receipts relating to or resulting
from investment transactions must be counter approved
by the Vice President for Administrative and Fiscal
Affairs or his designee.
36
VI. MANAGEMENT OF INVESTMENT OF UNIVERSITY MONEY
The University Comptroller shall have primary
responsibility to direct the investment of University
funds. All orders to purchase, trade or sell securities
must have prior written approval of the Vice President for
Administrative and Fiscal Affairs. The Vice President for
Administrative and Fiscal Affairs will recommend brokerage
firms or banks with whom the University may purchase, trade
and sell securities based on guidelines approved by the
Board of Regents.
37
DEPOSITORY CONTRACT
OPERATING DEMAND DEPOSITS
STEPHEN F. AUSTIN STATE UNIVERSITY
STATE OF TEXAS
COUNTY OF
THIS AGREEMENT is made and entered into this the day
of , 19 , by and between *•■
°f __/
Texas, a banking corporation duly incorporated and authorized by
law to do bank business in the State of Texas, hereinafter called
the DEPOSITORY, the Board of Regents, Stephen F. Austin State
University of Nacogdoches, Texas, hereinafter called the BOARD OF
REGENTS, and of
/ Texas, a banking corporation duly
incorporated and authorized by law to do bank business in the
State of Texas, hereinafter called the TRUSTEE•
NOW, THEREFORE, in consideration of the mutual promises,
performance and covenants of each to the other, the parties
contract and agree as follows:
The DEPOSITORY agrees to and with the BOARD OF REGENTS that
it will act as depository for funds that may be deposited with it
by Stephen F. Austin State University of Nacogdoches, Texas, at
any time from September 1, 19 through August 31, 19 , or
until its successor is qualified.
II
All funds on deposit with DEPOSITORY to the credit of
Stephen F. Austin State University, with the exception of those
funds covered by Vernon's Texas Civil Statutes, Article 2529a,
shall be secured by those investment securities authorized by
Vernonfs Texas Civil Statutes, Article 2529b-l.
DEPOSITORY shall certify to the chief fiscal officer of
Stephen F. Austin State University the market value of securities
on the date said securities are pledged. The pledged securities
shall have an aggregate market or par value, whichever is less,
exclusive of accrued interest, at all times at least equal to the
sum of the balances on deposit with DEPOSITORY in all accounts of
Stephen F. Austin State University, less those funds covered by
V.T.C.S., Article 2529a, and such pledged securities shall be
deposited with the TRUSTEE. Such securities so deposited with
TRUSTEE shall be held under joint Trust Receipt issued by said
TRUSTEE in favor of DEPOSITORY and BOARD OF REGENTS, the original
38
TRUSTEE in favor of DEPOSITORY and BOARD OF REGENTS, the original
of such receipt shall be filed with the chief fiscal officer of
Stephen F. Austin State University.
Within 10 days after the end of each calendar month
DEPOSITORY shall furnish to the chief fiscal officer of Stephen
F. Austin State University in writing a signed statement showing
a completely itemized list of the securities held as pledged
collateral for Stephen F. Austin State University.
Ill
In the event the DEPOSITORY named shall be unable to pay or
shall fail to pay and satisfy upon presentment for payment any
check or draft lawfully drawn upon any existing fund of Stephen
F. Austin State University, then the BOARD OF REGENTS shall have
the right and power any time thereafter to procure the entire
amount of money then on deposit in said DEPOSITORY belonging to
Stephen F. Austin State University, by forced sale of the
collateral pledged, and said TRUSTEE agrees on demand of the
BOARD OF REGENTS to surrender such pledged securities to the
BOARD OF REGENTS, and the BOARD OF REGENTS is hereby fully
authorized and empowered to proceed with the sale of such
securities to the extent necessary to permit the BOARD OF REGENTS
to receive in full its cash balances theretofore, in such
DEPOSITORY, and the money derived from such sale shall be the
property of Stephen F. Austin State University in an amount equal
to the funds of Stephen F. Austin State University in the
DEPOSITORY, and any amount in excess thereof shall be the
property of the DEPOSITORY. Such sales may be public or private
and may be made in Nacogdoches, Texas, or elsewhere at the
discretion of the BOARD OF REGENTS, and shall convey such
securities absolutely to the-purchaser thereof and no notice of
such sale shall be necessary.
IV
It is agreed that said DEPOSITORY shall have the privilege
of substituting or changing the securities herein pledged as
occasion may require, subject, however, to the approval of the
President of the institution or his representative.
It is further agreed herein that the TRUSTEE shall credit
the DEPOSITORY the proceeds of interest coupons on such bonds or
securities as they become due until otherwise notified by the
BOARD OF REGENTS.
VI
It is understood that the TRUSTEE shall have no duty to
ascertain the amount of funds on deposit by the BOARD OF REGENTS
with the DEPOSITORY nor the validity of genuineness of securities
39
deposited and that under Article III, TRUSTEE has no duty to
verify the circumstances but solely to comply with the "demand"
of BOARD OF REGENTS. DEPOSITORY shall be entitled to income on
securities held by TRUSTEE and TRUSTEE may dispose of such income
as directed by DEPOSITORY without approval of the BOARD OF
REGENTS. -
VII
A. It is further agreed that the DEPOSITORY will service the
accounts in an efficient and prompt manner at no expense to
the University and shall pay interest each month as it
accrues on all funds deposited with it as time deposits at a
rate to be determined as of the date of deposit in
accordance with the table presented below:
Applicable
Treasury Bill
Rate*
up to 6.0000%
6.0001-7.0000%
7.0001-8.0000%
8.0001-9.0000%
9.0001-10.0000%
10.0001-11.0000%
11.0001-12.0000%
12.0001 or above
Interfest Rate Calculations
Treasury Bill "Bid11
Rate times(x) 1. ^Interest Rate
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
Treasury Bill "Bid"
Rate times(x) 1.
^Interest Rate
interest Rate
interest Rate
interest Rate
interest Rate
interest Rate
interest Rate
The rates thus resulting are to be rounded, up or down, to
the nearest hundredth of one percent but not.to exceed the rates
on such deposits as authorized from time to time by regulations
of the Board of Governors of the Federal Reserve System.
B. ACCOUNT SERVICES
1. Overdraft Notification-
The University intends to maintain adequate funds to
cover withdrawals at all times.
40
If an account requires a transfer to cover current
withdrawals, the University Comptroller should be
notified immediately to arrange for the transfer to
avoid an overdraft account.
2. Other Services Offered by the Bank-
*Applicable Treasury Bill Rate
The most recent "bid" price for corresponding maturity of U. s.
Treasury Bills (Secondary Market) as shown in the latest
available publication of the Wall Street Journal.
41
Aaree™l??P/2' thS ?arties hereto have executed this
Agreement, the day and year first above written.
ATTEST
Depository
Title
Seal (if incorporated)
ATTEST:
Trustee Bank
Title Title
Seal (if incorporated)
EXAMINED, APPROVED, AND RECOMMENDED:
President
Stephen F. Austin State
University
ATTEST: BOARD OF REGENTS
STEPHEN F. AUSTIN STATE
UNIVERSITY
Chairman, Board of Regents
42
POLICY ON FOOD PURCHASES
STEPHEN F. AUSTIN STATE UNIVERSITY
With the exception of food supplies purchased for travel,
educational research or laboratory purposes, the only funds
which may be expended for food and/or beverages shall be from
Auxiliary, Designated or Current Restricted Accounts.
Auxiliary funds' may be used when the appropriate
responsible account manager determines and certifies
that such purchase serves a legitimate public
purpose and furthers the educational function of the
University.
Designated funds may be used if provisions of the
account include an authorization to purchase these
items.
Current restricted funds may be used when the
restrictions of the account include an authorization
to purchase these items.
All requests for food purchases must be made at least five
working days in advance and must be approved by the
appropriate Account Manager and Dean. Approval will be based
on the nature of the function and how it qualifies as a
legitimate public purpose that furthers the educational
function of the University. The request will indicate the
date, time and place of the function and will identify the
direct beneficiaries of the function, e.g., a student
organization, reception guests for visiting lecturer, visiting
high school counselors, etc.
Blanket requests may be made in advance where several similar
functions will occur during the fiscal year with the approval
of the appropriate Dean and Vice President. The attached form
is recommended for approval of food purchases.
University funds may not be used to purchase alcoholic
beverages.
43
DRAFT
STEPHEN F. AUSTIN STATE UNIVERSITY
AUTHORITY FOR
FOOD/BEVERAGE PURCHASE
only from Designated (2xxx's), Auxiliary (5xxx§s)
-and Current Restricted (7xxx!s) Funds , -
I hereby request authority to purchase food/beverages with
University Funds for the function shown below.
Function:
Time:
Place:
Direct Beneficiaries:
Account Number: Title:.
Estimated Cost:_
How this purchase serves a legitimate public purpose which
furthers the educational function of the University:
*I hereby certify the above and that funds are available for
this purpose.
Requester: Date:__
Account Manager
Approved:, Date:__
Dean or Vice President
*Approval must be received before purchase.
Routing Procedure:
Off-Campus - Present this approved form along with
completed Payment Voucher and Vendor Invoice
to Accounts Payable immediately after
function.
On-Campus - Present this approved form to the University
Center Reservations Office at the time of
making arrangements for the function.
See the University Food/Beverage Policy for more detail.
Blanket requests must be renewed each Fiscal Year.
44
POLICY ON CONTRACTING AUTHORITY
STEPHEN F. AUSTIN STATE UNIVERSITY
This policy governs the authority to enter and make
contracts, purchases, and agreements of any character on
behalf of the Stephen F. Austin State University.
1. No member of the Board of Regents shall enter into the
discussion, make motions, or vote on a contract,
purchase, or agreement of any character in which the
member directly or indirectly has pecuniary interest.
The provisions of V.T.C.A. Article 6252-9 shall be
observed.
2. The following items shall be submitted to the Board of
Regents for approval at either a regular Board meeting
or a special called Board meeting. Each item shall be
presented to the Board for consideration.
2.1 Construction contracts in the amount of $50,000
or more.
2.1.1 Architect-Engineer selections.
2.1.2 Preliminary plan approval.
2.1.3 Construction contract awards.
2.1.4 Change orders in the amount of $50,000
or more.
2.1.5 Final acceptance of project.
__ 2.2 . "Contracts, purchases, and agreements in the
amount of $50,000 or more, whether the amount is
income or expenditure with the exception of:
2.2.1 Private, governmental, and foundation
grants or agreements in which the donor
or agency stipulates the purpose for
. which the funds are to be expended.
2.2.2 Materials purchased for resale in
auxiliary operations and in central
supply.
2.2.3 Materials purchased for normal inventory
stock for the physical plant operation.
2.2.4 Materials purchased for normal inventory
stock from operation and maintenance
budgets previously approved by the
Board.
45
2.2.5 Maintenance service contracts on
elevators, computers, office equipment,
chillers and water treatment services.
2.2.6 Library subscription services.
2.2.7 Recurring printing orders.
2.2.8 Contracts and agreements for athletic
events, entertainment concerts, Fine
Arts events, and other similar
activities.
2.2.9 Group travel packages for resale to
students, faculty and staff, and other
similar activities.
2.2.10 Materials or services purchased for
emergencies resulting from disasters,
hazards, and other exigent
circumstances.
2.3 Leases of one (1) year or more, including
equipment, involving expected aggregate payments
exceeding $50,000.
2.4 Purchase, sale or exchange of real property.
2.5 Depository contracts.
2.6 Food services contracts or service contracts for
similar University activities.
2.7 Architect-Engineer contracts required for
projects specified under Subsection 2.1.
2.8 Contracts and agreements with support or
development foundations.
2.9 Employment of administrative officers, faculty
and non-classified employees.
2.10 Changes of position status of administrative
officers, faculty and non-classified employees.
2.11 Dual employment of administrative officers,
faculty, and non-classified employees.
2.12 Leaves of absence for one (1) semester or more.
2.13 Settlements, consent decrees, and similar
actions in litigation.
46
3. All contracts, purchases, and agreements in the amount
of $50,000 or more as defined in Section 2.1 to 2.3 or
for the purchase, sale or exchange of real property as
defined in Section 2.4, shall be submitted to the Board
of Regents for approval. All such contracts and
agreements shall be submitted to the President prior to
submission to the Board. The General Counsel shall
advise the President of any contract or agreement that
may have adverse legal ramifications.
4. The President shall be delegated the responsibility and
authority to enter into contracts, purchases, and
agreements for sums less than $50,000, whether the
amount is income or expenditure, and to enter into all
grants and agreements funded by private individuals,
governmental agencies, and foundations without regard
to the amount, unless otherwise limited by the Board.
At the option of the President, contracts, purchases,
• and agreements for sums less thanJ$50,000 may be
•submitted to the Board of Regents for approval. At the
request of the President, the General Counsel will
provide advice and assistance with regard to such
contracts, purchases, grants, and agreements.
5. The President may delegate power to contract, purchase,
or enter into agreements of less than $50,000 to other
employees of the University. Such delegation must be
specific and in writing' to be effective. The President
will remain responsible for all contracts, purchases,
and agreements for sums under $50,000, and for the
proper administration of all grants and agreements
funded by private individuals, governmental agencies,
andi-jEoundations, regardless of delegation of power to
contract, purchase, or enter into agreements.
6. All contracts, purchases, and agreements covered by
Section 3 of this policy shall be entered into in the
official name of the Board after each instrument is
considered and approved in open meeting. Each
instrument shall be recorded in the minutes of the
meeting which it is approved. The original copy of an
executed instrument shall be filed by the Vice
President of Fiscal and Administrative Affairs in his
office as a permanent record of the Board. Executed
copies of the instrument shall be delivered to the
party with whom it is made and to the President.
•Additional copies of any contract or agreements may be
executed and delivered as the Board may direct.
7. All contracts approved by the Board of Regents shall be
endorsed according to the following form.
47
DATE:
ATTEST:
Firm or Agency
Secretary Principal
Seal (if incorporated)
Examined, Approved, and Recommended:
President,
Stephen F. Austin State
University
ATTEST: Board of Regents,
Stephen F. Austin State
University
Chairman, Board of Regents
48
POLICY ON COMPENSATION IN EXCESS OF BASE SALARY
STEPHEN F. AUSTIN STATE UNIVERSITY
This Policy establishes guidelines for the total allowable
compensation paid to faculty and staff from University-controlled
funds to insure compliance with federal and state regulations.
1. General
a. Each faculty and staff member is accountable to Stephen
F. Austin State University for 100 percent of the duties
and facilities associated with the employee's basic
appointment. The primary obligation of University
employees is the full and complete execution of all
assigned duties and responsibilities.
b. State regulations prohibit the appointment of University
employees for more than 100-percent time for services
considered to be regularly assigned duties associated
with an individual's full-time responsibility. Any
individual who is dually employed with the University and
with another state or federal agency must obtain prior
written approval from the President and the Board of
Regents before entering into any activity for which
additional compensation is to be requested or paid.
c. Employees may be requested to provide consulting,
extension, and/or other "activities within the University
that are considered to be in addition to their regularly
assigned duties for which additional compensation may be
paid.
d.~" All activities for which an employee is to receive
- additional compensation through the University must be
approved in writing by the employee's department
chairman, dean, and the appropriate vice president prior
to work commencing.
e. Without exception, all payments to University employees
for additional compensation will be made through the
Payroll Office and requests will be submitted on an
Additional Compensation fora.
f• Non-exempt (Classified) employees must be compensated for
work in excess of forty (40) hours in any work week in
accordance with compensatory or overtime payment
regulations and procedures.
49
2• Correspondence and Extension Teaching
The maximum allowable compensation to faculty and staff
members for teaching extension courses offered through
Continuing Education is mandated by the State Appropriations
Act for each biennium. Effective September 1, 1985, Article
III, Section 8c, of the General Appropriations Bill, 70th
Legislature, makes the following provisions:
Full-time employees on twelve (12) months basis may
receive not more than Seven Thousand Five Hundred
Dollars ($7,500) for correspondence course and/or
extension center teaching and may not be paid
additional money for summer school teaching; and
full-time employees on a nine (9) months basis may
be paid for correspondence and/or extension center
teaching or summer school or other services during
the remaining three (3) months of the fiscal year,
but may not receive more than Seven Thousand Five
Hundred Dollars ($7,500) per annum for
correspondence course teaching during the fiscal
year and/or extension center work during the regular
nine (9) months session.
3. Other Activities
a. The activities listed below are considered as additional
responsibilities for which an employee may receive extra
compensation, the total of which may not exceed 20
percent of base salary during any appointment period.
b. The rate of additional compensation paid for activities
performed during other than appointment periods may not
exceed 100 percent of the salary rate paid during the _
preceding appointment period at the University.
c. The following activities are examples of acceptable
justifications:
1) Special projects assigned as overload by University
administrators;
2) Consulting or other special services conducted for a
University department or area other than the
employee's department;
3) Services beyond normal duties of the position held
which cannot be reimbursed by compensatory time;
4) Increases in teaching load assigned by the VPAA;
5) Duties performed by an employee not tinder contract
at the time the duties must be performed.
50
AGREEMENT BETWEEN OWNER AND CONTRACTOR
THE STATE OF TEXAS
KNOW ALL MEN BY THESE PRESENTS
COUNTY OF NACOGDOCHES
AGREEMENT
made of the Nineteenth day of April in the year of Nineteen Hundred and
Eighty Eight
BETWEEN THE OWNER: STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS 75962, acting here
through its Chairman
AND THE CONTRACTOR: PINEYWOODS INVESTMENT CO., INC.
P. 0. BOX 1068
808 N. UNIVERSITY DRIVE
NACOGDOCHES, TEXAS 75961
THE PROJECT: ALTERATIONS & ADDITIONS
UNIVERSITY SECURITY BUILDING
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
THE ARCHITECT: MARSELLOS AND SCOTT
ARCHITECTS-ENGINEERS
40 H PERRY BUILDING
LUFKIN, TEXAS 75901
The Owner and the Contractor agree as set forth below:
51
ARTICLE 1
THE CONTRACT DOCUMENTS
The Contract Documents consist of this Agreement, the Conditions of the
Contract (General! Supplementary and other Conditions), the Drawings,
the Specifications, all Addenda issued prior to and all Modifications
.issued after execution of this Agreement. These form the Contract, and
all are as fully a part of the Contract as if attached to this Agreement
or repeated herein. An enumeration of the Contract Documents appears
in Article 7.
ARTICLE 2
THE WORK
The Contractor shall perform all the Work required by the Contract Documents
for - ALTERATIONS & ADDITIONS
UNIVERSITY SECURITY BUILDING
• " STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
ARTICLE 3
TIME OF COMMENCEMENT AND SUBSTANTIAL COMPLETION
The Work to be performed under this Contract shall be commenced at the date
and subject to be established in the Notice to Proceed, authorized adjust
ments, Substantial Completion shall be achieved as follows:
150 Consecutive Calendar Days after date established
by Notice to Proceed.
Further all work in Room 102 Dispatch shall be completed
between the dates of May 22, 1988 and June 4, 1988.
52
The Contractor further agrees to pays as liquidated damages the sum of
$200.00 per day for each consecutive calendar day thereafter the work
remains unfinished as specified in "Supplementary Conditions" and in
"Proposal",
ARTICLE 4
CONTRACT SUM
The Owner shall pay the Contractor in current funds for the performance
of the Work, subject to additions and deductions by Change Order as
provided in the Contract Documents, the Contract sum of TWO HUNDRED,
TWENTY TWO THOUSAND, SEVEN HUNDRED EIGHTY THREE AND NO/100 DOLLARS
($222,783.00) out of current funds available to the Owner for expenditure
for the use and benefit of Stephen F. Austin State University.
The Contract Sum is determined as follows:
BASE BID $202,063.00
ALTERNATES
NO. 1 " + 2,500.00
NO. 2 + 2,800.00
NO. 3 + 2,570.00
NO. 4 + 900.00
NO. 5 + 450.00
NO. 6 + 1,300.00
NO. 7 " "+ 7,000.00
NO. 8 + 3,200.00
CONTRACT AMOUNT $222,783-00
53
AHTICLE 5
PROGRESS PAYMENTS
Based upon Applications for Payment submitted to the Architect by the
Contractor and Certificates for Payment issued by the Architect, the
Owner shall make progress payments on account of the Contract Sum to the
Contractor as provided in the Contract Documents for the period ending
the last day of the month as follows:
Not later than Thirty days following the end of the period covered by the
Application for Payment Ninety percent (90?) of the portion of the Contract
Sum properly allocable to labor, materials and equipment incorporated
in the Work and Ninety percent (90?) of the portion of the Contract Sum
properly allocable to materials and equipment suitably stored at the site
or at some other location agreed upon in writing, for the period covered
by the Application for Payment^"less the aggregate of previous payments
made by the Owner; and upon Substantial Completion of the entire work,
a sum sufficient to increase the total payments to Ninety (90$) of the
Contract Sum, less such amounts as the Architect shall determine for all
incomplete work and unsettled claims as provided in the Contract Documents,
ABTICLE 6
FINAL PAYMENT
Final payment, constituting the entire unpaid balance of the Contract
Sum, shall be paid by the Owner to the Contractor thirty days after the
Work has been completed, the contract fully performed, and a final
Certificate for Payment has been issued by the Architect,
54
ARTICLE 7
MISCELLANEOUS PROVISIONS
7*1 Terms used in this Agreement which are defined in the Conditions
of the Contract shall have the meanings designated in those conditions.
7«2 The Contract Documents, which consitute the entire agreement between
the Owner and the Contractor, are listed in Article 1 and, except for
Modifications issued after execution of this Agreement, are enumerated
as follows:
Drawings and Specifications entitled
"ALTERATIONS 4 ADDITIONS
UNIVERSITY SECURITY BUILDING
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS"
Sheet and Section numbers as listed in Paragraph 1.1 of
"Supplementary Conditions" and the following:
1. Addendum No. 1, dated March 25, 1988, Page 1
Addendum No, 2, dated April 11, 1988, Page 1
Addendum No, 3, dated April 11, 1988, Pages 1 thru 2
Addendum No. 4, dated April 14, 1988, Page 1
(Telephone)
2. This contract is to cover the General Contract work,
Plumbing, Mechanical and Electric Work, complete.
55
3. The said Drawings and each of all said Specifications and "General
Conditions* are made part of this Agreement for all intents and
purposes, provided that if anything in the said "General
Conditions" of the Contract is in conflict with this Agreement,
this Agreement shall control and govern.
4. The work called for and included in this Agreement is to be
subject to the observation of the Architect above named and his
determination of the true meaning and proper construction of the
Drawings and Specifications shall be considered as final.
5. The Contractor shall pay premium for and furnish Performance
Bond and Payment Bond in amount of 100J of Contract Price; on
form to be furnished by Architect, with sureties acceptable
to the Owner, conditioned:
1.) That Contract shall faithfully perform his Contract
and fully indemnify and save Owner harmless from all
- 2". roosts and damages which may be suffered by reason of
- failure to do so, and fully reimburse and repay Owner
all outlay and expense which Owner may incur in making
good any default.
2.) That Contractor shall pay all persons who have con
tracts directly with Contractor for labor and
materials save which persons shall have a direct
action against Contractor and the surety on his
bond, subject to Ownerfs priority.
Surety Companies shall be on approved list of U. S. Treasury
Department of "Companies holding Certificates of Authority
56
from the Secretary of the Treasury under the Act of Congress
Approved July 30, 1957, as Acceptable Sureties on Federal
Bonds" and within the Underwriting limitations listed
therein for any single risk.
Bond shall comply with requirements of all state laws; in
cluding those of Article 5160 Revised Civil Statues of
Texas, 1925, as amended by House Bill 344, Acts 56th
Legislature, Regular Session, 1959, effective Arpil 27, 1959
6. The Contractor shall effect, pay for and maintain during the
life of this Contract insurance acceptable to the Owner, con
forming to the following schedule:
a) Compensation and Employer's Liability Insurance:
As required by the laws of the State of Texas; Employer's
Liability Insurance, $500,000.00,
b) Comprehensive General Liability Insurance:
In an amount not less than $500,000.00 for injuries,
including personal injury or accidental death to any one
person, and in an amount not less than $500,000.00 on
account of one occurrence; Property Damage Insurance in
an amount not less than $300,000.00.
Comprehensive Auto Liability;
Bodily Injury Liability:
$500,000.00 - each person
$500,000.00 - each occurrence
Property Damage Liability:
$300,000.00 - each occurrence
57
c) Include Broad Form Property Damage Insurance. Remove
"XCU" Exclusions (Explosion, collapase, underground
property damage). Include damage to underground wiring,
conduits, piping.
d) Contractual Liability Insurance: The Contractor shall
obtain at his expense Owner's Protective Liability Insurance
Policy naming the Owner and the Architect/Engineer as
insured with the following limits:
1. Bodily Injury
$500,000.00 (each person)
$500,000.00 (each occurrence)
2. Property Damage
$300,000.00 (each occurrence)
e) Completed Operations: Continue coverage in force for
one year after completion of work.
f) -"Comprehensive Castastrophlc Liability Insurance (Umbrella
Liability) $1,000,000.00
g) Before commencement of operations hereunder, Contractor
shall furnish to the Architect, photostatic copies of the
above mentioned insurance policies, together with a
certificate from the insurance carrier that the insurance
will not be cancelled or permitted to lapse until fifteen
(15) days written notice of said impending cancellation
has been given to the Owner.
58
7* Builder's Risk Insurance: The Contractor shall provide
Builder's Risk Insurance (Fire, extended coverage, vandalism
and malicious mischief) as specified on Page 6 of "Supplementary
Conditions" on a 100? completed value basis.in the names of the
Contractor, Subcontractors, Owner and Architect, as their
interests appear.
Subrogation: This insurance shall not be invalidated should
the named insured waive in writing prior to a loss any right
of recovered against any party for loss occuring to the property
described.
8. The Contractor shall complete the several portions and the whole
of the work called for under this Agreement and shall deliver
said improvements and premises, upon completion, to the Owner,
free and clear of all liens and claims for labor furnished or
materials used and other indebtedness whatsover.
9. For purposes of complying with the State of Texas Sales Tax,
the following is a division between labor and materials.
Labor
Materials
Total $ 222,783.00
Contractor hereby assigns to Owner any and all claims for overcharges
associated with this contract which arise under the anitrust laws of the
United States, 15 U.S.C.A. Sec. 1 et seq. (1973).
59
IN WITNESS WHEREOF, the parties of these presents have executed this
Contract in four (1) counterparts, each of which shall be deemed an original
in the year and day first above mentioned.
SEAL BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
BY
PINEYWOODS INVESTMENT CO., INC.
P. 0. BOX 1068
808 N. UNIVERSITY DRIVE
NACOGDOCHES, TEXAS 75961
ADDRESS
SEAL
BY_
PRESIDENT
READ AND EXAMINED:
.Secretary.
Board of Regents, Stephen F. Austin State University
(1) Corporation name of Owner
(2) Title of authorized official
(3) Strike out inapplicable terms. Secretary of the Owner should
attest. If Contractor is corporation, Secretary should attest.
Give proper title of each person executing Contract.
10
60
PERFORMANCE BOND
(To be used in Texas as required by Chapter 93 of
the Regular Session of the 56th Legislature of Texas)
THE STATE OF Texas
COUNTY OF Nacogdoches
KNOW ALL MEN BY THESE PRESENTS: That we (1)
Pineywoods Investment Company, Inc» '
of (2) A Corporation hereinafter called
Principal and (3) United States Fidelity and Guaranty Company Of
City of Baltimore state of Maryland . m
hereinafter called the Surety, are held and firmly bound into
Board of Regents Stephen F. Austin State University
hereinafter called Owner, in the penal sum of Two hundred Twenty-two
thousand seven hundred eighty-three and no/100
DOLLARS Ci 222,783,00 j^ in lawful money of the united ■
States, to be paid in (j_)-Nacogdoches County, Texas %
for the payment of which sum well and truly to be made, we bind
ourselves, our heirs, executors, administrators and successors,
jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION is such that Whereas,
the Principal entered into a certain Contract with (6)
Board of Regents Stephen R. Austin State University.
the Owner, dated the . 19th dav of April .. A. D-.
1Q 88 f a copy of which is attached hereto and made a part hereof
for the construction of: Alterations & Additions to University
Security Building, Stephen F. Austin State University,
61
-2-
Nacogdoches, Texas
(Herein called the "Work").
NOW, THEREFORE, if trie Principal shall well, truly and faithfully,
perform the work in accordance with the Plan, Specifications and Contract
Documents during the original term thereof, and any extensions thereof which.
may be granted by the Owner, with or without notice to the Surety, and, if he
shall fully indemnify and save harmless of the Owner from all costs and
damages which it may suffer by reason of failure to do so, and shall reimburse
and repay the Owner all outlay and expense which the Owner may incur in making
good any default, then this obligation shall be void; otherwise to remain in
full force and effect.
NOW, THEREFORE, if the Principal shall repair any and all defects in
said work occasioned by and resulting from defects in materials furnished by,
or workmanship of the Principal in performing the work covered by said
Contract, occurring within the guarantee period from the date of the Contract
Completion Certificate, then this obligation shall be null and void,
otherwise to remain in full force and effect.
PROVIDED FURTHER, that if any legal action to be filled upon this bond
venue shall lie in Nacogdoches County, State of
Texas and that the said Surety, for value received hereby stipulates agrees
that no change, extension of time, alteration or addition to the terms of the
Contract or to the work to be performed thereunder or the Specifications
accompanying the same shall in any wise affect its obligation of this bond,
and it does hereby waive notice of any such change, extension of time,
alteration or addition to the terms of the Contract or to the work to the
Specifications. ..__ — .
PROVIDED, HOWEVER, that this bond be executed pursuant to the
provisions of Article 5160 of the Revised Civil Statutes of Texas as amended
by Acts of the 56th Legislature, 1959, and all liabilities on this bond shall
be determined in accordance with the provision of said Article to the same
extent as if it were copied at length.
62
-3-
IN WITNESS WHEREOF, this instrument is executed in six
counterparts, each one of which shall be deemed an original, this the
19th of.
ATTEST:
April ... A.D., 19_8&.
(Princippaal ) Secretta ry
PINEYWOODS INVESTMENT COMPANY. TNC
Principal ^
R'. Gerald Jones, . Resident
SEAL
Witness as to Principal
S/f/?nY
Address
ATTEST:
>/
(Surety) Secretary
Witness as to Surety
Address
NOTE:
. UNITED STATES FTHF1 TTY flun
S
COMPANY
Attorney-in-Fact * ••
Philip E. Mahar,, Attor.ney-in-Fact
Date of Bond must not be prior to date of Contract.
(1) Correct name of Contractor
(2) A Corporation. A Partnership or an Individual,
as case may be.
(3) Correct name of Surety
(4) Correct name of Owner
(5) County or Parish and State
(6) Owner
(7) If Contractor is Partnership, all partners should
execute bond.
63
CERTIFIED COPY
GENERAL POWER OF ATTORNEY
No 92732
Kno+e all Men by these Presents:
That UNITED STATES FIDELITY AND GUARANTY COMPANY, a corporation organized and existing under the laws of the
State of Maryland, and having its principal office at the City of Baltimore, in the State of Maryland, does hereby constitute and appoint
Philip E. Mahar
of the City of liacogdoches , State of Texas ,
its true and lawful attorney in and for the State of Texas
for the following purposes, to wit:
To sign its name as surety to, and to execute, seal and acknowledge any and all bonds, and to respectively do and perform any and
all acts and things set forth in the resolution of the Board of Directors of the said UNITED STATES FIDELITY AND GUARANTY
COMPANY, a certified copy of which is hereto annexed and made a part of this Power of Attorney; and the said UNITED STATES
FIDELITY AND GUARANTY COMPANY, through us, its Board of Directors, hereby ratifies and confirms all and whatsoever the said
Philip K. Mahar "
may lawfully do in the premises by virtue of these presents.
In Witness Whereof, the said UNITED STATES FIDELITY AND GUARANTY COMPANY has caused this instrument to be
sealed with its corporate seal, duly attested by the signatures of its Vice-President and Assistant Secretary, this 29th dav of
January • ♦A-D-19 82
UNITED STATES FIDELITY AND GUARANTY COMPANY.
(Signed) By fi?.?.:..A..;. Stewart-u, Jr _
Vice-President.
(SEAL)
(Signed)
Assistant Secretary.
STATE OF MARYLAND,
BALTIMORE CITY,
On this - 29th . dayof January . % A. D. ^2 , before me personally came
Geo. A. Stewart, Jr. . f Vice-president of the UNITED STATES FIDELITY AND GUARANTY
COMPANY and Ray H . -Br i 11 \ Assistant Secretary of said Company, with both of
whom I am personally acquainted, who being by me severally duly sworn, said that they, the said GeO. A. Stewart, Jr
and Ray Ii . Britt were respectively the Vice-President and the Assistant Secretary of the said UNITED
STATES FIDELITY AND GUARANTY COMPANY, the corporation described in and which executed the foregoing Power of Attorney;
that they each knew the seal of said corporation; that the seal affixed to said Power of Attorney was such corporate seal, that it was
so fixed by order of the Board of Directors of said corporation, and that they signed their names thereto by like order as Vice-President
and Assistant Secretary, respectively, of the Company. Q
My commission expires the first day in July, A. D. 19.?.?..
/qtpat \ • /rw Jx • .Margaret M. Hurst .
(SEAL) (Signed) .;
Notary Public.
STATE OF MARYLAND )
BALTIMORE CITY, I Sct ' : * - . :
I, Charles W . Mackey , Jr . , . ^ Clerk of the Superior Court of Baltimore City, which Court is a
Court of Record, and has a seal, do hereby certify that Margaret. M. Kurst ... ' , .... , .. . , Esquire, before
whom the annexed affidavits were made, and who has thereto subscribed his name, was at the time of so doing a Notary Public of the
State of Maryland, in and for the City of Baltimore, duly commissioned and sworn and authorized by law to administer oaths and take
acknowledgment, or proof of deeds to be recorded therein. I further certify that I am acquainted with the handwriting of the said
Notary, and verily believe the signature to be his genuine signature. •
In Testimony Whereof, I hereto set my hand and affix the seal of the Superior Court of Baltimore City, the same being a Court
of Record, this ^yth dayof January A. D. 19 82
(SEAL) (Signed) ...... F.}]"}.eJ.. /^\. ""*?.?.!.. J.r..#
Clerk of tKe Superior Court of Baltimore City.
FS 3 (6-77) ^-^
64
COPY OF RESOLUTION
Thai Whereas, it is necessary for the effectual transaction of business that this Company appoint agents and attorneys with power
and authority to act (or it and in its name in States other than Maryland, and in the Territories of the United States and in the Provinces
of the Dominion of Canada and in the Colony of Newfoundland.
Therefore, be it Resolved^ that this Company do, and it hereby does, authorize and empower its President or either of its Vice-
Presidents in conjunction with its Secretary or one of its Assistant Secretaries, under its corporate se*l, to appoint any person or persons
as attorney or attorneysin-fact. or agent or agents of said Company, in its name and as its act, to execute and deliver any and all con
tracts guaranteeing the fidelity of persons holding positions of public or private trust, guaranteeing the performances of contracts other
than insurance policies and executing or guaranteeing bonds and undertakings, required or permitted in all actions or proceedings, or
by law allowed, and
Also* in its name and as its attorney or attorneys-in-fact, or agent or agents to execute and guarantee the conditions of any and all
bonds, recognisances, obligations, stipulations, undertakings or anything in the nature of either of the same, "which are or may by law,
municipal or otherwise, or by any Statute of the United States or of any State or Territory of the United States or of the Provinces of the
Dominion of Canada or of the Colony of Newfoundland, or by the rules, regulations, orders, customs, practice or discretion of any board,
body, organization, office or officer, local, municipal or otherwise, be allowed, required or permitted to be executed, made, taken, given,
tendered, accepted, filed or recorded for the security or protection of, by or for any person or persons, corporation, body, office, interest,
municipality or other association or organization whatsoever, in any and all capacities whatsover, conditioned for the doing or not doing
of anything or any conditions which may be provided for in any such bond, recognizance, obligation, stipulation, or undertaking, or
anything in the nature of either of the same.
/, Theodore C. Parks ,an Assistant Secretary of the UNITED STATES FIDELITY AND
GUARANTY COMPANY, do hereby certify that the foregoing is a full, true and correct copy of the original power of attorney given
by said Company to Philip E. Mahar "' ' . ' *"
of KacOgdocheS, Texas , authorizing and empowering him to sign bonds as therein set
forth, which power of attorney has never been revoked and is still in full force and effect.
And I do further certify that said Power of Attorney was given in pursuance of a resolution adopted at a regular meeting of the
Board of Directors of said Company, duly called and held at the office of the Company in the City of Baltimore, on the 11th day of
July, 1910, at which meeting a quorum of the Board of Directors was present, and that the foregoing is a true and correct copy of said
resolution, and the whole thereof as recorded in the minutes of said meeting.
In Testimony Whereof, I have
hereunto set my hand and the seal of the UNITED STATES FIDELITY AND GUARANTY
19 1988
COMPANY on April 19, 1988.
Assistant Secretary,
65
PAYMENT EOND
(To be used in Texas as required by Chapter 93 of
the Regular Session of the 56th Legislature of Texas)
THE STATE OF Texas
COUNTY OF Nacogdoches .
KNOW ALL MEN BY THESE PRESENTS: That we
(1) PinevwoodS. Investment. Company, Tnr _
a (2) Corporation
of Nacogdoches, Texas hereinafter called Principal and
United States Fidelity .
and Guaranty Company of City of Baltimore . .
State of Maryland hereinafter called the Surety, are
held and firmly bound unto (ip Board of Regents Stephen F. Austin
State University
hereinafter called Owner, unto all persons, firms, and corporations
who may furnish materials for, or perform labor upon the building
or improvements hereinafter referred to in the penal sum of
Two hundred twenty-two thousand seven hundred eighty-three and
. no/100 DOLLARS(t 222.783.00 )
in lawful money of the United States, to be paid in (5) .
Nacogdoches Cnty, Texas . fOr the payment of which sum well and
truly to be made, we bind ourselves, our heirs, executors* adminis
trators and successors, jointly and severally, firmly by these
presents. •
THE CONDITION OF THIS OBLIGATION is such that whereas,
the Principal entered into a certain contract with (6)
Board of Regents St.pphpn F. AnQt-jp ^*atq University —
__ • the Owner,
66
-2-
dated the 19th day of April , *A.D.f
a copy of which is hereto attached and made a part hereof for the
construction of: Alterations & Additions to University Security
Building, Stephen F. Austij^ State University, Nacogdoches, Texas
NOW THEREFORE, the condition of this obligation is
such that, if the Principal shall promptly make payment to all
claicants as defined in Article 5160 Revised Civil Statutes of
Texas, 1925• as amended by House Bill 3-M, Acts 56th Legislature.
Regular Session, 1S59. effective April 21, 1959, supplying labor
and materials in the prosecution of the work provided for in said
Contract, then this obligation shall be null and void; otherwise,
it shall remain in full force and effect.
This bond is made and entered into solely for the pro
tection of all claimants supplying labor and materials in the prose
cution of the work provided for in said Contract, and all such
claimants shall have a direct right of action under the bond as
provided in Article 5160, Revised Civil Statutes, 1925. as amended
,'by House Bill 3Hi|# Acts 56th Legislature. Regular Session. 1959.
PROVIDED FURTHER, that if any legal action be filed
upon this bond, venue shall lie in Nacogdoches County.
State of Texas and that the said Surety, for value received hereby
stipulates and agrees that no change, extension of time, alteration
or addition to the terms of the Contract or to the work to be per
formed thereunder or the Specifications accompanying the same shall
in any wise affect its obligation on this bond, and it does hereby
waive notice of any change, extension of time, alteration or addition
to the terms of the Contract or to the work or to the Specifications.
PROVIDED FURTHER, that no final settlement between the
Owner and the Contractor shall abridge the right of any bene
ficiary hereunder, whose claim may be unsatisfied.
67
-3-
IN WITNESS WHEREOF, this instrument is executed in six
counterparts, each one of uhich shall be deemed an original, this the
19th _day of_ April
ATTEST:
(Princip
#*&■
Secretary
PINEYWOODS INVESTMENT COMPANY. TNC.
Principal
. R. Gerald Jones, ^President
SEAL
Witness as to Principal
Address
ATTEST:
(Surety) Secretary
/ 7/ III
Witness as to Surety
Address
NOTE:
. UNITED STATE^.FIDELIJ^AND^£UAfiANTY COMPANY
Attorney-in-Fact * •
Philip E. Mahar, Attor,ney-in-Fact
Date of Bond must not be prior to date of Contract*
(1) Correct name of Contractor
(2) A Corporation, A Partnership or an Individual,
as case may be.
(3) Correct name of Surety
(4) Correct name of Owner
(5) County or Parish and State
(6) Owner
(7) If Contractor is Partnership, all partners should
execute bond.
68
CERTIFIED COPY
GENERAL POWER OF ATTORNEY
No ? 2.7.3.?.
Kru>%c all Men by these Present*:
That UNITED STATES FIDELITY AND GUARANTY COMPANY, a corporation organized and existing under the laws of the
State of Maryland, and having its principal office at the City of Baltimore, in the State of Maryland, does hereby constitute and appoint
Philip E. Mahar
ofthcCityof Uacogdoche s , State of Texas ,
its true and lawful attorney in and for the State of Texas
for the following purposes, to wit:
To sign its name as surety to, and to execute, seal and acknowledge any and all bonds, and to respectively do and perform any and
all acts and things set forth in the resolution of the Board of Directors of the said UNITED STATES FIDELITY AND GUARANTY
COMPANY, a certified copy of which is hereto annexed and made a part of this Power of Attorney; and the said UNITED STATES
FIDELITY AND GUARANTY COMPANY, through us, its Board of Directors, hereby ratifies and confirms all and whatsoever the said
Philip t. Mahar
may lawfully do in the premises by virtue of these presents.
• In Witness Whereof, the said UNITED STATES FIDELITY AND GUARANTY COMPANY has caused this instrument to be
sealed with its corporate seal, duly attested by the signatures of its Vice-President and Assistant Secretary, this 2 9 "t h day °f
January 'A-D-1982
• UNITED STATES FIDELITY AND GUARANTY COMPANY.
(Signed) By 9*.9.\..k:..$$$Y*}:$A..?*.*....;
Vice-President.
. (Signed)
Assistant Secretary.
STATE OF MARYLAND, )
BALTIMORE CITY, I
On this 29th • day of _ January , A. D. 1$ 2 , before me personally came
Geo ♦ A . Stewart , Jr . . , Vice-President of the UNITED STATES FIDELITY AND GUARANTY
COMPANY and R ay H . Br i 11 , Assistant Secretary of said Comgany, with both of
whom I am personally acquainted, who being by me severally duly sworn, said that they, the said Geo. A. Stevart, Jr.
and Ray L. Britt were respectively the Vice-President and the Assistant Secretary of the said UNITED
STATES FIDELITY AND GUARANTY COMPANY, the corporation described in and which executed the foregoing Power of Attorney;
that they each knew the seal of said corporation; that the seal affixed to said Power of Attorney was such corporate seal, that it was
so fixed by order of the Board of Directors of said corporation, and that they signed their names thereto by like order as Vice-president
and Assistant Secretary, respectively, of the Company. - ' '
My enmmisflion expires the first day in July, A. D. 19.9.... . .
(seal) • (signed) ....:.
. Notary Public.
STATE OF MARYLAND )
BALTIMORE CITY, I S°t . .
I, Charles W. Mackey, Jr.. , , clerk of the Superior Court of Baltimore City, which Court is a
Court of Record, and has a seal, do hereby certify that Margaret, M . Kurst .... _ . , .,.'. ; .Esquire, before
whom the annexed affidavits were made, and who has thereto subscribed his name, was at the time of so doing a Notary Public of the
State of Maryland, in and for the City of Baltimore, duly commissioned and sworn and authorized by law to administer oaths and take
acknowledgment, or proof of deeds to be recorded therein. I further certify that I am acquainted with the handwriting of the said
Notary, and verily believe the signature to be his genuine signature. '
In Testimony Whereof, I hereto set my hand and affix the seal of the Superior Court of Baltimore Gtv, the same being a Court
of Record, this 2ytn day of January tA. D. 19"2
(SEAL) (Signed) \.-..;... .9?^*r.^.?.^. .^T../?-^P.^.*.^.».. ^T. T
Clerk of the Superior Court of Baltimore City.
FS 3 (6-77) ,»**,.
69
COPY OF RESOLUTION
That Whereas, it is necessary for the effectual transaction of business that this Company appoint agents and attorney* with power
and authority to act for it and in its name in States other than Maryland, and in the Territories of the United States and in the Provinces
of the Dominion of Canada and in the Colony of Newfoundland.
Therefore, be it Resolved, that this Company do, and it hereby does, authorize and empower its President or either of its Vice-
Presidents in conjunction with its Secretary or one of its Assistant Secretaries, under its corporate seal, to appoint any person or persons
as attorney or attorneysin-fact. or agent or agents of said Company, in its name and as its act, to execute and deliver any and all con
tracts guaranteeing the fidelity of persons holding positions of public or private trust, guaranteeing the performances of contracts other
than insurance policies and executing or guaranteeing bonds and undertakings, required or permitted in all actions or proceedings, or
by law allowed, and
Alto, in its name and as its attorney or attorneys-in*fact, or agent or agents to execute and guarantee the conditions of any and all
bonds, recognizances, obligations, stipulations, undertakings or anything in the nature of either of the same, 'which are or may by law,
municipal or otherwise, or by any Statute of the United States or of any State or Territory of the United States or of the Provinces of the
Dominion of Canada or of the Colony of Newfoundland, or by the rules, regulations, orders, customs, practice or discretion of any board,
body, organization, office or officer, local, municipal or otherwise, be allowed, required or permitted to be executed, made, taken, given,
tendered, accepted, filed or recorded for the security or protection of, by or for any person or persons, corporation, body, office, interest,
municipality or other association or organization whatsoever, in any and all capacities whatsoever, conditioned for the doing or not doing
of anything or any conditions which may be provided for in any such bond, recognizance, obligation, stipulation, or undertaking, or
anything in the nature of either of the same.
/, Theodore G. Parks , an Assistant Secretary of the UNITED STATES FIDELITY AND
GUARANTY COMPANY, do hereby certify that the foregoing is a full, true and correct copy of the original power of attorney given
by said Company to Philip E . . Mahar '
of Kacogdoches, Texas , authorizing and empowering him to sign bonds as therein set
forth, which power of attorney has never been revoked and is still in full force and effect.
And I do further certify that said Power of Attorney was given in pursuance of a resolution adopted at a regular meeting of the
Board of Directors of said Company, duly called and held at the office of the Company in the City of Baltimore, on the 11th day of
July, 1910, at which meeting a quonim of the Board of Directors was present, and that the foregoing is a true and correct copy of said
resolution, and the whole thereof as recorded in the minutes of said meeting.
In Testimony Whereof, I have hereunto set my hand and the seal of the UNITED STATES FIDELITY AND GUARANTY
company on Apr.il 19, 1988.
(Date)
Assistant Secretary.
CERTIFICATE OF INSURANCE
Joe* hay Gr&ftn Infturonce i
The hnderson Conipany
k.. 0* Boh 631202
iv'o.c: ocid or; h c* % , T ewa ft 73963
"MIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY ANC COn^R^
NO R.GHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NO- amen:
EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW
COMPANIES AFFORDING COVERAGE
***»
&£
OM PAN'N A
ETTER A
USFJG
Pi nev woods Investment Co*. Inc.
Gerold Jones
P> 0. Box 1068
Nacogdoches TX 75963
COVERAGES
THIS IS TO CERTIFY
NOTWITHSTANDING
BE ISSUED OR MAY . „,..„
TIONS OF SUCH POLICIES
COMPANY o
L£TTER B USFJG
COMPANY
LETTER USFJG
COMPANY n
LETTER D
USFJG
COMPANY
LETTER USF&G
-co
LTR TYPE OF INSURANCE
GENERAL LIABILITY
I
I
COMMERCIAL GENERAL LIABILITY
~1 CLAIMS MADE RT] OCCURREN
OWNERS & CONTRACTORS PROTECTIVE
i■Tc"" cvr
2L" UHBRELLA FORM
X
OMOBILE LIABILITY
ANY AUTO
ALL OWNED AUTOS
SCHEDULED AUTOS
HIRED AUTOS
NON-OWNED AUTOS
GARAGE LIABILITY
EXCESS LIABILITY
WORKERS' COMPENSATION
AND
EMPLOYERS' LIABILITY '
OTHER
ALL RISK BUILDERS
RISK
POLICY NUMBER
1TC105787066
1TB109241154
UL0080311869
"1855365^80
POUCY EFFECTIVE
OATE (MM/OO/YY)
3/18/88
3/1B/88
3/18/88
3/18/8*
3/18/88
POLICY EXPIRATION
DATE (MM/OO/YY)
3/18/89
3/18/89
3/18789
3/18/89
3/19/S9
GENERAL AGGREGATE
ALL LIMITS IN THOUSANDS
$ 15001
PROOUCTS-COMP/OPS AGGREGATE
PERSONAL & A0V6RTISING INJURY
EACH OCCURRENCE
iRE OAMAGE (ANY ONE FIRE)
IEOICAL EXPENSE (ANY ONE PERSON)
CSL
BODILY
INJURY
(PER PERSON
BOOILY
INJURY
(PER
ACCIDENT)
PROPERTY
OAMAGE
$ 750
750
"5"
500
500
250
EACH
OCCURRENCE
1000
STATUTORY
AGGREGATE
$ 1000
$ 500 (EACH ACCIOENT)
500 (OISEASE-POUCY LIMIT)
$ IQISEASE-EACH EMPLOYEE) I
♦3,000,000 LIMIT
AT ANY ONE JOB SITE
DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES/RESTRICTIONS/SPECIAL ITEMS
rs£* Alterations J additions to Univ Sec Bldg*
Owner* * Contractor'* Protective Liab~#B446Sl $500,000 Occ Limit
thowlng Certificate Holder J Mar*ello* J Scott Architect* a"
ERTIFICATE HOLDER
Board of Regent*
Stephen F, Austin State Univ
P»0, Boh 6083, SFA Station
Nacogdochesf TX 7S962
OHO 25-S (11/85)
CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EX-PIRATION
DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO
MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE
LEFT, BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR
LIABILITY OF AN3LKIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES
AUTHORIZEfrnEPREiENTATIVE " " ^~
© IIR/ACORD CORPORATION 1985$$
71
STEPHEN F. AUSTIN STATE UNIVERSITY
ARCHITECT-ENGINEER/OWNER AGREEMENT
THIS AGREEMENT, made the 19th day of April, 1988, by and between the
State of Texas, acting through the Board of Regents, Stephen F. Austin
State University, hereinafter called the Owner, and Purtle and
Associates, hereinafter called Architect/Engineer (A-E).
WITNESSETH, that whereas the Owner will require consultative engineering
(A-E) services and preparation of plans and bid documents for selected
projects as designated by the owner.
I •- 72.
i[: NOW THEREFORE, the Owner and A-E, for considerations as set forth, agree as
■1. follows:
■I"'" ARTICLE 1.
<\-.- The A-E agrees to perform, for the above named Work, basic professional
*T services as hereinafter set forth.
ARTICLE 2.
I • 2.1 The Owner agrees to pay the A-E, as compensation for his basic services,
• hourly** percent of the construction cost of the Project. The basic service
fee shall not exceed the maximum as provided by the General Appropriation Act.
j .. ** SEE 4.2 . .
i. . . ■
2.2 The A-E basic services are those normal and usual services necessary or
j
| convenient to the design and construction phases of a Project, for which
V percentage fees can be predetermined. These services are further defined but
not limited by Article 3. ~~ * -- .
2.3 Definition of "construction cost" is included in Article 8. The times
and further conditions of payment shall be as described in Article 7.
! 73
1 ARTICLE 3. SERVICES OF THE A-E
(—'
3.1 PRELIMINARY PLAN DEVELOPMENT PHASE
3.1.1 The A-E shall confer with the Owner to ascertain the requirements and
limitations of the Project and inspect the Project site or sites.
3.1.2 The A-E shall review the scope and assist the Owner in the Owner's work
j of providing the necessary topographic or boundary surveys, aerial surveys,
, as-builts, soil surveys, etc.
3.1.3 The A-E shall prepare the Preliminary Plan Documents consisting of
plans, elevations and other drawings, and outline specifications, to fix and
•! illustrate the size and character of the entire Project in its essentials as
to kinds of materials, type of structure, mechanical and electrical systems
and such other Work as may be required.
3.1.4 The Preliminary Plan Documents must contain a statement of the probable
: Project cost which includes estimated basic construction cost, contingency in
construction Contract, Owner's services, estimated total construction cost,
architect's fee, equipment cost, and the total Project cost. A separate
estimated cost of each alternative should also be provided. If such estimated
cost exceeds the fixed limit of construction cost stated above, the A-E shall
consult with the Owner's representative so that revisions can be made to
j reduce the cost as required. Alternate bids may be used as required to obtain
l~ flexibility in the range of quotations offered.
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P" 3.1.5 The A-E shall employ only those consulting firms for structural,
mechanical or other portions of the Work which have been approved by the
{ Owner. Those engineering or architectural firms employed by the A-E shall
comply with the terms of the Texas Engineering Practice Act, Article 3271A,
Vernon's Annotated Texas Statutes and the Texas Architect Practice Act,
! Article 249A, Vernon's Annotated Texas Statutes, and shall be employed on a
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total service agreement.
,. 3.1.6 In^ the event the Project consists of a new building or buildings, the
A-E shall prepare a perspective drawing or model (at the option of the A-E),
unless specified by the Owner, of the Project showing sufficient detail to
illustrate the general character and scale of the Project.
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3.1.7 The Preliminary Plan Documents must be approved at a meeting of the
Board of Regents. For review purposes, the A-E shall provide thirty (30)
draft copies of the Preliminary Plan Documents to the University
Administration at least four weeks prior to the meeting of the Board of
: Regents. At the option of the Owner, the A-E may be required to attend the
( Regent's meeting to discuss the proposed Preliminary. Plan Documents.
! 3.2 DETAIL PLANS AND CONSTRUCTION DOCUMENTS PHASE
3.2.1 The A-E shall prepare, from the approved Preliminary Plan Documents,
■ working Drawings and Specifications setting forth in detail the requirements
for the construction of the entire Project including the necessary bidding
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' information, and shall assist in the preparation of bidding forms, the
j"~ conditions of the Contract, and the form of agreement between the Owner and
the Contractor.
3.2.2 The A-E shall advise the Owner of any adjustments to previous
Statements of Probable Construction Cost indicated by changes in requirements
or general market conditions*
3.2.3 The A-E shall assist the Owner in filing the required documents for the
approval of governmental authorities having jurisdiction over the Project.
3.2.4 Before they are finalized, the A-E will assure that the University
administration and the Board have at least three weeks to review and approve
the Plans, Specifications, Notices to Bidders, and Proposal forms required for
bidding and construction.
3.2.5 The A-E shall furnish to the Owner, Contractor, Subcontractor and
Suppliers all necessary copies of the approved Plans, Specifications, Notices
to Bidders and Proposal forms required for bidding and construction. (The
Owner will require five complete copies of the Plans and Specifications for
review and permanent files and five copies of the Specifications complete with
executed Bid Proposal, Contract and bonds.) If the Plan and Specification
requirements exceed fifty (50) sets, all additional requirements will be
considered additional services.
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: 3.3 BIDDING OR NEGOTIATION PHASE
3.3.1 The A-E, following the Owner's approval of the Construction Documents,
and of the latest Statement of Probable Construction Cost, shall assist the
r Owner in obtaining bids or negotiated proposals, and in awarding construction
Contracts. The A-E shall recommend in writing to the Owner the award of a
■ construction contract to a particular contractor or the rejection of all of
the bids.
3.4 CONSTRUCTION PHASE
3.4.1 The A-E shall at all times have access to the Work wherever it is in
preparation or progress.
3.4.2 The A-E shall make such periodic visits to the site as are necessary to
familiarize himself generally with the progress and quality of the Work and to
determine if the Work is proceeding in accordance with the Contract Documents.
On the basis of his on-site observations as an A-E, he shall notify the Owner
, : or take such other steps to guard the Owner against defects and deficiencies
in the Work of the Contractor. The A-E shall conduct periodic visits, at key
times during construction; the Owner may request an inspection at any time,
the total number of such inspections averaging not more than one inspection
per week during the construction phase. The A-E shall not be responsible for
,_ construction means, methods, techniques, sequences or procedure, or for safety
precautions and programs in connection with the Work, and the A-E shall not be
responsible for the Contractor's failure to carry out his responsibilities to
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the Owner, but shall be responsible for determining that the Work is in
I accordance to the Plans and Specifications.
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1 3.4.3 Based on observations of construction progress at the site and on a
r review of the Contractor's Payment Request, the A-E shall make recommendations
relative to Progress Payments and shall submit monthly reports to the Owner
": covering the general progress of the Work.
3.4.4 The A-E shall review, approve, and comment, where necessary, on Shop
Drawings, samples and other submissions of the Contractor relative to items
conforming to general Project concept.
3.4.5 The A-E shall review Change Orders and make recommendations to the
I Owner.
3.4.6 The A-E shall conduct inspections to determine the dates of substantial
completion and final completion. A-E shall also conduct inspections upon
request during the period of one year from the date of final completion for
the purpose of advising Owner with regard to the Contractor's warranties of
materials and workmanship.
3.4.7 Upon receipt of notification by the Contractor that the Work has been
completed, the A-E shall conduct an inspection, to be performed by the
appropriate members of his staff and his professional affiliates to determine,
j to the best of the A-E's knowledge, information, and belief, that the Work is
completed in accordance with the Construction Documents. As a result of this
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inspection, the A-E shall prepare a list of items needing correction. After
j the Contractor has performed the required corrections, the A-E shall notify
the Owner in writing. The A-E and his professional affiliates shall accompany
, the Owner's representative on the Final Inspection to review the total Work as
r to its completion.
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j 3.4.8 Upon completion of the construction, the A-E shall make reasonable
changes in the original tracings to serve as Record Drawings for the Work, and
shall forward a set of reproducible drawings (not sepias) including one set of
, marked Specifications to the Owner to serve as Record Drawings.
ARTICLE 4. ADDITIONAL SERVICES
; 4.1 Services are sometimes required of the A-E which are not included as part
of the Basic Services described in Article 3. If additional services are
required, they shall be provided by the Owner, contracted separately, or
authorized in writing to be performed by the A-E and paid for separately by'
the Owner as hereinafter provided. Added services could include Work normally
provided by the Owner (ARTICLE 5) but assigned to the A-E, and services such
; as the following:
4.1.1 Providing financial feasibility, appraisals, rate studies, or. other
special economic studies.
4.1.2 Providing master planning surveys.
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4.1.3 Making measured drawings of existing construction when required for
planning additions or alterations thereto.
4.1.4 Providing interior design and other - services required for or in
connection with the selection of furniture and furnishings, unless mutually*
agreed to be an item included in the construction Contract.
4.1.5 Providing services as an expert witness at the request of the Owner in
connection with any public hearing arbitration proceeding, or the proceeding
of a court.
4.1.6 Providing design services relative to future facilities which are not
intended to be part of the Project.
4.2 Any additional service cost shall be agreed to and authorized in writing
by the Owner before the Work is performed. The A-E will be compensated for
authorized additio