Minutes of the Board of Regents of Stephen F. Austin State University. 1998, Volume No. 157

              Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
July 14,1998
Volume 157
TABLE OF CONTENTS
Page
97-166 Approval of April 21, 1998 Minutes 1
97-167 Faculty and Staff Appointments for 1998-99 1
97-168 Changes in Status 4
97-169 Retirements 5
97-170 Voluntary Modification of Employment 5
97-171 Holiday Schedule for 1998-99 6
97-172 Underenrolled Class Report 6
97-173 Last Class Day Report 7
97-174 Incidental Fees (Graduate Application Fee) 7
97-175 Proposal to Change Name of Counseling and Special Educational
Programs Department to Human Services Department 7
97-176 New Mission Statement 7
97-177 Network Upgrade and Expansion 7
97-178 Replacement of Central Academic Computer 7
97-179 University Mini-Bus 7
97-180 Perkins Loan Servicing Contract 8
97-181 Credit Card Merchant Services 8
97-182 University Insurance Coverage 8
97-183 Approval of the 1998-99 HEAF Allocation 8
97-184 Resolution Authorizing the Sale of Board of Regents of Stephen F.
Austin State University Revenue Financing System, Texas Public
Finance Authority Revenue Bonds, Series 1998, in an Aggregate
Principal amount not to Exceed $6 Million; Authorizing Actions by the
Texas Public Finance Authority* Stephen F. Austin State University and
Representatives Thereof in Connection with the Sale and Delivery of Said
Bonds; and Resolving Other Matters Related Thereto 8
97-185 Renovation of Miller Science Building 9
97-186 Renovation of Central Stores ....9
97-187 Naming of the SFA Arboretum 9
97-188 Naming of the Music Concert Hall 9
97-189 Naming of the SFA Wellness Center "i
97-190 Revision of Rules and Regulations of the Board of Regents 9
97-191 Updated Policies 9
Reports
A. Chair, Faculty Senate
B. President, Student Government Association
C. President
Appendix No. 1 - Graduate Student Application Fee: Change Form 10
Appendix No. 2 - Statewide Vision, Mission, and Philosophy 12
Appendix No. 3 - HEAP Allocation 14
Appendix No. 4 - Budget Changes Less Than 50,000 16
Appendix No. 5- Board of Regents Rules and Regulations..... ...17
Appendix No. 6 - Policies for Board Review 26
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
JULY 14, 1998
The meeting was called to order at 9:10 a.m. by Chair Murray Shaw. Board members
present in Room 307: Ron Adkison, R. A. Brookshire, Penny Butler, Pattye Greer,
Lynn Montes, and Susan Roberds. Absent:. Mike Enoch, Jimmy Murphy
Others present in Board Room 307: Dan Angel, Janelle Ashley, Baker Pattillo, Roland
Smith, and others.
97-166
Upon motion of Regent Brookshire, seconded by Regent Adkison, with all members
voting aye, it was ordered that the minutes of the April 21, 1998 meeting be approved.
97-167
Upon motion of Regent Greer, seconded by Regent Montes, with all members voting
aye, it was ordered that the following appointments be approved.
1. Chemistry
Dr. Paul B. Steinbach, Assistant Professor, (Ph.D., University of Missouri-
Columbia), at a salary of $34,000 for 100% time for nine months, effective
September 1, 1998.
2. Economics and Finance
Dr. Sarah L. Rummery, Visiting Assistant Professor, (Ph.D., Australian
National University), at a salary of $41,000 for 100% time for nine months,
effective September 1, 1998.
3. Elementary Education
Dr. William A. Jasper, Assistant Professor, (Ph.D., Texas A&M University), at
a salary of $37,000 for 100% time for nine months, effective September 1, 1998.
4. Forestry
Dr. Daniel R. Unger, Assistant Professor, (Ph.D., University of Idaho), at a
salary of $42,000 for 100% time for nine months, effect September 1, 1998.
Dr. Abu Azhid Badruddin, Visiting Assistant Professor, (Ph.D., State University
of New York), at a salary of $38,000 for 100% time for nine months, effective
September 1, 1998.
Dr. Edward F. Dougal, Assistant Professor, (Ph.D., Oregon State University), at
a salary of $36,000 for 100% time for nine months, effective September 1, 1998.
5. General Business
Dr. Stephen D. Campbell, Assistant Professor, (J.D., University of Houston Law
School), at a salary of $37,000 for 100% time for nine months, effective
September 1, 1998.
Dr. William J. Wardrope, Assistant Professor, (Ph.D., University of Nebraska),
at a salary of $42,000 for 100% time for nine months, effective September 1,
1998.
6. History
Ms. Patrice Olsen, Assistant Professor, (M.A., Pennsylvania State University),
at a salary of $33,000 for 100% time for nine months, effective September 1,
1998, contingent upon completion of doctorate by August 24, 1998.
Mr. Josh Sanborn, Assistant Professor, (M.A., University of Chicago), at a
salary of $33,000 for 100% time for nine months, effective September 1, 1998,
contingent upon completion of doctorate by September 1, 1998.
7. Management, Marketing and International Business
Dr. Nancy E. Spears, Assistant Professor, (Ph.D., Oklahoma State University),
at a salary of $50,000 for 100% time for nine months, effective September 1,
1998.
8. Mathematics and Statistics
Mr. Roy J. Harris, Assistant Professor, (B.S., Stephen F. Austin State
University), at a salary of $35,000 for 100% time for nine months, effective
September 1, 1998, contingent upon completion of doctorate by August 31,
1998.
9. Mathematics and Statistics
Dr. Colin L. Starr, Assistant Professor, (Ph.D., University of Kentucky), at a
salary of $35,000 for 100% time for nine months, effective September 1, 1998.
10. Modern Languages
Dr. Rosemary LoDato, Assistant Professor, (Ph.D., University of Texas at
Austin), at a salary of $33,000 for 100% time for nine months, effective
September 1, 1998.
Dr. Russell M. Cluff, Professor and Chair, (Ph.D., University of Illinois at
Chicago), at a salary of $66,500 for 100% time for eleven months, effective
September 1, 1998.
Mr. Carlos Cuadra, Assistant Professor, (M.A., Florida State University), at a
salary of $33,000 for 100% time for nine months, effective September 1, 1998,
contingent upon completion of doctorate by September 1, 1998.
Mr. Perry Moon, Instructor (M.A., Indiana University), at a salary of $30,000 for
100% time for nine months, effective September 1, 1998.
11. Music
Dr. Scott H. Harris, Instructor, (M.M., East Carolina University), at a salary of
$26,000 for 100% time for nine months, effective September 1, 1998.
12. Political Science and Geography
Dr. Charles Abel, Assistant Professor, (Ph.D., University of Maryland), at a
salary of $33,000 for 100% time for nine months, effective September 1, 1998.
13. Sociology .
Mr. Jerry L. Williams, Assistant Professor, (M.A., Kansas State), at a salary of
$33,000 for 100% time for nine months, effective September 1, 1998, contingent
upon completion of doctorate by August 24, 1998.
14. Theatre
Dr. Elizabeth Hostetter, Assistant Professor, (Ph.D., University of Missouri), at
a salary of $30,000 for 100% time for nine months, effective September 1, 1998.
15. University Affairs
Mr. Craig McCabe, Coordinator of Computer Based Testing, at a salary of
$15,000 for twelve months, effective June 1, 1998.
Faculty members with on-campus assignments are routinely assigned, as needed, to
teach field-based, off-campus courses. Faculty are compensated for teaching courses
away from the campus through a formula approved by the Board of Regents which
includes a payment for the travel time necessary for delivering the course, as well as a
stipend for teaching the course. Occasionally, individuals teaching part-time on
campus will receive a proportional part of their regular salary plus the extra
compensation for delivering off-campus courses. The following faculty are teaching
for the spring semester, 1998, at the location, and for the salary indicated.
Recommendation:
It is recommended by the administration that the following appointments be approved:
1. Education
97-168
Upon motion of Regent Greer, seconded by Regent Roberds, with all members voting
aye, it was ordered that the following changes of status be approved.
1. English
Dr. Terry Box, from Professor at a salary of $49,279 for 100% time for nine
months, to Professor and Interim Chair at a salary of $66,697 for 100% time for
eleven months.
2. Fine Arts
Dr. Richard A. Berry, from Professor of Music at a salary of $46,404 for 100%
time for nine months, to Professor and Interim Dean of Fine Arts at a salary of
$62,333 for 100% time for eleven months.
3. Geology
Dr. William Roberts, Professor and Interim Chair at a salary of $66,650 for
100% time for eleven months to Professor and Chair at a salary of $68,846 for
100% time for eleven months.
4. Modern Languages
Dr. Ann Doyle-Anderson, Associate Professor and Chair at a salary of $57,585
for 100% time for eleven months, to Associate Professor at a salary of $48,528
for 100% time for nine months, effective September 1, 1998.
5. Secondary Education and Educational Leadership
Dr. Patrick Jenlink, Professor and Interim Chair at a salary of $81,000 for 100%
time for twelve months to Professor and Chair at a salary of $84,240 for 100%
time for twelve months.
6. University Affairs
Ms. Gail Striegler, from Women's Assistant Basketball Coach and Instructor at
a salary of $42,942 for 10.5 months to Women's Assistant Basketball Coach
and Instructor, at a salary of $46,115 for 10.5 months, effective September 1,
1998.
97-169
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting
aye, it was ordered that that the following retirements be accepted.
1. English and Philosophy
Dr. Fred Rodewald, Professor, effective May 31, 1998.
2. History
Dr. Tommie Jan Lowery^ Associate Professor, effective May 31, 1998.
19-170
Upon motion of Regent Adkison, seconded by Regent Greer, with all members voting
aye, it was ordered that the following request for retirement and subsequent
modification of employment be approved.
Dr. Stephen N. Smith, Political Science and Geography, effective January 1
1999. ' y '
97-171
Upon motion of Regent Greer, seconded by Regent Roberds, with all members voting
aye, it was ordered that the holiday schedule be approved as presented.
1998 1999
Sept. 7 . Jan. 1
Nov. 26 Mar. 15
Nov. 27 Mar. 16
Dec. 24 Mar. 17
Dec. 25 Mar. 18
Dec. 28 Mar. 19
Dec. 29 May 31
Dec. 30
Dec. 31
97-172
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting
aye, it was ordered that the following underenrolled classes be approved for Summer I,
1998, and that the Board Chair be authorized to approve the list for Summer II at the
appropriate time.
Summer I, 1997:
1. SWK 511.001 - Field Seminar One
Enrolled: 1
Maintain proper sequence
Taught by Social Work Field Coordinator with no impact on salary or
resources.
2. CSC 241.001 - Data Structures
Enrolled: 9
Maintain proper sequence
3. ENG 524.002 - Advanced Independent Studies in English
Enrolled: 3
Taught in conjunction with ENG 475.002 which has 13 enrolled for a
total enrollment of 16
4. SED 578.020 - (Administrative Education Seminar)
Enrolled: 4
Taught as a collection of independent studies with Interim Chair as
professor of record with no impact on salary or resources
5. THR 410.001 - Creative Dramatics
Enrolled: 9
Needed for graduation
6. CHE 331 L.020 - Organic Chemistry Lab
Enrolled: 7
Maintain proper sequence
97-173
Upon motion of Regent Montes, seconded by Regent Roberds, with all members voting
aye, it was ordered that the Last Class Day Report for the spring semester, 1998, be
approved as presented.
97-174
Upon motion of Regent Greer, seconded by Regent Roberds, with all members voting
aye, it was ordered that the $25.00 graduate application fee be approved.
97-175
Upon motion of Regent Butler, seconded by Regent Greer, with all members voting
aye, it was ordered that the name of the Department of Counseling and Special
Educational Programs be changed to Human Services Department.
97-176
Upon motion of Regent Butler, seconded by Regent Greer, with all members voting
aye, it was ordered that that the Board approve the revised Mission Statement for the
University.
97-177
Upon motion of Regent Montes, seconded by Regent Adkison, with all members voting
aye, it was ordered that funding be continued for the Network Upgrade and Expansion
project in order to achieve network goals, replace obsolete network equipment, and to
meet the basic network tenet criteria for Internet2 membership. The requested HEAF
Funds are $200,000 for FY99.
97-178
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting
aye, it was ordered that the Titan computer be replaced with a computer that is 3 to 5
times the capacity and processing power than the current machine. It was also
approved to acquire the computer on a lease/purchase contract at $32,000 per year for
five years, with a dollar buy out in the fifth year or a technology upgrade credit during
the five-year period. Source of funds will be HEAF.
97-179
Upon motion of Regent Montes seconded by Regent Roberds with all members voting
aye, it was ordered that the mini bus be replaced with a 36-passenger model configured
to the University's needs. Funding will be 50% HEAF and 50% to be financed by five
years' rental revenues disbursed in annual installments. Bids will be obtained. It is
further ordered that the President be authorized to sign the vehicle purchase, order. The
cost is estimated at $199,500, including financing.
97-180
Upon motion of Regent Montes, seconded by Regent Butler, with all members voting
aye, it was ordered that a contract be executed with AFSA Data Corporation for loan
servicing in connection with the University's financial aid programs, subject to
satisfactory negotiation of contractual terms through and/or by the General Counsel. It
was further ordered to establish a separate bank account, if necessary, for processing
loan payments and disbursements in connection with the AFSA contract, and that the
President be authorized to sign the AFSA contract and to establish the required bank
account.
97-181
Upon motion of Regent Montes, seconded by Regent Adkison, with all members voting
aye, it was ordered that Fredonia Bank be selected to provide credit card merchant
services subject to satisfactory development of the software interface linking touch-tone
registration and the credit-card payment process. Vendor selection to default to
Chase Bank if the software interface cannot be developed within six weeks, at a cost
not to exceed the difference between the Fredonia Bank and Chase Bank bids.
97-182
Upon motion of Regent Montes, seconded by Regent Adkison, with all members voting
aye, it was ordered that selection of the University Insurance coverage be referred to
the Finance committee for Action.
97-183
Upon, motion of Regent Greer, seconded by Regent Butler, with all members voting
aye, it was ordered that the list of HEAF projects for fiscal year 1998-99 be approved
as submitted.
97-184
Upon motion of Regent Montes, seconded by Regent Brookshire, with all members
voting aye, it was ordered that approval be given to the Resolution Authorizing the Sale
of Board of Regents of Stephen F. Austin State University Revenue Financing System
Texas Public Finance Authority Revenue Bonds, Series 1998, in an Aggregate
Principal amount not to Exceed $6 Million; Authorizing Actions by the Texas Public '
Finance Authority, Stephen F. Austin State University and Representatives Thereof in
Connection with the Sale and Delivery of Said Bonds; and Resolving Other Matters
Related Thereto, including subsequent technical amendments necessary prior to their
official issuance.
8
97-185
Upon motion of Regent Montes, seconded by Regent Roberds, with all members voting
aye, it was ordered that the Board authorize the Building Committee to review
construction bids for the Miller Science Building and, if acceptable, to extend authority
to the President to sign contracts for the construction activity within the estimated total
cost of $7,100,000. The sources of funds are $6,000,000 tuition revenue bonds and
$ 1,100,000 from the HEAF appropriation.
97-186
Upon motion of Regent Montes, seconded by Regent Brookshire, with all members
voting aye, it was ordered that the Physical Plant Department be allowed to proceed
with the Central Stores renovation and that the President be authorized to sign the
necessary purchase orders and approve expenditures within the estimated cost of
$160,000. The source of funds is the FY98 HEAF allocation.
97-187
Upon motion of Regent Brookshire, seconded by Regent Roberds with all members
voting aye, it was ordered that the SFA Arboretum be named the "Patricia and Adlai
Mast Arboretum."
97-188
Upon motion of Regent Brookshire, seconded by Regent Roberds, with all members
voting aye, it was ordered that the Music Concert Hall be named the "Ed and Gwen
Cole Concert Hall."
97-189
Upon motion of Regent Brookshire, seconded by Regent Montes with all members
voting aye, it was ordered that the SFA Wellness Center be named the "Jimmy W
Murphy Wellness Center."
97-190
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting
aye, it was ordered that the revisions to the Board Rules and Regulations be approved
as amended. ™
97-191
Upon motion of Regent Adkison seconded by Regent Roberds with all members voting
aye, it was ordered that the Board of Regents adopt the policy revisions as amended.
REPORTS
A. Faculty Senate
B. Student Government Association
C. President
Meeting adjourned at 10:40 am.
' Appendix No. 1
Graduate Student Application Fee: Change Form
Department Graduate School Type Application Fee
Request For: Change of Current Fee New Fee X
Current Fee: Requested Fee: $25.00
Rationale/Justification:
The Graduate School processes over 1800 applications per year (Fall, Spring, Summer). Of those
admitted, approximately 75% register for classes. Many of the applicants who do not register have
chosen to attend school elsewhere. Although it costs applicants nothing to apply, it costs the
Graduate School and the graduate programs a considerable amount of time and money to process
those applications. It is proposed that certain graduate programs wishing to require an application
fee be allowed to charge $25 per application. (Only those programs included herein will be
allowed to require an application fee.) Those programs which do wish to require a fee have
competitive admissions processes which require a considerable investment of time and money
The fee is justified as follows: (1) By requiring a fee for the processing of applications, those
students who wish to apply to more than one graduate school will make a more conscious choice to
apply to SFASU because it has a program they wish to attend, rather than applying only because it
does not cost anything. (2) Both the number of applications to these programs and the cost of
postage, telephone and fax, duplication, labor, paper, and supplies have increased significantly
over the past five years; however, the budgets for the offices have remained flat. (3) While the
Student Information System (SIS) has improved our ability to store and retrieve more information
about our students, it takes the Graduate School (as well as other central administration offices)
S^JS^f- ** ,°ng to.Process ** application with the new system compared to our former system
(4) Additional recruitment materials, travel, and correspondence with potential graduate students '
will be possible through the revenue generated from the proposed application fee
il is <rstimated ^t a $25 application fee for the
mo <n\, uu "iv -v- -7T i ^P1076 meir recruitment efforts. The remainder of the fee
($12.50) would be used by the Graduate School ($12,300 per year) to fund a part-time office
assistant,, includingfringe benefits, offset the increasing costs of postage, telephone, and other
expenses, and provide for more recruitment materials and activities.
Comparisons to Other Universities: A survey of 16 universities in Texas revealed that 13 charge
apphcation fees for domestic students. The fees range from $10 to $50, depending upon the
%£?T m?°l ^El° Statem Tyler ** T A&M t C
fees range from $10 to $50, depending upon the
State'm Tyler' Texas at Commerce were foe only
T T™ ^ Charge S fee f°r ProcessinS ^Plications for admission to
Benefits:
• Encourage "serious" applications to SFASU, thus reducing unnecessary processing time and
expenditures for students who are not selecting SFASU as their school of choice,
• Continue prompt and accurate service to Graduate School applicants, and
• Develop quality recruiting materials and activities at the University level as well as the
department level to better represent SFASU and increase enrollment of qualified students.
Signature YltoU^jfa*^ Date
10
Application Fees and Distribution
Applications
Graduate School
X $25 each
Total Applications for Summer 1997, Fall 1997, and Spring 1998 and Sample Distributions
Summer 1,1997 Summer n, 1997 Fall 1997
270 88 342
Programs Requesting Application Fee
Sample Distribution based on $12.50 per application
Counseling (All Programs)
Forestry (All Programs)
Interdis. Studies
Social Work
Sec. Ed. & Ed, Leadership
(All Programs)
Speech Pathology
Graduate School
13
173
75
$12.50 X 984 Applications
80
29
22
17
43
231
Graduate School Distribution
Office Assistant (part-time) $ g qqq qq
Beneflts $ 2,000.00
0&M $ 2,300.00
(Travel, postage, telephone & Fax, recruitment materials, etc.)
Spring 1998
284
57
13
198
Total
984
$ . 24,600.00
Appendix No. 2
STEPHEN F. AUSTIN STATE UNIVERSITY
MISSION STATEMENT
Introduction • . . .
F. Austin State University (SFA), strong in tradition and rich in
es a coUaborative intellectual community recognized for fostering
• offers a wide range of academic and professional programs at the
undergraduate and graduate levels in seven colleges;
# creativ? ^dsentS> abmtieS to thiDk " disciPlined' cr^al, quantitative, and
• cultivates students' ability to communicate effectively;
• fosters meaningful student-faculty interactions in both small classroom
settings and the larger university;
• prepares graduates for success in a diverse and global community; and
• enhances the educational, economic, cultural, and professional
environments of the region.
Mission :
SFA is a dynamic, learning-centered university dedicated to
enhancing student success. The University's focus is on
excellence in undergraduate education complemented bv
superior graduate education, vital community outreach
programs, and the advancement of knowledge and creativity.
Core Values
Academic excellence
Substantive commitment to learning
Personal motivation to learn, to teach, and to serve
Supportive environment for intellectual development
Co-curricular experiences to enhance total learning
• "in^S
• Wisdom, combined with compassion,^integrity, and self-knowledge'
Vision
Stephen F. Austin State University will become distinguished for:
• its diverse^academic and collaborative intellectual community
12
• Pursuit of high standards in:
0 student performance
0 instruction
0- scholarship
0 research and creative expression
v professional service.
• state-of-the-art learning environments
• excellence of its graduates.
13
Stephen F. Austin State University
Fiscal Year 1998-99 HEAF Allocation
July 14, 1998
Appendix No. 3
Department
Admissions
Admissions
Admissions
Admissions
Admissions
Agriculture
Chemistry
Chemistry
Chemistry
College of Education
Computer Science
Counseling & Career Services
Counseling & Career Services
Counseling & Career Services
Counseling & Career Services
Counseling & Career Services
Disability Services
Disability Services
Disability Services
Disability Services
Disability Services
Early Childhood Lab
Financial Aid
Financial Aid
P
HPE
Human Sciences
Kinesiology
Library
Mathematics/Statistics
Mgmt/Mkt/lnt'l Bus
Music
Music
Music
Music
Music
Music
Music
Music
Music
Nursing
Physical Plant
Physical Plant
Physical Plant
Physical Plant
Physical Plant
Physical Plant
Item/Project
Equipment for Dallas area recruiting center
Scanner for desktop publishing
Digital camera for web site
Three microcomputers to upgrade office
Cellular phones for recruiters
3/4 ton pickup
Glass enclosed bulletin boards in Chem. Bldg.
Relocate cabinets/downsize chemical stockroom
Metal racks in chem labs to eliminate ring stands
Carpet for tech lab
Renovate BU 133
Xerox copier lease
2 - PC's 300 XKU, 128 MB RAM
4 - PC's 266 XKU, 64 MB RAM
Xerox Copier maintenance
Software upgrades
Toshiba laptop computer for note taking assistance
Al-Tech CTV to connect laptops/monitor during note taking
15" Computer monitor
Gateway multimedia computer system w/pentium processor
Modem, microphone and mobile cart (for CART system)
Instructional Equipment
Copy machine
LCD Projector
Convert Tucker House garage to offices
Refinishing floors
Refloor HMS 201 & 203
Replace diving boards at swimming pool
Basic Library materials acquisition
5 classroom renovations
Renovate BU 464
20 Studio Upright Pianos
10 Digital Electronic Pianos
2 Harpsichords
Classroom Needs
4 Spot Lights
Green room furniture
Dressing room furniture
Waiting Benches throughout building
2 display cases
Renovate rooms 129 & 127
Street/parking maint. & repair
Mini-bus
ADA compliance (4 of 5 year installment)
Annual vehicle replacement
Garbage trucks
Campus Signage and Landscaping Improvements
14
Stephen F. Austin State University
Fiscal Year 1998-99 HEAF Allocation
July 14, 1998
Department
Physical Plant
Physics/Astronomy
Post Office
Post Office
Public Information
Public Information
Purchasing
Purchasing
Purchasing
Purchasing
Registrar
Secondary Education
Telecommunications
Telecommunications
University Information Systems
University Information Systems
University Printing Services
University Printing Services
UPD
UPD
UPD
Contingency
Instructional Capital
Debt Service
Item/Project
Air Handler
Orion Star Projector Automation
Office computer upgrade
Mailing machine-model 6115/incl 3-year extended warranty
Media workstation furniture
Camera & control room set-up
3 powermacs w/17" monitors
Platform and hydraulic pallet truck
Shelving & electrical strips
16 MS office software
HP LaserJet 5 printer
Remodel classrooms
Network upgrade
HEAF network expenditures
Upgrade Local Area Network (2d of 3d year installment)
Replace TITAN Computer and other necessary upgrades
8 - office side chairs
Conference Table
Emergency telephones
Patrol vehicle
Computer equipment
Total Allocation
Allocation
$ 6,468.273
15
Appendix No. 4
STEPHEN F. AUSTIN STATE UNIVERSITY
SCHEDULE OF TRANSFERS
April 1, 1998 through June 30, 1998
ACTIVITY RECIPIENT TRANSFER SOURCE
ACCOUNT NAME ACCOUNT NUMBER SOURCE DESCRIPTION AMOUNT DATE
j. rade 3-50690 Increase Estimated Income 10,000 June 17, 1998
OSA Graphics Shop 3-50690
TOTAL
64,344
16
Appendix No. 5
RULES AND REGULATIONS
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
(Amended July 14, 1998)
1. Composition of Board
°f ReSents> Stephen F. Austin State University, is composed of nine
,
2. Setting of Meetings
APril. w|hri4s: srr zssnrdoch-Texas'in -momh of
V T C S JT^sTnf R6 BTd ShiU1 COnfOrm t0 the temKof "» Texas Of*" Meetings Act
3. Designation of Officers
4. Election of Chair and Authorization of Duties
Board und^eTx, AnanS mL^ " reSignati°n' "* Vke ^ Sha" «™ - Chair of ,he
17
The Chair of the Board shall preside at all meetings of the Board which he/she attends
He/she will be responsible for the agendas of the meetings of the Board. He/she shall
have the authority to call special meetings of the Board, as herein provided. He/she shall be an
ex officio member of all committees of the Board. He/she shall deliver to each new Board
member immediately upon such person's appointment by the Governor a copy of the Regents'
Universit S Ons and a copy of the organization of principal administrative offices of the
Parliamentary procedure in Board meetings will conform to Roberts' Rules of Order
Revised when not in conflict with Board rules.
the Chair shall, in the name of the Board, formally execute all contracts and
documents authorized by resolutions of the Board, and perform such other duties as are
generally imposed on a Chair of the Board.
5. Election of Vice Chair and Authorization of Duties
A Vice Chair shall be elected from the membership of the Board immediately
following the election of a Chair and shall take office upon the Annual Meeting being called to
order and shall serve until the next Annual Meeting.
No member shall serve more than two consecutive terms as Vice Chair unless the
Stf^SS? member for each term after the two consecutive terms bya vote
The Vice Chair shall preside over meetings of the Board in the absence of the Chair
and shall succeed to the rights and powers of the Chair in the event he/she is absent from the
state or is unable to act because of disqualification, or because of physical disability as
ffo Xd?B°Sd ^ ^ ^ ** ^ ""* ^**" aS l d
nr*of w?6 Tnt °\ *e death °r resiSnation of a Vice Chair, the Board shall, as soon as
Annual M^ethf * SUCCeSSOf frOm the membersh*P of *e Board to serve until the next
6. Election of Secretary and Authorization of Duties
The Board shall select a Secretary from the membership of the Board, immediately following
election of a Vice Chair, who shall take office upon the Annual meeting being caUed to«£?
and who shall serve until the next Annual meeting. The Secretary shall make preparation
flZ R °f ** B0ard'induding SUch notices M m re^uired ^ law. The LretaTsh
attend and keep accurate records of all open meetings of the Board He/she shall notify all
KA^H by ^ aCtl°?S °f the B0ard- He/She sha11 be custodian of all records of the
feak of^heilnT^ fVe?Ithereof' and of «" bonds made to the Board and of the official
Z1 ? a uTy> Snd Sha11 S1S" and attest with said seals «" certifications of the acts of
authS^v ff d0C7ef' f rtificates, deeds, contracts, and other like instruments
SS? y *e/Oard- uH,e/she shaI1 keeP the official copy of the Regents' Rules and
Regulations. Said copy shall contain all current rules and regulations as set by the Board of
Kegents. Any changes or additions thereto shall be entered in the official copy and such
changes and additions shall be furnished members of the Board and officers of the University
as designated by the President. The President shall designate an Assistant Secretary to'he
18
7. Committees of the Board
The Chair of the Board shall appoint at the Annual Meeting of the Board of Regents all
S" and ShaI1 deSignSt Chi f h i'£S3T
7.1 The Executive Committee shall consist of the Chair of the Board, the Vice
Chair of the Board, and one other member appointed by the Chair Two
members present shall constitute a quorum. The Chair of the Board shall serve
as Chair of this committee. This committee shall review and make
recommendations to the full Board on any matter related to the governance
control and direction of the policies of the University.
7.2 The Academic and Student Affairs Committee shall consist of three members
1 his Committee shall consider:
(1) the curricula of the various colleges and departments of the University
with any other matters dealing with academic programs and the progress
thereof; r °
(2) the research programs within the University and their relationship to all
graduate education;
(3) student affairs within the University;
(4) personnel matters within the University.
7, Se^oimilitte^ sha11 summarize facts and present alternatives as necessary
conskler C°mmittee sha11 consist of three members. This committee shall
(1) use and occupancy of University property;
(2) planning of, locating of, receiving bids for, awarding contracts for
construction of, and maintenance of buildings, utilities, and other '
physical facilities of the campus.
7 a ? £ommittee sha11 summarize facts and present alternatives as necessary
7.4 The Finance Committee shall consist of three members. This Committee shall
consider!
(1) the budgeting and appropriations request processes;
(2) all requests for appropriations and budgets covering expenditures of
educational and general funds and auxiliary programs, including, but not
™ Kir t0> cS^dent h0Using' me atWetic dePartment, and the bookstore-
V) handling of University funds, depositories, etc., whether from
appropriated or contributed funds.
7 * lu& Sommittee sha11 summarize facts and present alternatives as necessary
The Nominating Committee shall consist of three members. This committee : ° :——*«"^v, »UCUA LvuDioi <ji uuee memoers. inis committee
shall be appointed annually at the January Meeting by the Chair for the purpose
°£ nominating Board officers for election at the April Meeting.
rtR ha!f °l ?e Board and/or not less than six members thereof at a meeting of
me aoaid of Regents may at any time appoint special committees, name the
members thereof and designate the chairmen. Any special committee so •
created shall be temporary and shall be charged in writing as to its particular
duties and functions and the period in which it is to serve. Action by the Chair of
the Board and/or six such members will be required to extend this period
19
8. Prohibiting Contracting with Board Members
The Board of Regents shall approve no contract or agreement of any character in
otfTC^^^ °r indireCUy' ^ 3 peCUniary interes" The or V.T.C.S., art. 6252-9 shall be observed in every instance.
9. Election of University President
™ JtS Ann,ual,Meeting'.the Board of Regents shall elect the President of the University
? r !,°f a majOnty °f itS members' The President of the University shall hold
ZiT^ ^ PleaSUreK°f *" B0ard The President shaU ™* have tenure
y h°'d tenure M a member of the fa^lty of the University when such
^ * ^^ ^ PreSident'S Salary Sha11 be desi^ated in the
y ^pointing order SidentS «,„ ^ a cI?angerin the P^idency is made, the Board will accept for consideration
Sf? fhed/loimnaJons from a screening committee representing the Board, the faculty, the
J^i^T^S11111011'the community'and the student body'which committeesh*1 be
10. Authority, Duties, and Responsibilities of the University President
The President shall be answerable to the Board of Regents and shall have
StTS1 t0/f^tively administer the University within the polic™^^
E£The President shaJ1 have such powers as may be from
recommenda^s to the Board on University
UniversUy! PreSident Sha11 be resPonsible for carrying out all Board orders affecting the
a t t The .Prfsident sha11 interpret the Board's policies to the faculty and staff and
e^TnT rgram,S n'ne6dS t0 the B0ard The President sh^ * -n "mes represent and interpret the University's programs, needs and interests to the public.
exnenJtni*™?™1 ^ fv.T611'1 aPPr°priate operating budgets and supervise
expenditures under approved budgets.
"* Board ^ aPPoi"'™=nt and reappointment of all'
'"offlcers and recommend such indivi
20
nrn tThe *r?si*ent sha11 ensure efficient management of business affairs and physical
property and shall recommend additions and alterations to the physical plant
University* PreSid6nt *"** 3SSUme aCtWe leadership in develoPinS private fund support for the
n«v n .Withouj.Prior notice or hearing, the President of the University may suspend without
pay and immediately remove from the University or assign to other duties with nav m
employee, and suspend and immediately remove from the University any sTudenttoat (1)
poses a continuing danger to persons or property (2) disrupts th d 1 • ^ '.
education of students; (4) has been convicted by a trial court of
turpitude. The President shall, as soon as possible, notify the
jpnate admirmtram '' SUCh "f S the President wiU set a hearing before the
n™ f ^'"f ator,°r commi«ee on the employee's or student's case as soon thereafter
practicable unless otherwise waived by the employee or student. merearter
UniverSktCCn?tSride,nt ^ ^ the Ultimate resPonsibiIity *>r *e proper administration of all
Board's policy' agfeementS' °f pUrChaSeS which m deleSated to **
^^1S au;h°rized t0 accePl gfants and contracts and enter into agreements
the furnishing of educational services with the various agencies of the Federal and
^^ZZ^ffT' aDd PTtC COrP°ratiOnS ** is aUth0rized «o -SSS
nrov^a^ n ? • rd 8rants and contracts w^ch are on a reimbursement basis
g'nfor conSr^ "" * reimbUISed by ^ ^^ f°f ^ COSt -ultinTfrom such
11. Election and Duties of General Counsel
ti Board of ReSents sha" ^ect the General Counsel by
? memberS The Gel C°UnSeI sha11 hoId offi<* without
.The.Gen^al, Counsel shall be responsible for all legal advice on all matters related
^iS ShaU be reSpOnsiWe ** •" ^al mLrs with local, St
of Texal^S^n^ ? WOfk in cooPeration with *e Attorney General of the State
Stale of T^ Cngaged m pnVate practice' and other legal counsel for agencies of the
uSSSSri te bSSSSSSTT88 TTTT !!ra t ^^ aaffffeeCCtt tthhCC UUnniivveerrssiittyy- He/She sshhaa1111 mmoonniittoorr aallll
n^ f ,S g, St °r f0r the Umversity and assist the Attorney General's office in the
preparation, trial, and appeal of lawsuits involving the University.
University H^r^^T^?11 -"J^ a11 contractuaI obligations entered into by the
oomnliS n u^ f make leglslatlve interpretations and be responsible for the
compilation of all legislative statutes affecting the University. He/she shall be responsible for
the determination of student residency classification on appeal. He/she^shall'PStch
21
other duties which are generally incumbent upon a general counsel of like boards or which
shall be delegated to him/her by the Board or the President of the University.
12. Election and Duties of the Director of Audit Services
. ff. At *s Annual Meeting, the Board of Regents shall elect the Director of Audit Services
by affirmative vote of a majority of its members. The Director of Audit Services shall hold
office without fixed term and at the pleasure of the Board. The Director's salary shall be
designated in the appointing order. .
The Director of Audit Services shall assist the Board in carrying out its oversight
S1^,3S ^ relate,to the University's a> financial and other reporting practices, b)
internal control, and c) compliance with laws, regulations, and ethics.
Pr^iHpJ^f^?!0- °f Audit Suervices sha11 reP°rt on a day-to-day and functional basis to the
Sv wfht "mVerS1?:- The Director of Aud* Services shall periodically communicate
directly with the Finance Committee Chair. It is important that the University auditor be
independent of the chief financial and/or accounting officers to ensure independent review of
the internal control structure and the financial reporting process.
rw Thf DireJctor of Audit Services shall work in cooperation with the State Auditor's
™f'™dePendent aUdit°rS engaged in private Practice' and other audit<*s for entities of the
State of Texas concerning matters that may affect the University.
«ia u i,? °f AudU Services shall annually submit information on the annual audit
plan, work schedule, and staffing plan to the President for his review and to the Board of
fflttS vtrVPPr0Vi 7* DifeCtOr Sha" Submit an ^ reP°rt ^ required by Art.
u ■\ t ' recodified at Government Code, Chapter 2102. The annual report shall be
submitted to the President and the Board for review prior to public dissemination
13. Report or Agenda for Meetings
sPe<Tial meetings of the Board/the President of the University shall
^rdT IhTh S ReP°rt in7nting- Such repOrts sha11 foIlow a uniform fonnat approved by
nV l™« f . the ProP°sed form of recommended Board orders set out in the first section of
Ae report, followed by sections on faculty and staff, budgetary items, contracts, curriculum
miscellaneous items and explanation. The latter section of the report shall set forth in
0^™ ^ " ^P1™*™ of each Prosed Board order or recommendation. All Board
S£f f hP 7 a Pfsldent s ReP°rt sha11 ^ drafted with clarity and brevity to reflect
without the need to refer to extraneous sources, the precise action ordered by the Board h>
each instance. The drafting of multifarious orders for Board consideration shall be avoided
WpfnA cop,y °f the President's Report shall be submitted to all members of the Board and'the
Secretary at least ten days in advance of a meeting of the Board
22
14. Order of Business
All regular and special meetings of the Board of Regents shall be as follows unless the
Chair otherwise directs:
A. Approval of the minutes of the preceding meeting
B. Reports of standing committees
C Reports of special committees
D. Other business
E. Adjournment
15. Appearance Before the Board
The Chair of the Board of Regents or the President may invite individuals to appear
before the Board or one of its committees for specific purposes. The Chair of the Faculty
Senate and the President of the Student Government Association shall have the opportunity to
provide a report at each quarterly Board meeting. Other individuals or group representatives
wishing to appear before the Board shall file a written request with the President at least seven
working days before the appropriate meeting. The written request shall include a statement of
the purpose for which an appearance is requested, the nature of the information to be
presented and the names of those who will speak to the Board. The President will submit the
request to the Chair of the Board, who will grant the request, deny the request or provide for an
appearance before an appropriate committee of the Board. The individual making the request
shall be notified of the Chair's decision, by the President.
16. Annual Budget for University Operations
The President shall prepare and submit annually to the Board at its April or July
meeting, as specified each year by the Board, a proposed budget for the operation of the
institution for the next fiscal period. Copies of all proposed operating budgets shall be
submitted in writing to all members of the Board at least one week in advance of such meetine
of the Board. &
17. Monthly Financial Report of University Operations
The President of the University shall submit a Monthly Operating Statement to the
members of the Board,, showing balance sheet by fund groups; statement of income;
statement of expenditures, unexpended balances, encumbrances, and unencumbered
balances.
All institutional books, records, ledgers and accounts shall be kept and maintained in
conformity with recommendations of the State Auditor and the State Comptroller of Public
Accounts, subject to approval by the Board.
Blanket fidelity bonds, approved by the Board, shall be required to cover all employees
of institutions under the jurisdiction of the Board.
18. Student Admission, Degree Requirements, Tuition and Fees
Student admission standards, entrance requirements, and degree qualifications shall be
determined and prescribed by the institution, subject to the approval of the Board. No
otherwise qualified applicant for student enrollment shall be denied admission solely on the
23
basis of religious or racial tests. Enrollment preference shall be given residents of the State of
Texas.
Tuition and student fees, and room and board rates shall be established by the
institution, subject to legislative direction and approval by the Board.
Each member of the Board shall receive copies of major publications of the
University.
19. Employment of Bond Legal Counsel
The Board shall employ bond counsel as appropriate to advise and represent it in.any matters.
20. Reimbursement of Expenses
Reimbursement of expenses shall be allowed members of the Board for attending
regular and special meetings of the Board; for visiting the University at the request of the
Board or the Chair of the Board; for attending formal committee meetings, and for such other
special and limited purposes as the Board may expressly authorize in accordance with state
regulations. Verified expense accounts shall be submitted to the Secretary for payment and
the same shall be subject to review and control by the Board.
21. Use of Campus Facilities for Political Purposes
While the use of the facilities of the University for partisan political assemblies and
meetings is not normally encouraged, the faculty and administration, as members of a learned
and honorable profession, may properly exercise their acknowledged individual rights and
obligations of citizenship free of University discipline or censorship.
Individual political candidates and their election organizations are not permitted to
reserve a University facility for campaign activities. However, if a candidate is invited by a
University group, then he or she may appear in the facility, provided that the group extending
the invitation is responsible for reserving the facility and meeting the costs related to the event
No member of the Board of Regents shall undertake to influence the political opinions
of personnel subject to the Board's jurisdiction, but such personnel are requested to exercise
their individual rights of citizenship or academic freedom in a responsible manner reasonably
calculated not to identify or associate with the University.
A University employee may not use his or her official authority or influence to coerce
the political action of a person or body.
22. Authority for Official Statements
♦♦ T1Je B°ard of ReSents hereby reserves the authority and responsibility for determining
matters ot policy and official statements concerning any political or other subjects of an
obviously controversial nature which represents an official policy, statement, or position of the
Board of Regents, or of the University. Statements, policies, and positions by the Board of
Kegents on such matters shall be made by the Board through the Chair of the Board or the
President of the University. No Regent, officer, faculty or staff member shall have the
authority to speak for or issue any public statements on policy for and on behalf of the Board of
Kegents, or of the University, on such matters without prior approval of the Board.
24
23. Naming of Buildings and Other Facilities
Buildings and other facilities (including laboratories and clinics) of Stephen F. Austin
State University may be named by the Board of Regents for deceased persons who have made
outstanding contributions to the University or its prestige. In extraordinary circumstances
particularly when a significant donation has been made to the University, the Board of Regents
may name a building, or other facility, for a living person.
Proposed names may be submitted from any source to the Academic Affairs Council
tor their recommendation to the President who, if he concurs/shall submit such names
together with background reasons, to the Board of Regents for consideration; provided,'
however, that the Board of Regents may act without receiving a nomination from the '
Academic Affairs Council, when circumstances justify such action, and particularly when a
substantial donation has been made toward the construction of the building or facility to be
named. Any such nominations shall be reviewed by a committee of the Board. Such review
shall take place before any contacts with prospective nominees. A name will not be moved
from one building to another, and when a building is razed, the name will no longer be used
u D / rlUe Sha11 be placed on each new buildin8- The plaque shall show the names of
the Board of Regents m alphabetical order, and the names of those occupying the following
positions on the date of the contract award: the Chair of the Board of Regents; the President of
the University; the Vice President for Business Affairs, the architect and the contractor
together with the year the contract is awarded.
24. Provisions to Amend Rules and Avoid Conflict with Statutes
The Rules and Regulations herein provided may be amended by a majority vote of
members of the Board at any regular meeting or at a special meeting of the Board called for
that purpose. Proposed amendments shall be filed in writing with the Secretary and copies
submitted to each Board member at least fifteen (15) days before the same are considered by
the Rnflrn J
Should all or any part of the foregoing Rules and Regulations conflict with any
constitutional, statutory or legislative appropriations provisions, they shall be amended to
conform therewith.
25
Appendix No. 6
Policies for Board Review
July 1998
Copyrighted Works
Reproduction
A-12 Substantial Rewrite; original policy attached for
reference
Instructor-Generated
Materials
A-22.1 Substantial Rewrite; original policy attached for
reference
Performance Evaluation of
Tenured Faculty
A-37.1
Satisfactory Academic
Progress for Financial Aid
Recipients
A-40 Substantial rewrite
Griffith Fine Arts Center
Kennedy Auditorium
B-10 Delete policy; information incorporated in B-28
B-16 Reviewed, no changes made
lanetarium
Foreign Travel
B-22 Delete policy
C-14 Change requirements for approval
Order for Disbursement C-23 Minor changes
Request to Establish an
Account
C-34 Reflect new procedures
Investments
Intellectual Property
C-41 Revised Appendix B, Administrative Procedure
D-20
Parking and Traffic
Regulations
D-24 Annual update
Mgns D-31 Remove requirement of 24 hour advance notice, add
limit to 2 signs per location
Skating (formerly
Skateboarding)
Conduct Code
D-32 Change Policy title; substantial rewrite
D-34.1 Update sanctioned organizations, change referenced
policy numbers
Classified Pay Plan E-8N Remove "steps", change entry level and merit increase
information
Departmental
Administration
E-10A Substantial rewrite
Duties and Responsibilities
of Offices Reporting to the
Vice President for
Academic Affairs
E-13A Substantial rewrite
Emeritus 5-14A Reviewed, no changes made
Faculty development
Leaves
E-23A Reviewed, no changes made
Hiring of Non-Academic
Personnel
E-27N Delete reference to one-year contract period
Leave of Absence (Faculty E-29A Substantial rewrite, updated forms
Leave of Absence (Non-
Academic)
E-30N Substantial rewrite, updated forms
Performance Review of
Officers Reporting to the
Vice President for
Academic Affairs
E-38A Reviewed, no changes made
26
Personnel Action Request E-39 Substantial rewrite
Update current departmental name, delete custom
programming assistance and references to magnetic
tapes
University Information
Systems
F-9
Accessibility for Persons
with Disabilities
New policy
Academic Accommodation
of Students with Disabilities
New policy
Appeal Procedure Relating
to the Provision of
Accommodations for
Students with Disabilities
New policy
Drug and Alcohol Testing New policy
Performance Management
Plan
New policy
Vendor Protests New policy
Access to Secure
Computing Facilities
New policy
27
COPYRIGHTED WORKS REPRODUCTION Index A-12
Original Implementation: 1979 " Page 1 of 7
Last Revision: July, 1998
The copyright law (Public Law 94-533) affects everyone involved in photocopy reproduction and all
types of reproduction and/or use of other's works. The following guidelines provide general copyright
information useful to the academic community.
I. Public Copy Machines
All public copy machines or public copy centers on campus must have a warning notice on or near
each machine, which states that the responsibility for copyright infringement rests with the user.
The use of printed copyright warnings transfers responsibility for copyright compliance to the
individual user. All employees who assist in making copies must comply with the fair use
guidelines below. Public copy machine users are encouraged to follow these fair use guidelines,
copies of which shall be made available at a reasonable location near public copy machines.
II. General Fair Use Guidelines
Only the following copies may be made from copyrighted works:
a. A single copy of one or more chapters from a book, one or more articles from a periodical
title, one or more short stories, essays, short poems, charts, graphs, diagrams, drawings,
cartoons, or pictures, provided the amount of copying does not exceed 10% of the entire
volume.
b. Copies in excess of this amount may be permissible in some circumstances under fair use. The
following factors will be considered:
(1) the purpose and character of the use, including whether such use is of a commercial
nature or is for nonprofit educational purposes;
(2) the amount and substantiality of the portion used in relation to the copyrighted work as a
whole;
(3) the nature of the copyrighted work; and
(4) the effect of the use upon the potential market for or value of the copyrighted work.
Refer to 17 U.S.C. 504 (c)(2) within the copyright law.
c. A single copy of an excerpt from a musical work, provided the excerpt is less than 10% of the
entire work and is less than a performable unit, such as a section, movement or aria.
d. A single copy of an entire work, provided a copy cannot be obtained at a fair price.
Index A-12
Page 2 of7
HI. General Guidelines on Public Works
Free use of materials not protected by copyright is permitted for public works. The presence or
absence of a copyright notice is no longer of significance in determining what is a protected
copyright or a public work. Older works published without a notice may be in the public domain,
but for works created after March 1, 1989, absence of a notice is non-determinative. The
following guidelines may be used to determine what constitutes a public work.
a. Works that lack originality (e.g., phone book)
b. Works in the public domain (no longer protected by copyright)
c. Free ware (must be expressly stated)
d. U.S. Government works
e. Facts
f. Ideas, processes, methods, and systems described in copyrighted work which are not
otherwise protected by patents.
IV. Special Library Guidelines
Libraries are authorized to exercise special rights in addition to fair use. These rights are
described in Section 108 of the copyright law. They allow copying for archiving lost, stolen,
damaged, or deteriorating works, making copies for library patrons, and making copies for other
libraries' patrons (interlibrary loan).
1- Copies made bv library staff for patrons generally
All of the general fair use requirements listed above apply for patron copying.
Only single copies, and no multiple copies, will be made.
Copy requests exceeding these limitations must be refused.
2- Copies made bv library staff for reserve and for a faculty member's classroom mp
All of the general fair use requirements listed above apply for single or multiple copies.
Multiple copying may not exceed one copy per student, and may not be repeated with respect
to the same item by the same instructor from term to term.
Copy requests exceeding these limitations must be refused.
3- Copies made bv library staff for purposes of collection maintenance
A published work may be duplicated to replace a copy that is damaged, deteriorating, lost or
stolen, provided that after a reasonable effort the Library has determined that an'unused
replacement cannot be obtained at a fair price.
; Index A-12
Page 3 of7
An unpublished work may be duplicated for purposes of preservation or security or for deposit
for research use in another library.
4. Interlibrarv loan copying
The library may annually acquire, through interlibrary loan, up to five copies of articles
published in any title within the last five years. If a request exceeds the five articles permitted,
the Access Services Department will apprise the patron of other options.
5. Digitizing other's works in electronic reserves
a. Limit reserve materials to
- single articles or chapters; several charts, graphs or illustrations; or other small parts of
a work
- small part of materials required for the course
- copies of material a faculty member or the library already possesses legally (i.e., by
purchase, license, fair use, interlibrary loan, etc.)
b. Include
- any copyright notice on the original
- appropriate citations and attributions to the source
- a Section 108(f)(l) notice indicating that making a copy may be subject to copyright
law.
c. Limit access to students enrolled in the class and administrative staff as needed. Terminate
access at end of class term.
d. Obtain permission for repeated use of materials by the same instructor for the same class.
6. Copying with permission of the copyright owner
Sections 1-5 are concerned with the copying that can be legally done without obtaining the
copyright owner's permission. The Library may not make copies in excess of the limits stated
in the above sections without the permission of the copyright owner. It is the user's
responsibility to obtain permission of the owner when such permission is needed. It is
suggested that in requesting permission, the user state the purpose for the copying and the
number of copies being requested. When the user presents evidence of the owner's
permission, the library may copy within the limits of the permission statement.
V. Guidelines for Coursepacks
The General Fair Use Guidelines are applicable to coursepacks. Copyright notices, appropriate
citations and attributions should be included. The faculty/staff member who compiles the
coursepack materials shall be responsible for complying with these guidelines. Permission must be
Index A-12
Page 4 of7
obtained for materials that will be repeatedly used by the same instructor for the same class
Using a commercial copy shop does not necessarily relieve the coursepack creator of liability
unless the above guidelines are followed or the copy shop pays appropriate royalties Campus
copy centers are not permitted to copy coursepacks, unless these guidelines are followed.
VI. Computer Software
As previously explained only explicitly stated freeware, not shareware or other licensed software
are allowed to be freely used without a license. Appropriate licenses must be obtained for all
other software use. The software user is responsible for reading and complying with all "shrink
wrapped" or other license agreements. Other University computer use policies shall also apply.
VII. Guidelines for Music
The University maintains some general licenses for copyrighted music use with BMI and ASCAP
for specific use areas (e.g., College of Fine Arts, Student Activities, etc.). Beyond those areas
use of music must be licensed or specific permission obtained. General guidelines for copying
music are outlined below.
a. Limit copying as follows:
- sheet music, entire works: only for performances and only in emergencies
- sheet music, performable units (movements, sections, arias, etc.); only if out of print
- student performances, record only for teacher or institutional evaluation or student's
portfolio
- sound recordings: one copy for classroom or reserve room use
b. Include
- any copyright notice on the original
- appropriate citations and attributions to the source
- a Section 108(f)(l) notice that making a copy may be subject to copyright law
c. Replace emergency copies with purchased originals if available
Vm. Performances and Displays in Face-to-Face Teaching and Broadcasts
Educational institutions and governmental agencies are authorized to publicly display and perform
others' works in the course of face-to-face teaching activities and to a limited degree, in
broadcasts where there is a delayed transmission of faculty instruction. These rights are described
in Sections 110 (1) and (2) of the copyright law.
DC. Performances and Displays in Distance Learning
Sections 110 (1) and (2) of the copyright law outlined in section VHI of this policy may not cover
fair use of the performance of others' works in online course materials. The guidelines below
incorporate these basic rules: small parts, limited times, and limited access are the keys to fair use
:" Index A-12
Page 5 of7
a. Incorporate performances of others' works
- sparingly
- only if a faculty member or the institution possesses a legal copy of the work
b. Include
- any copyrighted notice on the original .
- appropriate citations and attributions to the source
- a Section 108(f)(l) notice that making a copy may be subject to copyright law
c. Limit access to students enrolled in the class and administrative staff as needed Terminate
access at the end of the class term.
d. Obtain permission for materials that will be used repeatedly by the same instructor for the
same class.
X. Digitizing and Using Images for Educational Purposes
First and foremost, if an image is readily available online or for sale or license at a fair price point
to, purchase, or license the image. If an image is not readily available online or for sale or license
at a fair price, digitize and use the image in accordance with the following limitations:
a. Limit access to all images except "thumbnails" to students enrolled in the class and
administrative staff as needed. Terminate access at the end of class term.
b. "Thumbnails" are visual identification tools of a size and quality that makes them commercially
useless. Since thumbnails are of no commercial value, fair use would permit their use without
restriction.
c. Faculty members may also use these images at peer conferences.
use in
d. Students may download, transmit and print out these images for personal study and for u
the preparation of academic course assignments and other requirements for degrees may
publicly display images in works prepared for course assignments, etc., and may keep works
containing images in their portfolios.
e. Periodically review digital availability. If a previously unavailable image becomes available
online or for sale or license at a fair price, point to or acquire it.
XI. Digitizing and Using Other's Works in Multimedia Materials For Educational Purposes
The CONFU Fair Use Guidelines for Educational Multimedia suggest that fair use requires
adherence to specific numerical portion limits, that copies of the multimedia work that includes the
works of others should be strictly controlled, and that fair use "expires" after 2 years The
Index A-12
Page 6 of7
following general guidelines acknowledge that these are important considerations, but that the
CONFU numerical limits do not constitute the outer limits of fair use.
The guidelines below allow for the creation of unique works within the limitations provided, but
not to make multiple conies and rive them out. (Multimedia works which include the use of
other's works and will be licensed, distributed or sold, must obtain appropriate pennission from
each applicable copyright holder.)
a. Students, faculty and staff may
- incorporate other's works into a multimedia work
- display and perform a multimedia work in connection with or creation of
• class assignments
• curriculum materials
• remote instruction
• examinations
• student portfolios
• professional symposia
b. Be conservative. Use only small amounts of other's works.
c. Provide appropriate acknowledgments to the work of others.
d. Do not make any unnecessary copies of the multimedia work.
XII. Permission
In all circumstances other than the specific fair use guidelines described above, permission must be
obtained from the copyright holder. Advance planning is important to purchase, license or
otherwise obtain appropriate permission for use of copyrighted material.
Xm. General Information
Personal liability for copyright infringement can be created for willful acts. This policy has been
formulated to. provide specific guidance on the variety of circumstances where fair use is
permissible. The copyright law provides a good faith fair use defense [17 USC 504 (c)(2)] It
applies only if the person who copied material reasonably believed that what he or she did was fair
use. Adherence to this policy will help protect the SFA academic community from potential
copyright liability.
Recent federal legislation entitled the No Electronic Theft (NET) Act creates criminal penalties for
non-commercial copyright infringement of a sufficient dollar value. The academic community
must be aware that distribution of pirated computer software or other copyrighted material on
computer bulletin boards or other methods of distribution may constitute a federal crime,
regardless of whether or not the infringer receives any financial gain.
Index A-12
Page 7 of 7
Further information can be obtained by accessing the webpage of the U.S. Copyright Office within
the Library of Congress at: http://www.lcweb.loc.gov/copyright/. You may also contact the
University's General Counsel with specific inquiries.
SOURCE OF AUTHORITY: 17 U.S.C. section 101 et seq., NET Act H.R. 2265 105th Congress,
CONFU Guidelines, Vice President for Academic Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Director of University Libraries, General Counsel
FORMS: None
COPYRIGHTED WORKS REPRODUCTION
Original Implementation: 1979
Last Revision: October 17, 1989
On January 1, 1978, a new copyright law (Public Law 94-553) took effect
The law is complicated and will require careful study of this policy to'ensure
compliance. Every staff member involved in the making of photocopies or *
3K°£rjS2 SS2"LS? ** ' ^ * understanding and complying
1. Public Copy Machines
The Library must post on or near each copy machine a warning of copyriaht
in accordance with requirements made by the U.S. Copyright Office
Placement and maintenance of these signs are the responsibility of the
Circulation Services Department. When the public uses these photocopy
machines, responsibility for copyright infringement rests with the user
provided the signs are properly displayed. Staff using the public codv
machines to make copies for users must comply with requirements of
section 2 (below). In 2,a, (1) is a list of materials that may be copied
In response to patron inquiries, a copy of this list is to be provided bv
the Circulation Services Department. It is to be given to users who ask
what may be legally copied. Beyond giving them this copy, staff should
not attempt to interpret the law.
2. Copies made by Library Staff for the Use of the Individual Researcher
(Student, Faculty, Etc.)
The warning of copyright statement published by the U.S. Copyright Office
must appear in the place where photocopy orders are taken, on the
photocopy order form, and on each photocopy itself. Copyright Office
regulations cover the size of type, placement of signs, notices, etc
The Circulation Services Division is responsible for the design and
placement of signs and forms to comply with copyright requirements
The use of the printed copyright warnings transfers a portion of the
responsibility for copyright compliance to the individual requesting
photocopy. However, the Library and the individual staff member are
responsible for copyright infringement to the extent of the staff member's
knowledge about the nature of the copying taking place.
a. Only the following copies may be made from copyrighted works:
(1) A single copy of one or more chapters from a book, one or more
articles from a periodical title, one or more short stories,
essays, short poems, charts, graphs, diagrams, drawings,
cartoons, or pictures, provided the amount of copying does not
exceed 10% of the entire volume.
(2) Copies in excess of this amount may be permissible in some
circumstances under fair use. However, the decision to copy in
excess must be made by the Associate Librarian for Public
Services or by the Director of University Libraries. The
decision to approve such copying will consider the following
factors: a
(a) the purpose and character of the use, including whether
such use is of a commercial nature or is for nonprofit
educational purposes;
(b) the amount and substantiality of the portion used in
relation to the copyrighted work as a whole;
(c) the nature of the copyrighted work; and
(d) the effect of the use upon the potential market for or
value of the copyrighted work.
(3) A single copy of an excerpt from a musical work, provided the
excerpt is less than 10% of the entire work and is less than a
periormable unit, such as a section, movement or aria All
copying in excess of this amount must be approved by the
(4) A single copy of an entire work, provided a copy cannot be
obtained at a fair price.
b. The copy must become the property of the user.
c. It is the individual staff member's responsibility to see that the
photocopy order form containing the warning of copyright is signed
by the user, and that the required warning is stamped on the copy.
CCllaaiissrrooooTTuuss?? ^"^ Staff f°r Reserve **d for a Faculty Member's
a. All of the requirements enumerated in 2.,a. apply for single or
multiple copies. For multiple copies, these additional requirements
apply: multiple copying may not be done more than nine times per
course during the semester, may not exceed one copy per student and
may not be repeated with respect to the same item by the same '
instructor from term to term. The Circulation Services Department is
responsible for maintaining the file of copy orders and the staff
member making the copy is responsible for consulting the file before
a copy is made. "
b. Copy requests exceeding these limitations must be refused.
4. Copies made by Library Staff for Purposes of Collection Maintenance
a. A published work may be duplicated to replace a copy that is damaged
deteriorating, lost or stolen, provided that after a reasonable
tl 5£ the Library has determined that an unused replacement cannot
aL^T^ 3e " Price- DePendin9 on the type of material, the
Acquisitions or Serials Department is responsible for seeing that
the appropriate attempts have been made to acquire the material and
for documenting same. This documentation is to be maintained on file
mLJn ^rculatl?n Services Department. The individual staff member
making the copy is responsible for ascertaining that the
documentation is on hand before the copy is made.
b. £ s^cSiJShed rrk.may ** duPlicated for Purposes of preservation
or security or for deposit for research use in another library.
5. Interlibrary Loan Copying
a. Requesting:
S5iS5• ^ fereSting librar^' UP to 5 copies of articles
published m any title within the last five years may be acquired
annually.
(1) Beyond five articles, the. Access Services Department may
choose the following options:
(a) Attempt to borrow the journal itself.
(b) Pay copyright fees through the Copyright Clearance
Center, when permitted.
(c) Purchase the article through a commercial document
delivery vendor (copyright fees are included in the cost
of the document).
(d) Refer the request to the appropriate subject librarian
who will consider the title for purchase.
(2) An interlibrary loan photocopy request can be initiated, but
if a decision is made to purchase the title, a copy of the
order must be on file in the Access Services Department before
a photocopy order is placed.
(3) Whenever the situation hampers the procurement of an item
requested on interlibrary loan, the patron should be thoroughly
apprised of the problem.
(4) In addition, the Access Services Department is responsible for:
(a) maintaining the file needed to determine if the request
falls within the copy limitation (The file must be
maintained for four calendar years.);
(b) seeing that all requests sent to other libraries bear a
statement that the request is in compliance with the
copyright law;
(c) stamping the copyright warning on all request forms and
on the copies themselves when received;
(d) posting the appropriate warnings of copyright at all
stations where interlibrary loan requests are accepted.
b. Lending:
If the item requested was published within the past five years, it
is the Access Services Department's responsibility to honor only
requests which include a statement that the request complies with the
copyright law.
6. Copies of Audiovisual Materials
Copies of audiovisual materials will not be made for users, but staff
will show users how to operate the equipment.
7. Copying with Permission of the Copyright Owner
Sections 1-6 are concerned with the copying that can be legally done
without obtaining the copyright owner's permission. The Library may not
make copies in excess of the limits stated in the above sections without
the permission of the copyright owner. It is the user's responsibility
to obtain permission of the owner when such permission is needed. When
the user presents evidence of the owner's permission, the Library may copy
within the limits of the permission statement. A copy of the permission
statement should be filed together with the order form. It is suggested
that in requesting permission, the user state the purpose for the copying
and the number o£ copies being requested. The Library does not enter
into any agreement with a vendor concerning the use of the copyrighted
material without the approval of the Director of University Libraries.
SOURCE OF AUTHORITY: 17 U.S.C. section 101 et seq., CONTU Guidelines, Vice
President for Academic Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Director of University Libraries, General Counsel
FORMS: None
INSTRUCTOR-GENERATED MATERIALS A.22.1
Original Implementation: September, 1990 '
Last Revision: July, 1998
"Instructor-generated materials" generally refers to coursepacks or other such class materials
which are intellectual property compilations and are intended for sale. They are not merely
handouts, copies, textbooks, or trade books published by a commercial or university press.
Copies of handouts distributed in class are provided to students and paid for by course fees.
Published textbooks or trade books must be sold through bookstores. Under no circumstances,
may faculty members sell instructor-generated or other academic materials directly to students.
Instructor-generated materials must be favorably reviewed and approved by an appropriate
review committee within the faculty member's department and by the dean of the college
involved. The instructor-generated materials may then be sold through the University bookstore
or off-campus vendors.
The University and faculty member(s) will negotiate a royalty agreement in advance of the sale of
instructor-generated materials in the University bookstore to properly compensate the faculty
member(s) for their time, effort, and intellectual property, unless it was a work made for hire.
See University Policy, D-20, Intellectual Property. Instructor-generated materials sold by off-campus
vendors may not inure any royalties or other financial benefits to the individual faculty
member(s).
The faculty member(s) shall retain the right to edit and amend their intellectual property as
necessary, subject to a department/college review, to determine whether the general quality of
scholarship renders the material suitable for sale. No departmental/college review may infringe
upon the academic freedom of the faculty member(s) who created the instructor-generated
materials.
The General Fair Use Guidelines as described in Policy A-12 are applicable to instructor-generated
materials. Copyright notices, appropriate citations and attributions should be included.
The faculty-staff member who compiles the instructor-generated materials shall be responsible for
complying with these guidelines. Permission must be obtained for materials that will be
repeatedly used by the same instructor for the same class. Using a commercial copy shop does
not necessarily relieve the creator of instructor-generated materials of liability, unless the Fair Use
Guidelines are followed or the copy shop pays appropriate royalties. Campus copy centers are
not permitted to copy such materials, unless these guidelines are followed.
SOURCE OF AUTHORITY: President, Vice President for Academic Affairs
CROSS REFERENCE: Faculty Handbook, University Policies D-20, Intellectual
Property and A-12, Copyrighted Works Reproduction
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
/-■
INSTRUCTOR-GENERATED MATERIALS
Original Implementation: September, 1990
Last Revision: None
The sale of instructor-generated materials must occur through the University
bookstore, be under the auspices of the faculty member's department, and the
proceeds must be deposited in an appropriate University account to be
administered through proper channels. Faculty members may not sell instructor-generated
or other academic materials directly to students. This provision'
does not apply to textbooks or trade books published by a commercial or
university press. All copyright laws must be observed.
If the faculty member is to receive a royalty from the sale of required
instructional materials purchased by students at SFASU, a favorable review of,
and written permission for, the use of those materials must be obtained from
an appropriate review committee within the faculty member's department and from
the dean of the school involved.
SOURCE OF AUTHORITY: President, Vice President for Academic Affairs
CROSS REFERENCE: Faculty Handbook
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
Performance Evaluation of Tenured Faculty A-37.1
Original Implementation: August 26,1997
Last Revision: October 14,1997
Purpose
The evaluation of faculty performance at Stephen F. Austin State University is a long standing practice. The
Policy for Performance Evaluation of Tenured Faculty at Stephen F. Austin* State University broadens the
scope of previous University policies relating to faculty evaluation. This policy increases the available options
for addressing the performance measures of tenured faculty. When obtained according to this policy, the
results of the evaluation of a tenured faculty member may be used to support personnel decisions relating to
commendations, suggestions for improvement, and when required, counseling of a faculty member whose
evaluation shows the necessity for a professional development plan designed to address deficits in
performance. A faculty member who satisfactorily meets the conditions of the professional development plan
ends participation in the plan. If after a specified period of time the faculty member has not fulfilled the goals of
the plan, dismissal procedures may be initiated in accord with University policy.
Academic Freedom and Responsibility
Stephen F, Austin State University regards academic freedom as critical to the maintenance of a positive
scholastic atmosphere where free exchange of thought is encouraged, where faculty and students alike enjoy
the opportunity to broaden their knowledge and where one's full potential can be realized. We therefore adhere
to the statement on Academic Freedom and Academic Responsibility as articulated in the Faculty Handbook.
Evaluation & Criteria
For the purpose of assessing performance of tenured faculty, each academic unit has developed criteria for
categories of performance, under the guidelines of policy E-20A. "Faculty Evaluation, Merit Pay, Promotion
and Tenure". Tenured faculty in each department shall be evaluated annually for "teaching,
performance/scholarly/creative activity, and service" (E-20A). Peer review will be included within the
evaluation process to the extent required by law.
When a faculty member receives a satisfactory annual review, the evaluation process is concluded. The faculty
member may then be considered for merit and/or promotion.
A single unsatisfactory review results in a consultation with the academic unit head. When a tenured faculty
member receives two unsatisfactory annual evaluations within any three year period, a comprehensive
professional review will be initiated. Regardless of the format used for performance evaluation of tenured
faculty, all forms must include a check off as follows:
Satisfactory
Unsatisfactory
The evaluator must definitively check one of these blanks.
Professional Review & Development Plan •
The purpose of the professional review is to identify and place on record the deficiencies in performance and to
formulate a specific professional development plan aimed at addressing the deficiencies. The professional
review begins with the academic unit director notifying the faculty member that he/she is subject to
professional review. As part of the process the director will inform the faculty member of the procedures for
the review. The faculty member can request that the review process be conducted by the academic department
director or by a committee constituted according to procedures established in each College.
The reviewer(s) will consider the two previous unsatisfactory evaluations of the faculty member and
recommend a specific development plan to the unit director within sixty days. The development plan will
specify the deficiencies that are being addressed and what steps the faculty member needs to take to remediate
the performance deficiencies according to a timeline. The development plan will be given final review by the
unit director, the dean/librarian, and the faculty member. A final plan should be the collaborative effort of the
three parties and should seek to benefit both the faculty member and the university. It is expected that all parties
involved in the process of implementing a specific development plan will work in good faith. The annual
evaluation process prescribed in University Policy E-20A is suspended while a faculty member is under
professional review.
All professional development plans are formed to address specific situations and may vary from one plan to
another. However, each professional development plan should include the following: 1) specific deficiencies to
be addressed in the plan; 2) specific objectives needed to remediate the named deficiencies; 3) a list of activities
to be carried out to achieve the required outcomes of the professional development plan; 4) a schedule of
deadlines for completing the activities; 5) criteria that will be used to assess progress; 6) a plan for periodic
documented assessment to be conducted at least annually. Assessment documentation must include a statement
of progress prepared by the faculty member and a formal written response by the evaluator(s). The university
will provide reasonable support for the professional development plans within available resources.
At the completion of the schedule stated in the plan, the unit director will make a final report to the faculty
member, the review committee, and the dean/librarian. If the director and the dean/librarian agree that the
faculty member has successfully completed the development plan, then the faculty member will be notified of
the positive outcome. If the unit director and dean/librarian determine that the faculty member has failed to meet
the goals of the professional development plan, dismissal proceedings may be initiated under University policy
E-50A. Failure to adhere to the professional development plan is considered grounds for dismissal if the
deficiencies specified in the plan are of a sufficient magnitude to constitute cause for dismissal under university
policy.
Appeal
At any point in the process a faculty member may enter an appeal under university grievance procedures if the
faculty member feels that the policies are being unfairly applied. In congruence with Policy E-50A. "Tenure",
the burden of proof is on the university to demonstrate that an annual review of tenured faculty is
unsatisfactory by departmental standards.
A faculty member subject to termination on the basis of evaluations conducted under this policy will receive
specific written reasons for the terminations and have the opportunity for referral of the matter to a non-binding
alternative dispute resolution process as described in Chapter 154, Civil Practices and Remedies Code. The
opportunity for non-binding alternative dispute resolution will be available only after all internal appeal
procedures are exhausted.
Source of Authority: General Appropriations Act, Article III, Sec. 42, Board of Regents; President; Vice
President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
SATISFACTORY ACADEMICTROGTXESS Satisfactory Academic Progress for
Financial Aid Recipients A-40
Original Implementation: September, 1985
Last Revision: Hem July 14, 1998
Tn nrdnr tn nny fimjg adminictcrcd by the Office of Fi : Stephen F;
tory academic
Aimtin Stntn TTimm b sidered to b ald
progress toward an eligible dc rtification. Thostudc amic record will
: previously be used to dotormine satisfaet* ■4k
received financial aid. Satiofa and of each
semester for grado point- ,d annually for accumlativo hour:
Continuing student!: deredtob
if tho following requirements are mot:
■* Thostuc
amic progress
defined in tho
d credit hours
University's General Bulletin.
iduato student f&
as follows:
ACADEMIC
_ TOTAL
CUMULATIVE
PROGRESS PERIOD HOURS
- HOURS PER
ACADEMIC PERIOD
lstyoar 2 semesters
2nd year 4 semesters
-30- -30
40-
3rd year 6 somoston
—30
-*- -84- -34-
5th year 10 34-
6th year 12 430- -34
No further fii il aid will b rgraduato students who havo
iploted 12 school at SFASU will not bo
considorod as a portion of this 12 limit. This will allow students to
use SFASU i malco up credit hour
deficiencies.
Tho graduate student itisfaotorily comploted crodit hours as
ows:
TOTAL
ACADEMIC CUMULATIVE
PROGRESS PERIOD
HOURS PER
HOURS ACADEMIC PERIOD
1st year 2 somostors
2nd yoar 1 somootoro
IS
3rd y 6 somostors
j£
4th ye t
No furthor financial aid wfl b ded to grad ho have
loted 8 t 60 h chool will not be
sidered tion of this 8 Th tudenL, lu
SFASU chool ll o nialu up ut Jit
sew defioionoios.
Entering fresh t ill b to bo malrin
satisfactory acad c progr
standing (not on probation).
if accepted fo ll SFASU in
Transfer studonts will b dered to b olt g demic 4£
accepted for onrollmont at SFASU in good standing (
successffullll ts th t l.b. ab
ry academic progress
probation), and
qui
above, as a graduate, based on transferred hours.
Returning studonts will bo c
dergraduate, or in I.e.
dered to b tisfa demic
accepted fo t SFASU d ding (
progres
t probation), and
succoGsflilly moots th q ts in l.b. ab dergraduate, or in I.e.
-abovo, as a graduate, basod on completed hours.
Post graduate studonts will b dered to b ak factory acado
progress if accoptod fo ll
mio
t to SFASU in good standing ( bation),
* completing 12 h tisfactorilyy each of his/h
approved dogroo plan showing intent t
h
g (not on pro
s, and submits an
d undorgraduato dogroo or
teaching certificate.
Part timo studonti t al t factory
Enrollment standards will bo dot od prop
ic progress roquiromonts.
ely on an individual basis.
Crodit hours will b dered to bo satisfactorily complotod if ono of tho following
grades is earned for those h AA,BB,CC,DD,orPP. CCrdodiit hho urs will not bo
deludes
considered to bo satisfactorily complotod if tho grado oarnod for thoso hours
F
y p
F, W, WH, WF or WP. No credit d fo dial or non credit
■coursQwork will b
■ withdraw from tho U
satisfactory p
ierod to bo satisfactorily complotod. Studonts who
d aro l d d, st still maintain
including th t f withdr al. (If a graduate student
receives a WH for Thesis R
attomptod duo to tho length of ti
ch, tho h ill not bo counted as hours
A student who has boon dot
dod to comploto this requirement.)
d not to h
progress bo granted
de satisfactory acadomic
dditional semester of financial aid eligibility.
Appropriate) documentation will bo placed into tho student's file. The? student will bo
advised by letter that his/her academic records dooc not reflect satisfactory academic
progress and that he/she has boon Placed on financial aid probation. If after thia
"warning semester" of financial aid probation the student has not demonstrated
satisfactory—academic progress, no additional aid will bo disbursed to him/her until
he/sho can again moot tho minimum satisfactory progress requirements. For purposes
«* receiving financial aid, tho two summer sessions may bo combined to servo as thu
probation poriod.
If n student is classified on academic suspension, or hn- twn or more ncmculm, uf
consecutive academic probation, financial aid can not bo awarded to him/hor until
h/h
p
he/she can again achieve good academic standing. Returning undorgraduato
who loft SFASU on probation or suspension and are roadmittod on probation
«* suspension, will not bo granted an additional semester of financial aid eligibility
unless tho student achieved a 2.0 for at loast one long somestor of full timo
attendance at another accredited college university. After this grace semester, tho
student must moot tho requirements is l.b.
^ If a student wishes to appeal a decision regarding his academic progress, ho/sho will
need to submit an application (form available in Financial Aid) for appeal to tho
Director of Financial Aid. If further appeal is nocossary, a written appeal must bo
submitted to tho Financial Assistance and Scholarship Committee.
For a student to be eligible to receive federal student assistance at SFASU, the student must
maintain satisfactory progress in the course of study being pursued as described below:
* All students must be enrolled in degree or teaching certificate program.
* Newly enrolled undergraduate students must be admitted "in good standing" with
SFASU Admissions.
* Students who have re-entered SFASU should not be on academic probation.
* Students receiving financial aid must maintain satisfactory progress toward completion
of their respective degree in order to remain eligible for student aid funds. A maximum
number of attempted credit hours is set for each degree goal.
* Satisfactory progress bases full-time, 3/4 time, 1/2 time or less than 1/2 time enrollment
on the number of hours in which the student enrolled as of the university census date for
each semester.
* Satisfactory progress considers all coursework including withdrawals, incomplete and
failures.
CREDIT HOUR ACCUMULATION
The following are three categories for attendance, the number of credit hours a student
must complete each academic year, and the maximum number hours attempted for degree
completion. The stated maximum allowable hours at each level of study (Bachelors, Post-
Baccalaureate, Masters andPhD.) are for all students regardless of the number of changes
in major or concentration. The student's entire academic record at SFASU (including
prerequisite courses) is used to calculate the maximums. Course work transferred to
SFASU will count toward the allowable number of maximum credit hours.
Enrollment Status at
University Census
Enrollment Status,
Based on Semester
Hours
Number of Credit
Hours Which Must
Be Completed per
Semester
Maximum Number of
Credit Hours by Date
Degree Objective
Full-Time Student:
Undergraduate
Post-Baccalaureate
Graduate: Masters
MFA & MBA
PhD.
3/4 Time Student:
Undergraduate
Post-Baccalaureate
Graduate: Masters
MFA & MBA
PhD.
1/2 Time Student (or
Undergraduate
Post-Baccalaureate
Graduate: Masters
MFA&MBA
12 or more hours
12 or more hours
9 or more graduate
hours
9 or more graduate
hours
9 or more graduate
hours
9 through 11 hours
9 through 11 hours
6 through 8 graduate
hours
6 through 8 graduate
hours
6 through 8 graduate
hours
less)
6 through 8 hours
6 through 8 hours
5 graduate hours
5 graduate hours
10 credit hours*
10 credit hours*
7 credit hours*
7 credit hours*
7 credit hours*
7 credit hours*
7 credit hours*
6 credit hours*
6 credit hours*
6 credit hours*
6 credit hours*
6 credit hours*
5 credit hours*
5 credit hours*
195 semester hours*
36 semester hours*
54 semester hours*
90 semester hours*
50 semester hours*
195 semester hours*
36 semester hours*
54 semester hours*
50 semester hours*
50 semester hours*
195 semester hours*
36 semester hours*
54 semester hours*
50 semester hours*
* Credit hours will be considered to be satisfactorily completed if one of the following
grades is earned: A, B, C, D or P. Grades ofF, W, WHf WF or WP are not satisfactory. If
a graduate student receives a WH for Thesis Research or Thesis Writing, the hours will
not be counted as hours attempted due to the length of time needed to complete this
degree requirement.
* If you withdraw from the university prior to the end of the semester, it may affect your
eligibility for future financial assistance.
GRADE POINT REQUIREMENTS (GPA)
In addition to the above, to be eligible to receive financial aid:
*All undergraduates must have and maintain a cumulative GPA of 2.0 or better.
* Graduate students must maintain a cumulative GPA of 3.0 or better.
Note: Students who are admitted to Stephen F. Austin State University at a non-degree,
provisional (except graduate students will be given one semester to remove provisional
status), transient, summer prep or career interest or self improvement, or if on academic
probation, will not be eligible to receive financial aid. When the student is admitted to a
degree program, or special student status is changed, or probation status is removed, an
eligible student may then apply for financial aid. Credit hour accumulation and GPA will
be checked for compliance at the end of each semester. Students who are not making
satisfactory progress will be allowed to receive financial aid for a (grace) semester.
Students who are not in compliance after the grace semester are not eligible for assistance
until they have successfully completed one semester of academic course work which meets
the credit hour and GPA standards as indicated above. Students who are not making
satisfactory academic progress may file a written appeal to the Financial Aid Office.
Appeals will then go before a committee for review and all students will be notified of their
decision in writing. Appeals should include all documentation which supports any
mitigating circumstances concerning the failure to maintain the expected level of
satisfactory progress. All decisions made by the committee are final. Students have thirty
(30) days after grades are posted to file an appeal with the Financial Aid Office.
SOURCE OF AUTHORITY: Vice President for Academic Affairs Vice President for
Business Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Vice President for Academic Affairs Vice President for
Business Affairs, Director of Financial Aid
FORMS: None
' Delete Policy B-10
Griffith fine arts center Information is now
Original Implementation: May, 1987 •• incorporated in B-28
Last Revision: None
111 llllASit°nS f ^ ?°liCy f°r USS °f University Facilities govern the use of
all buildings, facilities, equipment and grounds, hereinafter referred to as
facilities, under the control of Stephen F. Austin State University That
policy provides that the University may establish additional procedures for the
reservation and use of specific facilities; therefore, the following
provisions apply to the Griffith Fine Arts Center.
The Griffith Fine Arts Center is an academic and performing arts facility of
Stephen^. Austin State University. The multi-arts complex contains Turner
™«Onf'4^ galier^es' two lab theaters, technical shops, classrooms, design
areas and offices of the School of Fine Arts and Department of Theatre Spaces^
within the complex are assigned either School or Department status and
jurisdiction for purposes of space requests and assignments. Those assignments
Room Number Room Name Jurisdiction
Lab Theatre (downstage) Dept. of Theatre
101 I5n m ^reen Room School of Fine Arts
103,120-123 Storage Spaces Dept. of Theatre
ill 194 no Design Studio Dept. of Theatre
114, 124-130 Costume Design Complex Dept. of Theatre
*00 Turner Stage . School of Fine Arts
Turner Auditorium School of Fine Arts
VIP Dressing Room School of Fine Arts
fz' Art Storage & Graphics School of Fine Arts
,J, ,Ji Griffith Art Galleries School of Fine Arts
inn Theatre Offices/Seminar Dept. of Theatre
ivi Lab Theatre (upstage) Dept. of Theatre
tj. Classroom Dept. of Theatre
iJt Dance Studio Dept. of Theatre
ZZ* Classroom/Lecture Hall Dept. of Theatre
^rr Multi Media Arts Dept. of Music*
ill Organ Studio School of Fine Arts
*„ Tech Rooms School of Fine Arts
Department of Music office is located in room 204 in the Music Building.
equipment allocated to departments within the School of Fine
reserved through the respective departmental offices. Requests
L# 3HQ COIlf lrmati On O"F roeortrahinne mi!«■»*- "U^* «•.« —— ^ J "Svr f-V»
SOURCE OF AUTHORITY: Board of Regents, President, Vice President for
Administrative and Fiscal Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Dean of the School of Fine Arts
FORMS: None
Kennedy Auditorium Index B-16
Original Implementation: September 1,1975 Page 1 of 1
Last Revision: None
The provisions of the policy for Use of University Facilities govern the use of
all buildings, facilities, equipment and grounds, hereinafter referred to as
facilities, under the control of Stephen F. Austin State University. That
policy provides that the University may establish additional procedures for the
reservation and use of specific facilities; therefore, the following provisions
apply to the Kennedy Auditorium.
Reservations for the Kennedy Auditorium must be made with the Dean of the
SekoeirCollege of Sciences and Mathematics.
1. No event is scheduled for which an admission fee is charged.
2. Verification is required from the University Center that no space in the
University Center is available prior to allowing student organizations to
use the Kennedy Auditorium.
3. The University is not responsible for items left in the auditorium.
4. It is the responsibility of the person making the reservation to obtain
needed equipment such as a podium, projector, public address system, etc.
5. Persons reserving the auditorium will be responsible for keeping the
facility clean and for any damage.
6. No materials are to be taped or in any way affixed to the walls, doors
(interior or exterior), chalkboards or screens.
Violation of the above regulations will result in denial of future use.
Source of Authority: Board of Regents, President, Vice President for
Administrative and Fiscal Business Affairs
Cross Reference: None
Contact for Revision: Dean of the Seb&el-College of Sciences and Mathematics
Forms: None
Planetarium Index B 22
Original Implementation: December 10,1987 Paae 1 of 1
Last Revision: August 3,1988 8
The provisions of the policy for Use of University Facilities govern the use of all
SSrSSS1 f^faes, equipment and grounds, hereinafter referred to as facilities, under
the control of Stephen F. Austin State University. That policy provides that the
i.2«?sl?inay*cstaI)!!slla^din'01ial Procedures for the reservation and use of specific
iacmties; therefore, the following provisions apply to the Planetarium.
on the first floor of the Math-Nursing-Planetarium Building
campus. It has a maximum seating capacity of 70. This
The Planetarium offers public programs with a nominal admission fee and programs for
grades pre-kmdergarten through first grade ($35) and grades 3 through 12 ($50)
Payment may be given to the ppl anetarium oppe rator beforee oorr aafftteerr tthheepprrooggrraamm!V
Appointments should be made at least two weeks in advance by calling the SFASU
a^lSKmEtffi56h"?009'fM°n?ay^^Frida*betwe*nthehour' of^30p.m. and 4.30 p.m Dates and times for planetarium programs are limited due to the
ShKSf Pl^fT? °Perators. An appointment must be made for each program,
h l ry must be notified of any change in plans School
p pg ited due to the
program
the planetarium s scheduling secretary groups arriving later than 1§ minutes \vill be canceled due to subsequent Selays uT
setting up and starting the next group's program on time.
When a program is scheduled, the planetarium office will send confirmation of the date
^JSbSSTOS Forseveralprograms.a'Teacher'sGuide-isavailable '
especially designed for pre-school through first grade students are
rmation concerning these programs can be obtained from Planetarium
children with shorter attention spans.
Food, drinks, gum, or tobacco products are prohibited in the planetarium, and
disruptive behavior is not tolerated. The planetarium door should not be opened after
d££$^%*A*t*?e±A HashUghte with red filters will be issued to teachers to spot
disorderly students and to escort students out of the chamber in case of emergencies.
Source of Authority: Board of Regents, President, Vice President for '
Administrative and Fiscal Affairs
Cross Reference: None
Contact for Revision: Chairman of the Department of Physics
Forms: None
Foreign Travel Ind C 14
Original Implementation: Unpublished , p*** "f 2
Last Revision: July, 1998 B
S I' °Tffidal University business by Stephen F. Austin State University employees
outside the United States or its possessions, Canada, and Mexico, for which any
rem*ursement is received, requires advance approval of the University President and the
urncoofthcGovunoi or the appropriate vice president in his absence. This applies
regardless of the source of funds, even grant, local or gift funds.
To be approved, foreign travel must be directly related to the University's mission and
must require a duty which cannot be performed without the travel.
Acompleted^ravel Request" form, n memo of justification, aii itinerary (if moic than
oncstop on trip) and a "rcques^er-Gevemnr'n Approval for State Employee* Tiavefog
to foreign Countries" form (in duplicate) must be routed through the appropriate
administrative channels in sufficient time to be ia- approved by the Office of the President
gifciaisrpnor to the date of departure. The memo of justification, itincrai v and
form n^t^n—0^^*^^"1 for StatcEn^leyee»:rFave}«g to Foreign Countrici>"
rorm arctransmittcd to the Governor's Office by the President upon approval. The
1 ravel Request is retained bv tho TVrr.IHmt until tt,n rn,,nrn^f^ npproril \z rcccivcJ.
Source of Authority; V.T.C.S., art. 6823a, aco. 5 Sec. 660.024, TxGovCode, VTCA ;
x i Col Q 6111
Cross Reference: State of Texas Travel Allowance Guide
Contact for Revision: President
Forms: Travel Request, see Index C-37; Request for Governor's Approval fui Sluit
fia^toyeoa Travclfflg^^efeigfl-€ettntHes (both available4a4^aveFsity Printing Serviees)
Order for Disbursement Jnia, c 23
Original Implementation: Unpublished • Paee 1 nf2
Last Revision: July, 1998 *ageiol2
Requests for payment from agency accounts ( 0-9XXXX- Clubs and Fraternal
Organizations) for goods and services are made on an "Order for Disbursement" to be
completed as directed below:
1. Pay to: Enter payee. Include payee's social security or
. vendor identification number, whichever is
applicable.
35. Address: Enter payee's address.
3 5. For: Describe reason for disbursement.
4 6. Charge: Enter aeeetmt-number and name of account being
charged.
* Name: ~ Enter account name.
€ 2. Date: Enter date disbursement is requested.
14. Amount: Enter the desired amount of check.
« 7. Requested by: Signature of person requesting check.
98. Approved: Signature of account manager.
Upon completion of the "Order for Disbursement," it should be submitted to the
Ufflvefsi^B«siRess-OSee- Controller's Office for processing and check preparation.
Source of Authority: Vice President for Administrative and Fiscal Business Affairs
Cross Reference: None
Contact for Revision: University Business Manager Controller
Forms: Order for Disbursement (available in University Business Controller's Office
anaSFA website)
STEPHEN F. AUSTIN STATE UNIVERSITY
ORDER FOR DISBURSEMENT
(PLEASE PRINT)
PAYT0: . ; DATE:
SOCIAL SECURITY NO: ' AMOUNT:
ADDRESS:; '
FOR:
CHARGE: (ACCOUNT NO & NAME)
REQUESTED BY: ' DATE.
ACCOUNT MANAGER:
ACCOUNTS PAYABLE USE ONLY
TYPE: BANK: 00001
INVOICE NO: ENCLOSURE CODE:
DESCRIPTION: VOUCHER NO:
Request to Establish an Account c_34
Original Implementation: Unpublished
Last Revision: August, 1988-July 14,1998
Requests to establish a new account should must be submitted on the "Request to
Establish an Account" fonn. This form, which is oolf explanatory, originates in the
requesting department and should bo is submitted in duplicate) through the proper
appropriate division channels for signaturoo approval, tt iron rr, tho need nnzoc tu
deposit funds into such account. The request is submitted to the Director of Financial
Services after division approval. The Director of Financial Services may approve the
request or obtain the approval of the Vice President for Business Affairs, establish the
account, or forward the request to the Controller to approve and establish the account.
Requests for expenditure accounts must include a detailed budget. No account will be
established until funding for the account is available. No ™»tiH ihmild be collected
funds will be of obligated or expended until the requost is approved account is
established.
The office that assigns the account number will notify the account manager when the
account is ready for use.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Financial Services
FORMS: Request to Establish an Account (available in University Printing Services,
the Controller's Office and the Director of Financial Services' Office)
Investments ' Index C-41
Original Implementation: April 30,1996
Last RevisionrJanuary 20 July 14,1998
Policy Statement
Stephen F. Austin State University invests the public funds in its custody with primary
emphasis on the preservation and safety of the principal amount of the investment.
Secondarily, investments must be of sufficient liquidity to meet the day to day cash
requirements of the University. Finally, the University invests to maximize yield within the
two previously-indicated standards. All investments within this policy conform to all
applicable State statutes and local rules governing the investment of public funds. This
policy is promulgated in accord with the Public Funds Investment Act (Government Code,
Chapter 2256), related portions of the Texas Education Code, and the applicable portions of
H. B. 2459, 74th Texas Legislature.
Scope
This policy establishes rules for the investment of all University and agency funds except
endowment funds. Endowment funds are invested in accordance with separate policy
approved by the Board of Regents and are the responsibility of fund managers selected by the
Board of Regents.
Objectives
The foremost objective of all investment decisions shall be safety of principal. All
investments must be undertaken with the fiduciary responsibility associated with that of a
reasonable and prudent person. Investments must be in accord with Texas law. Investment
maturity must be diversified to match the University's liquidity requirements.
Investments shall incur no unreasonable risk in order to maximize potential income.
Investments shall remain sufficiently liquid to meet all reasonably anticipated operating
requirements.
Investments shall be diversified in order to minimize any risk inherent in the purchase of
multiple securities of the same type or within the same financial institution.
No investments within the portfolio or investment practices conducted to effect investment
activities shall violate the terms of this policy.
Authorized Investments
All University funds and funds held in trust for others may be invested only in the following
securities:
A) obligations of the United States of America, its agencies and
instrumentalities;
B) direct obligations of the State of Texas or its agencies and Instrumentalities;
C) collateralized mortgage obligations directly issued by a federal agency or
instrumentality of the United States of America, the underlying security for which
is guaranteed by an agency or instrumentality of the United States of America;
D) other obligations, the principal of and interest on, which are unconditionally
guaranteed or insured by, or backed by the full faith and credit of, the State of
Texas or the United States of America or their agencies and instrumentalities;
E) obligations of states, agencies, counties, cities, and other political subdivisions of any
state rated as to investment quality by a nationally recognized investment rating firm
of not less that A or its equivalent;
F) certificates of deposit issued by a state or national bank or savings and loan
association domiciled in Texas that is:
1) guaranteed or insured by the Federal Deposit Insurance Corporation;
2) fully collateralized by obligations described in Authorized Investments
section A-E listed above, including mortgage backed securities directly
issued by a federal agency or instrumentality that have a market value of not
less than the principal amount of the certificates, but excluding those
mortgage backed securities of the following nature:
a) obligations whose payment represents the coupon payments on the
outstanding principal balance of the underlying mortgaged-backed
security collateral and pays no principal;
b) obligations whose payment represents the principal stream of cash
flow from the underlying mortgage-backed security collateral and
bears no interest;
c) collateralized mortgage obligations that have a stated final maturity
date of greater than 10 years; and
d) collateralized mortgage obligations the interest rate of which is
determined by an index that adjusts opposite to the changes in a
market index.
G) folly collateralized repurchase agreements with a definite termination date,
secured by obligations described by Authorized Investments section F,
requiring the securities being purchased by the entity to be pledged to the
entity, held in the entity's name, and deposited at the time the investment is
made with the entity or with a third party selected and approved by the entity;
and placed through a primary government securities dealer, as defined by the
Federal Reserve, or a financial institution doing business in this state;
H) bankers acceptances having a stated maturity of 270 days or fewer from the
date of issuance, to be liquidated in foil at maturity, eligible for collateral for
borrowing from a Federal Reserve bank, and accepted by a bank organized
and existing under the laws of the United States of America or any state, if the
short-term obligations of the bank, or of a bank holding company of which the
bank is the largest subsidiary, are rated not less than A-l or P-l or an
equivalent rating by at least one nationally recognized credit rating agency;
I) commercial paper that has a stated maturity of 270 days or fewer from the
date of its issuance, and is rated not less than A-l or P-l or an equivalent
rating by at least two nationally recognized credit rating agencies or one
nationally recognized credit rating agency and is folly secured by an
irrevocable letter of credit issued by a bank organized and existing under the
laws of the United States of America or any state;
J) no-load money market mutual funds regulated by the Securities and
Exchange Commission, having a dollar-weighted average stated maturity of
90 days or fewer, and including in their investment objectives the
maintenance of a stable net asset value of $ 1 for each share;
K) guaranteed investment contracts conforming to Section 2256.015 of the
Government Code;
L) investment pools conforming to Section 2256.016 of the Government
Code;
M) cash management and fixed income funds sponsored by organizations
exempt from federal income taxation under Section 501(f), Internal
Revenue Code of 1986 (26 U.S.C. Section 501(f));
N) Assets and/or funds reportable within the scope of the University's annual
financial report may not be invested in or used to purchase securities,
including obligations, of a private corporation or other private business entity
that owns 10% or more of a corporation or business entity which records or
produces any song, lyrics or other musical work that explicitly describes,
glamorizes or advocates:
(1) acts of criminal violence, including murder, assault, assault on police
officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual
orientation, or religion.
Insurance Or Collateral
All deposits and investments of University funds other than direct purchase of United States
Treasury securities or United States Agency securities and in money market funds invested in
U. S. Treasury or Agency securities shall be secured by a pledge of collateral with a market
value equal to no less than 100% of the deposits or investments less any amount insured by
the FDIC or FSLIC and pursuant to Article 2529d, the Public Funds Collateral Act.
Evidence of the pledged collateral shall be maintained by the University Controller. Eligible
repurchase agreements shall be documented by a specific agreement noting the collateral
pledged in each agreement. Collateral shall be reviewed monthly to assure the market value
of the securities pledged equals or exceeds the related bank balances.
Pledged collateral shall be maintained for safekeeping by a third party depository.
Collateral Defined
The University shall accept only the following securities as collateral:
A) FDIC and FSLIC insurance coverage;
B) United States Treasury, Agency, or Instrumentality securities;
C) Other obligations, the principal of and interest on which are
unconditionally guaranteed or insured by the State of Texas or the United
States of America;
D) Obligations of states, agencies thereof, 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
no less than A or its equivalent.
Investment Strategy
All investments will be made in accordance with the University's Investment Policy.
Investments will be diversified among a variety of investment vehicles as specified in the
section on Diversification. Protection of the portfolio's principal is of primary concern;
however, it is recognized that unrealized losses will occur in a rising interest rate
environment, just as unrealized gains will occur during periods of falling interest rates.
Investments may be categorized and described as:
A) Short Term - less than 90 days
Funds needed to meet short term operating requirements normally will be
invested in either the Texpool investment vehicle managed by the State
Treasurer or overnight sweep accounts established with banking institutions.
The benchmark is the average three month Treasury Bill yield.
B) Intermediate Term - 90 days to one year
United States Treasury and Agency securities, United States Agency Discount
Notes are the primary investment vehicles. United States Treasury securities
are preferable because of their low risk and the ease with which they are
traded. The benchmark is 95 percent of the average one-year Treasury Bill
yield.
C) Long Term - over one year
United States Treasury and Agency securities are the primary investment
vehicles. Normally, investments are laddered so that most principal is
returned over a five year period in increments sufficient to meet anticipated
operating and capital needs. The 30 Year Treasury Bond rate is the
benchmark for long term funds.
D) Maturity
The length of time for investments within this policy will vary according to
fund type and will be dependent on funding requirements. As a general rule,
funds will be invested for the time periods indicated:
Current Unrestricted and
Restricted Funds ' 2 days to one year
Plant Funds 3 months to 3 years
Delegation Of Authority
The Vice President for Business Affairs (VPBA) of Stephen F. Austin State University is
responsible for investment management decisions and activities. The VPBA delegates the
day-to-day management of the investment activities to the Director of Financial Services.
The VPBA shall be ultimately responsible for all transactions undertaken and shall establish
a system of controls (Appendix A) to regulate the activities of officials and staff involved in
investment transactions.
The VPBA shall develop and maintain written administrative procedures and guidelines for
the operation of the investment program which are consistent with and part of this Investment
Policy (Appendix B).
The VPBA shall be designated as the University's investment officer and is responsible for
the duties, outlined herein. The name and title of the investment officer shall be filed with the
Board of Regents. Changes of name and/or title must be filed with the Board of Regents as
they occur.
Decisions requiring security purchases with stated maturity in excess of five (5) years will
require approval of the VPBA and ratification by the Board of Regents.
No officer or designee may engage in an investment transaction except as provided under
terms of this policy as approved by the Stephen F. Austin State University Board of Regents.
Prudence
The "prudent person" standard will be used in the investment function and shall be applied in
the context of individual transactions as well as management of the overall portfolio.
Accordingly, all investments shall be made with judgment and care, under circumstances
then prevailing, which persons of prudence, discretion, and intelligence exercise in the
management of their own affairs, not for speculation, but for investment, considering the
probable safety of their capital as well as the expected income to be derived.
Internal Controls
Stephen F. Austin State University has established a system of written internal controls
designed to prevent loss of public funds due to fraud, employee error, misrepresentation by
third parties, unanticipated market changes, or imprudent actions by employees of the
University. These controls are shown in Appendix A of this Investment Policy. These
controls are subject to the review of and recommendations from the University's Department
of Audit Services office.
Investment Authority
The VPBA shall invest only those funds regulated by this policy and shall purchase only
those securities authorized by the Authorized Investments section of this policy.
Authorized Financial Dealers And Institutions
Transactions (bids and offers) will require competitive bidding by at least three Board
authorized broker/dealers who have fulfilled all compliance requirements of the Board.
Exceptions to this rule require written justification and Board approval.
A written copy of the then current investment policy shall be presented to any individual
offering to engage in an investment transaction with Stephen F. Austin State University. The
qualified representative of the business organization offering to engage in an investment
transaction with Stephen F. Austin State University shall execute a written instrument
substantially to the effect that the business organization has (a) received and reviewed the
investment policy of the University and (b) acknowledges that the business organization has
implemented reasonable procedures and controls in an effort to preclude investment
transactions conducted between the University and the organization that are not authorized by
Stephen F. Austin State University's investment policy..
Securities may not be bought from any organization whose representative has not provided
the University with the acknowledgment required in the above paragraph.
Diversification
Investments shall be diversified to minimize the risk of loss resulting from unauthorized
concentration of assets in a specific maturity, specific issuer, or specific class of securities.
The diversification limits by security type and issuer shall be:
Category Maximum
U. S. Treasury securities and securities having
principal and interest guaranteed by the
U. S. Government 100%
U. S. Government agencies, instrumentalities
and government sponsored enterprises
(excluding mortgage backed securities) 50°/o 0
Mortgage backed securities 25%
Fully insured or collateralized certificates of deposit 30%
Bankers' acceptances 25%
Commercial paper 25%
Repurchase agreements 100%
Registered money market funds 80%
Local Government Investment Pool 100%
The VPBA and his or her designee shall diversify investment maturity. To the extent
possible, investment maturity will be matched with anticipated cash flow requirements.
Matching maturity and cash flow requirements will minimize occasions for sale of securities
prior to maturity, thereby reducing market risk. However, no provision of this policy shall be
interpreted as prohibiting the sale of any security prior to maturity, provided that it is in the
University's financial interest to effect the sale.
The weighted average maturity of the entire portfolio shall be reported in quarterly reports to
the Board of Regents.
Safekeeping And Collateralization
All securities transactions, including collateral for repurchase agreements, but excluding
mutual funds and investment pools, must be settled on a delivery versus payment basis. All
securities shall be held by a third party custodian in the name of the University. The third
party custodian shall be required to issue a safekeeping receipt to the University listing the
specific instrument, rate, maturity, safekeeping receipt number, and other pertinent
information. Any collateral safekeeping receipt shall be clearly marked on its face that the
security is "pledged to Stephen F. Austin State University".
Collateralization shall be required on certificates of deposit and repurchase agreements. The
collateralization level shall be no less than 100% of the market value of the principal and
interest due on these instruments.
Collateral for certificates of deposit and repurchase agreements shall consist of any of the
securities authorized for investment within this policy.
Performance Evaluation
The VPBA shall submit quarterly reports to the Board of Regents through its Finance
Committee and the President of the University in the format prescribed by the Public Funds
Investment Act, within a reasonable time after the end of the quarter.
The reports must:
(A) describe in detail the investment position of the University on the date of the
report;
(B) be prepared by the investment officer(s) of the University;
(C) be signed by the investment officer(s) of the University;
(D) contain a summary statement prepared in compliance with generally accepted
accounting principles of each pooled fund group that states the
(1) beginning market value for the reporting period;
(2) additions and changes to the market value during the period;
(3) ending market value for the period; and
(4) fully accrued interest for the reporting period;
(E) state the book value and market value of each separately invested asset at the
beginning and end of the reporting period by the type of asset and fund type
invested;
(F) state the maturity date of each separately invested asset that has a maturity
date;
(G) state the account or fund or pooled group fund for which each individual
investment was acquired; and
(H) state the compliance of the investment portfolio of the University as it
relates to the relevant provisions of the Public Funds Investment Act.
Training
The VPBA and Director of Financial Services are required by Section 2256.007(a) of the
Government Code to attend at least one session of investment training not later than March 1,
1996, and, as appropriate, periodically thereafter.
Audits
The University's Department of Audit Services office shall conduct annual compliance audits
of management controls on investments and adherence to the University's investment policy
and report the results to the President and VPBA and the State Auditor's Office. In addition,
the Department of Audit Services shall annually review the quarterly investment reports, and
report the result of the review to the governing body.
Investment Policy Adoption And Certification
Upon adoption by the Stephen F. Austin State University Board of Regents, the University's
investment policy shall be reviewed annually to ensure current applicability and significant
modifications thereto submitted to the Board of Regents for approval.
Source of Authority: Board of Regents, Stephen F. Austin State University
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms: None
APPENDIX A
INTERNAL CONTROLS
The University has prepared an Investment Policy as of April 12, 1996. The policy was
approved by the Board of Regents April 30,1996.
The Investment Policy will be reviewed and/or updated no less than annually.
All pledged securities shall be held by a third party custodian in the name of the University.
A safekeeping receipt will be issued to the University listing the specific instrument, rate,
maturity, safekeeping receipt number, and other relevant information.
The signature of the President, VPBA, or Director of Financial Services is required for
release of pledged securities from safekeeping.
The Controller's Office will reconcile the appropriate investment accounts to broker's
statements and other supporting documents monthly. All wire transfers, check transfers, or
other bank items are transmitted to the bank by someone other than the person preparing
them.
All purchases of securities from and deposits of funds to or withdrawals of funds from
Texpool require the signature of the VPBA, and either the Director of Financial Services or
the Controller.
APPENDIX B
ADMINISTRATIVE PROCEDURES
The Director of Financial SomiceGBursar's Office -will monitor investments andmaintain a
daily list of cash balances held in depository bank accounts on a weekly basis.
The Controller will provide) cash flow projections and will monitor and report cash
requirements to tho Director of Financial Sendees. Such needs wall be initially dotormine4^
the beginning of the fiscal year and wdll be modified, as necessary, throughout tho year.
The Director of Financial Sendees will review tho level of investments, cash balances, and
cash requirements and make necessary adjustment