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Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas January 15,2002 Volume 179 TABLE OF CONTENTS Page 02-04 Birdwell/Telecommunications Construction Project 1 02-05 Approval of Consent Agenda Items 1 Approval of October 23, 2001 Minutes 1 Faculty and Staff Appointments for 2001-02 1 Changes of Status 2 Voluntary Modification of Employment 3 Underenrolled classes 3 Last Class Day Report 3 Faculty Workload Report for Fall 2001 3 Selection of Investment Manager 3 Resolution to Review Qualified Investment Brokers and Financial Institutions 3 Budget Changes Less Than $50,000 3 Outdoor Pool Repair . 3 Air Handler Replacement - Norton and Rusk Buildings 4 Poultry Science Facility 4 Ferguson Building Renovation 4 Resolution to Acknowledge Review of Investment Policy and Strategy 4 Policy Revisions 4 Reports 4 A. Chair, Faculty Senate B. Vice President - Alumni Affairs D. Kolar Advertising and Marketing E. President Appendix No. 1 - Resolution Approving Financial Institutions and Brokers for Investment Transactions Appendix No. 2 - Budget Changes Appendix No. 3 - Resolution to Acknowledge Review of the Investment Policy and Strategy Appendix No. 4 - Policy Revisions A-02 Academic Appeals by Students PI A-10 Class Attendance and Excused Absence P3 A-l 1.5 Conflict of Interest in Sponsored Activities P4 A-31.5 Misconduct in Research P10 A-32 Non-Credit Continuing Education P19 A-36 Out-of-State Travel/Study P26 A-38 Regents Professors P30 A-46 Underenrolled Classes P31 A-48 Student Evaluation of Instruction P33 A-54 Semester Grades P34 B-04 Camp and Conference Reservations P36 B-06 Energy Conservation P48 B-21 Physical Plant Charges P49 B-30 University Vehicles (Rental & 15 Passenger Van) P50 B-31 Vehicle Repair/Maintenance P57 B-33 Fleet Management P58 C-17 Memberships P60 C-18 Interagency Contract P61 C-19 Interdepartmental Transfers P63 C-20A Local Purchase Authority P64 C-26 Proprietary Purchases P68 C-28 Purchase of Surplus Property... P69 C-29 Purchase of Used Equipment or Supplies... P72 C-31 Purchase Voucher P73 C-41 Investments P74 D-20.5 Items Requiring Board of Regents Approval P84 D-39 University Publications.. P88 D-43 Computing Software Copyright P90 E-01A Academic Appointment and Titles P91 E-l 3 A Duties and Responsibilities of Offices Reporting to the Vice President for Academic Affairs P93 E-26A Guarantees Relating to Matters Other Than Termination and Non-Renewal of Contracts P98 E-30N Leave of Absence - Non Academic P100 E-36 Overtime and Additional Compensation P104 E-37A Part Time Faculty P106 E-48A Summer Contracts P108 E-58 Family and Medical Leave P109 E-59 Selection of Academic Deans PI 14 F-7 Central Stores PI 16 F-36 Administrative Systems Software Changes PI 18 F-37 Computer System Access PI 19 F-38 Restart and Recovery P123 MINUTES OF THE MEETING BOARD OF REGENTS STEPHEN F. AUSTIN STATE UNIVERSITY NACOGDOCHES, TEXAS JANUARY 15,2002 The meeting was called to order at 9:05 A.m. by Chair Mike Enoch. Board members present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike Enoch, Gary Lopez, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf. Others present in Board Room 307: Tito Guerrero, Janelle Ashley, Scott Beasley, Baker Pattillo, Miles McCall, Roland Smith, Yvette Clark, and other SFA administrators, staff, and visitors. 02-04 Upon motion of Regent Wilhite seconded by Regent Roberds, with all members voting aye, it was ordered that the University be authorized to proceed with the Birdwell/Telecommunications project using proposed Site 1, the Power Plant I Renovation, and the campus infrastructure improvements as approved by HB 658 of the 77th Legislature. The projects will not exceed $16,657,090 which includes $14,070,000 from Tuition Revenue Bonds and $2,587,090 in HEAF or other funds pledged by the University to match the Tuition Revenue Bond funds. The administration is authorized to seek Coordinating Board approval of the projects and to sell tuition revenue bonds through the Texas Public Finance Authority to finance the projects and that the chairman of the Board and/or the President be authorized to sign the necessary contracts, documents, and resolutions as required. 02-05 Upon motion of Regent Lopez, seconded by Regent Butler, with all members voting aye, the following consent agenda items were approved: Approval of the minutes of October 23, 2001 Faculty and Staff Appointments for 2001-02 1. Admissions Mr. Scott A. Hescht, Admissions Media Coordinator, at a salary of $26,744 for 100% time for twelve months, effective November 26, 2001. Ms. Sharon T. Swindell, Admissions Regional Coordinator, at a salary of $26,744 for 100% time for twelve months, effective October 22, 2001. 2. Social Work Dr. Michael O. Doughty, Assistant Professor, Ph.D. (University of Texas- Austin), at a salary of $42,000 for 100% time for nine months, effective January 1,2002. Dr. Peter T. Simbi, Professor, Ph.D. (University of Minnesota), at a salary of $62,900 for 100% time for nine months, effective January 1,2002. 3. Liberal Arts, Dean s Office Ms. Jennifer Videtto, Director for the Center for Academic Advising, MBA (University of Louisville), at a salary of $35,000 for 100% time for twelve months, effective January 1, 2002. 4. Athletics Mr. Michael Santiago, Head Football Coach, state mandated 4% raise, effective September 1,2001. Mr. Jerrell Mark Bradley, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective February 1,2002. Mr. Robert Kim Dameron, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Kevin Goodwin, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Todd Ivicic, Assistant Coach and Instructor of BCinesiology, state mandated 4% raise, effective September 1,2001. Mr. Robert Walker, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Kenny Washington, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. 5. University Advancement Dr. Jerry E. Holbert, Vice President, at a salary of $112,000 for 100% time for twelve months, effective February 15, 2002. Changes of Status 1. Student Affairs Mr. Steven Westbrook, from Director of Student Activities, at a salary of $58,068 for 100% time for 12 months, to Director of Student Affairs, at a salary of $70,630 for 100% time for 12 months, effective November 1,2001. Ms. Beverly Farmer, from Associate Director of Student Activities, at a salary of $44,129 for 100% time for 12 months, to Associate Director of Student Affairs, at a salary of $48,129 for 100% time for 12 months, effective November 1, 2001. Mr. Michael Preston, from Program Advisor, at a salary of $30,400 for 100% time for 12 months, to Assistant Director of Student Affairs, at a salary of $39,000 for 100% time for 12 months, effective November 1, 2001. 2. University Advancement Dr. Scott Beasley, from Interim Vice President for University Advancement and Dean, College of Forestry, at a salary of $120,054 for 12 months to Dean, College of Forestry at a salary of $108,054 for 12 months, effective February 15, 2002. Voluntary Modification of Employment 1. Dr. Jerry N. Lackey, Psychology, effective September 1, 2002. Leave of Absence 1. Art Mr. Donald Beason, leave with pay, effective January 1, 2002. UnderenroIIed Classes It was ordered that the Chair of the Board be authorized to sign the official report for Spring 2002 when the data is available. Last Class Day Report It was ordered that the last Class Day Report for the Fall semester, 2001 be approved as presented. Faculty Workload Report for Fall 2001 It was ordered that the faculty workload report for the Fall semester, 2001 be approved as submitted at the meeting. Selection of Investment Manager It was ordered that Merrill Lynch be named as Investment Manager. Resolution to Review Qualified Investment Brokers and Financial Institutions It was ordered that the Resolution Approving Financial Institutions and Brokers for Investment Transactions be approved as presented. The following brokers/investment managers are listed in the resolution, submitted in Appendix No. 1: Merrill Lynch Inc., Salomon Smith Barney Inc., Southwest Securities Inc., Regions Investment Co./Morgan Keegan, Bank of New York, Prudential Securities Inc., Paine Webber, and Fayez Sarofim. The following financial institutions are also listed in the resolution for review and approval: Citizen's First Bank, Commercial Bank of Texas, First Bank and Trust, Bancorp South Fredonia, Regions Bank Stone Fort, and Texas Bank. Outdoor Pool Repair It was ordered that the University be authorized to make the required repairs to the outdoor pool and that the President be authorized to sign the necessary contracts and purchase orders. The Physical Plant will serve as general contractor for the project. Cost not to exceed $90,000. Air Handler Replacement - Norton and Rusk Buildings It was ordered that the University be authorized to replace the air handlers in the Lucille Norton Building and the Rusk Building, with the Physical Plant acting as general contractor, and that the President be authorized to sign the necessary contracts and purchase orders. Funds are from the FY-2002 HEAF allocation and will not exceed $140,000. Poultry Science Facility It was ordered that the Board of Regents authorize the President to investigate financing options for the construction of four state-of-the art broiler houses to be erected on a site at the Walter Todd Beef Farm. Such options may include, but are not necessarily limited to, operating leases, facility leases, lease-purchases, or gifts. The President is authorized to investigate the possibility of combining financing options to achieve the desired goal of 100% external funding of the construction project. Ferguson Building Renovation It was ordered that existing space in the Ferguson Liberal Arts Building be renovated to provide suitable space for the Dean of Liberal Arts and the Academic Advising Center. The Physical Plant Department will act as general contractor for the project, with a cost not to exceed $85,554 and the source of funds to be HEAF. The President will be authorized to sign all necessary purchase orders and contracts. Resolution to Acknowledge Review of Investment Policy and Strategy It was ordered that the Board ratify the Resolution to Acknowledge Review of the Investment Policy and Strategy as presented in Appendix No. 3. Policy Revisions It was ordered that the policy revisions be approved as presented. REPORTS A. Faculty Senate Chair, Dr. Joe Devine 1. Salary concerns 2. Academic standards and admissions policy 3. Retention rate 4. Intellectual Property and Policy D-20 B. Vice President for Alumni Affairs, Dr. Miles McCall 1. Update on Mentor Ring Program C. Kolar Advertising and Marketing 1. Update on Marketing Plan D. President, Dr. Tito Guerrero 1. Meetings with School Superintendents and Community College Presidents 2. Meeting with Governor Perry 3. Board of Visitors, Air University, Maxwell Air Force Base 4. Exploration of Possible Collaborations with State of Chihuahua 5. Interior Design Accreditation Team Visit 6. Meeting with Ping Log Editorial Board 7. Meeting with Residents of Pine Crest Retirement Community 8. Meeting with Members of Board of Angelina College 9. Spoke at Angelina County Chamber of Commerce First Friday Forum 10. Dinner with Board Members of SFA Alumni Foundation and SFA Alumni Association at President's Home 11. Scheduled to Speak at Martin Luther King Day Event 12. Student Recruitment in Corpus Christi 13. Meeting with Texas Superintendents at Mid-Winter Conference in Austin 14. Student Recruitment in Houston 15. Meeting with Personnel Affiliated with the W. K. Kellogg Foundation and Rose Bruford College 16. Meeting with Texas Band Directors at TMEA Meeting in San Antonio 17. Scheduled to Speak at Nacogdoches Chamber of Commerce Fourth Friday Luncheon 18. Answer Questions from Members of the Board of Regents Meeting adjourned at 10:55 a.m. Appendix No. 1 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION APPROVING FINANCIAL INSTITUTIONS AND BROKERS FOR INVESTMENT TRANSACTIONS WHEREAS, The Texas Public Funds Investment Act requires the University to submit a resolution approving a list of qualified investment brokers to the governing body of the institution for adoption and/or review; and WHEREAS, the following firms are approved investment brokers: Bank of New York Merril Lynch, Inc. Regions Investment Company, Inc/Morgan Keegan Salomon Smith Barney, Inc. Southwest Securities, Inc. Fayez Sarofim Inc. Prudential Securities, Inc. Paine Webber WHEREAS, the following firms are approved financial institutions: Citizen's First Bank Commercial Bank of Texas First Bank and Trust East Texas Bancorp South Fredonia Regions Bank Stone Fort Texas Bank NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this Resolution, does hereby approve the above listed firms for investment transactions by Stephen F. Austin State University; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 15,2002 meeting of the Board. THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY Mike Enoch, Chair Susan Roberds, Secretary Appendix No. 2 Stephen F. Austin State University Schedule of Budget Increases September 27, 2001 to December 13, 2001 ACTIVITY RECIPIENT INCOME SOURCE SOURCE DESCRIPTION AMOUNT Revenue Budget 600 Additional Revenue 16,610 Additional Revenue 3,394 Additional Revenue 23,210 Additional Revenue 2,263 Additional Revenue 15,000 Additional Revenue 6,455 Additional Revenue 15,652 Additional Revenue 11,200 Additional Revenue 4,567 Additional Revenue 1,000 Additional Revenue 4,080 Additional Revenue 4,520 Additional Revenue 1,200 Additional Revenue 15,000 Additional Revenue 5,490 DATE October 9, 2001 October 11,2001 October 16, 2001 October 19, 2001 October 31, 2001 November 9, 2001 November 14, 2001 November 26, 2001 November 12, 2001 December 3, 2001 December 3, 2001 December 3, 2001 December 3, 2001 December 7, 2001 December 13, 2001 December 13, 2001 TOTAL 130,241 Appendix No. 3 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, The Texas Public Funds Investment Act requires that each University s investment policy and strategy must be annually reviewed by the governing board of the institution; and WHEREAS, the law also requires the governing body to adopt a written instrument stating that is has reviewed the investment policy and strategy; NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this Resolution, does hereby approve the investment policy and strategy as reviewed on January 15, 2002; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 15,2002 meeting of the Board. Attest: gk&ta de la GarzajGra^v Kenni FredWulf Appendix No. 4 Policies for Board Review January 15,2002 Appendix No. 4 Policies for Board Review January 15,2002 Appendix No. 4 Policies for Board Review January 15,2002 Academic Appeals by Students A-2 Original Implementation: August 31,1981 Last Revision: January 10,199915, 2002 Good communication between faculty and students will make disputes between them infrequent, but if disagreements occur, it is University policy to provide a mechanism whereby a student may formally appeal faculty decisions. When a student uses the appeals procedure, all parties should endeavor to resolve the dispute amicably at as early, a stage as possible and in compliance with applicable laws, regulations and policies-rH the Department Chair, College Dean, College Council, or Academic Vice President finds that the faculty member's disputed action conflicts with federal or state laws/regulations, University, college, or department policy, or with the instructor's own stated policy, then a decision should be made to adhere to tho appropriate laws, regulations or policies. If the disputo is determined to be based upon a faculty member's professional judgement, such as tho evaluation of a test, a thesis, or performance in a class, tho student is entitled to have, in turn, tho Department Chair, College Dean, College Council, or Academic Vice President form an opinion about the dispute and advise tho instructor of their opinion, but t7he faculty member, after considering the advico of the administrators outcome of the appeals process, shall retain complete academic freedom to make the final determination on the matter. These steps are to be followed when making an academic complaint: All materials under consideration at each step will be forwarded to the appropriate parties at the next procedural level. 1. In the event of course-related complaints or disputes, the student must first appeal to his/her instructor for a resolution to the matter and must do so within 30 days after the first class day of the next semester/session. Exceptions will be granted in which appeals may be considered after this time period given extenuating circumstances. 2. If a complaint or dispute is not satisfactorily resolved, the student may appeal to the Chair/director of the academic department in which the complaint or dispute is centered. If a formal complaint is to be registered, it should be made in writing stating the specific issues. The faculty member will respond with a written statement to the department chair. 3. If the complaint or dispute is still unresolved after appeal to the Chair/director, the student or faculty member may appeal in writing to the dean of the academic college in which the complaint or dispute is centered. The dean will notify the faculty member or student of the appeal. 4. If a resolution of the matter is not reached, the student or the faculty member may appeal to the College Council of the college in which the complaint or dispute is centered. The College Council will evaluate the oral and written statements of the student and the faculty member. If the College Council does not have at least one student member, the President of the Student Government Association will be asked by the dean PI to recommend no more than two student representatives to serve for each case. The College Council will submit its recommendation to the dean of the academic college. 5. If a resolution of the matter is not reached, the student or the faculty member may appeal in writing to the Vice President for Academic Affairs. The Dean's written recommendation in addition to all previous materials will be submitted to the Vice President. The College Council of the College in which the complaint or dispute is centered may serve as an advisory body to the Vice President who will make the final decision (regarding professional judgments) in the appeal process. The Vice President will evaluate all previous materials and any additional oral presentations from the student and faculty member. 6. After making a decision, the Vice President will inform the student and all persons involved in the appeal process of the final disposition of the matter within a reasonable period of time. STEPS FOR RESOLVING STUDENT-INITIATED ACADEMIC CAOMPLAINTS Student Instructor Department Chair/Director College Dean College Council and 1 or 2 students College Dean Vice President for Academic Affairs Source Of Authority: United States Constitution XIV, Vice President for Academic Affairs Cross Reference: Faculty Handbook, Student Handbook and Activities Calendar Contact For Revision: Vice President for Academic Affairs Forms: None P2 Class Attendance and Excused Absence A-10 Original Implementation: November 9,1981 Last Revision: April 30, 2001Januany 75, 2002 Class Attendance Regular and punctual attendance is expected at all classes, laboratories, and other activities for which a student is registered. For those classes where attendance is a factor in the course grade, the instructor shall make his/her class policy known in writing at the beginning of each term and shall maintain an accurate record of attendance. Regardless of attendance, every student is responsible for course content and assignments. Excused Absences It is University policy to excuse students from attendance for certain reasons. Among these are absences related to health, family emergencies, and student participation in certain University-sponsored events. Students are responsible for providing documentation satisfactory to the instructor for each class missed. Students with acceptable excuses will be permitted to make up work for absences to a maximum of three weeks of a semester or one week of a six-week summer term when the nature of the work missed permits. In the case of absences caused by participation in University-sponsored events, announcement via the web site of such absences by the Vice President for Academic Affairs will constitute an official excuse. Faculty members should submit as an attachment to an e-mail a written explanation of the absence, including the date, time and an alphabetical listing of all students attending to the office of the Vice President for Academic Affairs for publication. Source of Authority: Vice President for Academic Affairs | Cross Reference: General Bulletin, Faculty Handbook, Student Handbook and Activities | Calendar Contact for Revision: Vice President for Academic Affairs | Forms: None I P3 Conflict of Interest in Sponsored Activities A-11.5 Original Implementation: January 30,1996 Last Revision: July 27, 1999 January 15, 2002 I. Policy Statement Relating to Conflict of Interest A. These guidelines define general University policy and procedures regarding financial conflicts of interest in relationship to sponsored activities involving research, education, and University service. Their purpose is to protect the credibility and integrity of Stephen F. Austin State University's faculty and staff so that public trust and confidence in the University's sponsored activities is ensured. B. In accordance with Federal regulations, the University has a responsibility to manage, reduce, or eliminate any actual or potential conflicts of interest that may be presented by a financial interest of an investigator. Thus, the University requires that investigators disclose any significant financial interest that would reasonably appear to be affected by sponsored activities. C. A potential conflict of interest occurs when there is a divergence between an individual's private interests and his or her professional obligations to the University, such that an independent observer might reasonably question whether the individual's professional actions or decisions are determined by considerations of personal gain, financial or otherwise. An actual conflict of interest depends on the situation and not on the character or actions of the individual. D. For purposes of this policy, a conflict of interest exists when the University, through procedures described herein, reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of sponsored activities. E. Effective interaction between universities conducting research and industry is essential to ensure the rapid application of scientific discoveries to the needs of the Nation and to maintain the international competitiveness of domestic industry. Nonetheless, prudent stewardship of public funds includes protecting sponsored research from being compromised by the conflicting financial interests of any investigator responsible for the design, conduct, or reporting of sponsored activities. F. The value of the results of sponsored research to the health and the economy of the Nation must not be compromised by any financial interest that will, or may be reasonably expected to, bias the design, conduct, or reporting of the research. This policy seeks to maintain a reasonable balance between these competing interests, give the University the ability to identify and manage P4 financial interests that may bias the research, and minimize reporting and other burdens on the Investigator. G. The University will take all necessary steps to assure that any identified conflicts of interests will be managed, reduced, or eliminated prior to the University's expenditure of any funds under an award and certify to the funding agency that this has been done. Conflicts which cannot be satisfactorily managed, reduced, or eliminated must be disclosed to the funding agency. II. Definitions A. Conflict of interest exists if the reviewer(s) of disclosures determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of sponsored activities. B. The term Investigator, as used in this policy, means the principal investigator project director, co-principal investigator(s), and any other person who is responsible for the design, conduct, or reporting of research, educational, or service activities funded, or proposed for funding by an external sponsor. In this context, the term Investigator also includes the investigator's spouse and dependent children. C. Sponsored activities include research, education, service, or training activities funded by an external sponsor. D. Significant financial interest means anything of monetary value, included, but not limited to: 1. Salary or other payments for services (e.g., consulting fees or honoraria) 2. Equity interests (e.g., stocks, stock opti6ns options, or other ownership interests) 3. Intellectual property rights (e.g., patents, copyrights, and royalties from such rights) The term does not include: 1. Salary, royalties, or other remuneration from the University 2. Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities 3. Income from service on advisory committees or review panels for public or nonprofit entities P5 4. An equity interest that, when aggregated for the Investigator and the Investigator's spouse and dependent children, meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a five percent ownership interest in any single entity 5. Salary, royalties or other payments that, when aggregated for the Investigator and the Investigator's spouse and dependent children over the next twelve months, are not expected to exceed $10,000. III. Guidelines A. Each Investigator is required to disclose the following significant financial interests: 1. Any significant financial interest of the Investigator that would reasonably appear to be affected by the research or educational activities funded, or proposed for funding, by an external sponsor; or 2. Any significant financial interest of the Investigator in an entity whose financial interest would reasonably appear to be affected by the research or educational activities funded, or proposed for fiinding, by an external sponsor. 3. Regardless of the above minimum requirements, a faculty or staff member in his or her own best interest, may choose to disclose any other financial or related interest that could present an actual conflict of interest or be perceived to present a conflict of interest. Disclosure is a key factor in protecting one's reputation and career from potentially embarrassing or harmful allegations of misconduct. B. Each Investigator who has significant financial interest requiring disclosure shall complete a Significant Financial Interests Disclosure Form and attach all required supporting documentation. The completed Disclosure Form must be submitted with the proposal and Proposal Clearance Form (PCF) to the Office of Research and Sponsored Programs using normal University procedures. Supporting documentation that identifies the business enterprise or entity involved and the nature and amount of the interest should be submitted in a sealed envelope marked confidential and accompany the Disclosure Form and PCF. C. As required by Federal regulation, all significant financial interests must be disclosed prior to the time a proposal is submitted. All financial disclosures must be updated by investigators during the period of the award as new reportable significant Financial interests are obtained. New reportable significant financial interests includes financial interests that become P6 reportable due to an increase in value that meets the reporting threshold, as well as the acquisition of new interests that are reportable. D. The Coordinator Director of Research and Sponsored Programs, or official designee, shall conduct an initial review of all financial disclosures. If the initial determination is made that there may be a potential for conflict of interest covered by this policy, then the Disclosure packet will be referred to an Investigating Committee. Committee members are appointed by the Vice President for Academic Affairs after consultation with the Associate Vice President for Graduate Studies and Research, with this person serving as chair. A conflict of interest exists when the Investigating Committee reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of the proposed sponsored activities. The Committee shall then determine what conditions or restrictions, if any, should be imposed by the institution to manage actual or potential conflicts of interest arising from disclosed significant financial interests. E. Collaborators/subrecipients/subcontractors from other academic or not-for-profit institutions must either comply with this policy or provide a certification from their institutions that they are in compliance with Federal policies regarding investigator significant financial interest disclosure and that their portion of the project is in compliance with their institutional policies. Subcontractors from commercial firms need not make a certification, except when the prime award is from the Public Health Service (PHS PHS). The PHS requires a certification from any subcontractor, including commercial firms, stating that it is in compliance with Federal policies regarding investigator significant financial interest disclosure and that its portion of the activity is in compliance with those policies. IV. Finding of Presence of Conflict of Interest A. Resolution 1. Resolution of any potential or actual conflicts of interest will not be required until after funding has been approved and prior to any expenditure of funds under the award. 2. The Investigating Committee, along with the Investigator, will proceed to resolve any actual or potential problems revealed by the initial review of financial disclosures. In order for the conflict to be managed, reduced, or eliminated, the Committee may recommend: a) Public disclosure of significant financial interests; b) Monitoring of sponsored activities by independent reviewers; P7 c) Modification of the sponsored activity plan; d) Disqualification from participation in all or a portion of the activity funded that would be affected by the significant financial interests; e) Divestiture of significant financial interests; or f) Severance of relationships that create actual or potential conflicts of interest. 3. if if the Investigating Committee determines that imposing the above referenced conditions or restrictions would either be ineffective or inequitable, and that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the Committee may recommend that, to the extent permitted by Federal regulations, the sponsored activity go forward without imposing such conditions or restrictions. In these cases, the Vice President for Academic Affairs and the Associate Vice President for Graduate Studies and Research shall make the final decision regarding resolution. 4. The approved resolution plan shall be documented in writing detailing the conditions or restrictions imposed upon the Investigator in the conduct of the sponsored activity or in the relationship with the business enterprise or entity. 5. Actual or potential conflicts of interest will be satisfactorily managed, reduced, or eliminated in accordance with these guidelines and all required reports regarding conflicts of interest submitted to the sponsor prior to the expenditure of any funds under an award. B. Records of Investigator financial disclosures and of actions taken to manage actual or potential conflicts of interest, shall be retained by the Office of Research and Sponsored Programs until three (3) years after the later of the termination or completion of the award to which they relate, or the resolution of any government action involving those records. V. Enforcement A. The Vice President for Academic Affairs shall be responsible for determining and implementing sanctions on Investigators who have violated this policy in terms of a conflict of interest resolution. The Investigator shall be notified in writing of the recommended sanctions within twenty (20) days. If the sanctions involve a recommendation for termination of employment, the University academic termination procedures will be invoked. The University P8 must take action appropriate for the seriousness of the violation, including, but not limited to, one or more of the following, subject to existing University policies for institutional disciplinary action: 1. Termination 2. Removal from particular activity 3. Special monitoring of future work 4. Letter of reprimand 5. Probation for specified period with conditions specified B. The University shall follow Federal regulations regarding the notification of the sponsoring agency in the event an Investigator has failed to comply with this policy. The sponsor may take its own action as it deems appropriate, including the suspension of funding for the Investigator until the matter is resolved. Individuals may appeal the judgment and/or the sanction. A written statement of the grounds for the appeal must be submitted to the President within thirty (30) days of written notification of the sanctions. Grounds for appeal include, but are not limited to, previously unconsidered material evidence, sanctions not commensurate with the finding, and failure to follow the prescribed process. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination. The President will open an investigation if the previously unconsidered material evidence so warrants and may open an investigation if circumstances so dictate. The President's decision will be conveyed to all involved in a timely fashion, but must be conveyed within thirty (30) working days. In the case of termination, the appropriate University policies on termination for cause shall be followed. VI. Other Policies This policy has been developed in response to Federal guidelines for sponsored activities. State ethics laws regarding employee conduct may also apply to situations involving potential conflicts of interest. Employees are encouraged to cross reference the policies listed below and to alert their supervisor(s) of any situation that may be perceived as a potential conflict of interest. Source of Authority: Vice President for Academic Affairs Cross Reference: 42 CFR part 50, A5 CFA subtitle A 45 CFR subtitle A, NSF GPM $±Q; Faculty Handbook; E-15. Employee Conduct: E-56. Ethics Policy Statements Contact for Revision: Associate Vice President for Graduate Studies and Research Forms: Significant Financial Interest Disclosure Form P9 Misconduct in Research A-3L5 Original Implementation: April 27,1994 Last Revision: July 27, 1999 January 15, 2002 I. Policy Statement Relating to Misconduct in Research A. Stephen F. Austin State University strives to create a climate that promotes faithful adherence to high ethical standards in the conduct of scientific research, scholarship, and creative activities without inhibiting the productivity and creativity of the academic community. Misconduct in research/scholarly activity is an offense that damages the reputation not only of those involved but also of the entire educational community. B. Misconduct in research means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the scientific and scholarly community for proposing, conducting, or reporting research or other scholarly activity. It does not include honest errors or honest differences in interpretations or judgments. C. Misconduct in research/scholarly activity is a major breach of the relationship between a faculty or staff member and the institution. In order to maintain the integrity of research projects, every investigator should keep an auditable record of experimental protocols, data, and findings. Co-authors on research reports/or scholarly works of any type must have a bona fide role in the research and must accept responsibility for the quality of the work reported. D. Any inquiry or investigation of allegations of misconduct in research/scholarly activity must proceed promptly and with due regard for the reputation and rights of all individuals involved. E. The University will take all reasonable steps to assure that the persons involved in the evaluation of the allegations and evidence have appropriate expertise and that no person involved in the procedures is either biased against the accused person(s) or has a conflict of interest. II. Procedures for Addressing Misconduct in Research/Scholarly Activity A. Initial allegations, in writing, must be reported to the Vice President for Academic Affairs. If the Vice President for Academic Affairs has a possible conflict of interest, the allegations will be referred to the President of the University. The Vice President for Academic Affairs shall informally review any allegations of misconduct in research and scholarship and determine whether the allegation warrants initiation of the inquiry process according to the policies and procedures for misconduct in research and scholarship, or whether other policies and procedures, such as those relevant to employment P10 grievances should be invoked. The Vice President for Academic Affairs will counsel the individual(s) bringing the allegation as to the policies and procedures to be used. If the reporting individual chooses not to make a formal allegation but the Vice President for Academic Affairs believes that reasonable cause exists to warrant an inquiry, the inquiry process shall be initiated. Even if the individual against whom the allegation is made (hereafter referred to as the respondent) leaves or has left the University before the case is resolved, the University may pursue an allegation of misconduct to its conclusion. Once an allegation is made, the identity of the respondent will be held in strict confidence to the extent allowed by law to protect the individual involved. Where the complainant seeks anonymity, the Vice President for Academic Affairs shall operate in such a way as to maintain the anonymity to the degree compatible with accomplishing the initial review. Such anonymity cannot, however, be assured. Further, anonymity of the complainant is neither desirable nor appropriate where the testimony or witness of the complainant is important to the substantiation of the allegations. B. Inquiry 1. Purpose Whenever a warranted allegation or complaint involving the possibility of misconduct is made, the Vice President for Academic Affairs shall initiate an inquiry. In the inquiry stage, factual information is gathered and expeditiously reviewed to determine if an investigation of the charge is warranted. An inquiry is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations. 2. Structure a. The Vice President for Academic Affairs shall, after a decision to proceed with an inquiry, appoint an individual to conduct an official inquiry. This individual will have no conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case. Every effort will be made following initial administrative review of the allegation to appoint an individual within fifteen (15) working days, but the individual must be appointed within thirty (30) working days. b. Records of the inquiry are confidential to the extent allowed by law and are to be passed on to a Committee of Investigation Pll if formal review is initiated. In any case, the records shall be kept secure, and if no misconduct is found, the records should . be destroyed in accordance with Texas law. At the option of the individual conducting the inquiry, proceedings either will be tape recorded or transcribed and the records will be made available to appropriate and involved parties upon request. c. The inquiry phase will be completed within sixty (60) calendar days of its initiation unless the individual determines that circumstances clearly warrant a longer period. In such circumstances, the individual will advise the Vice President for Academic Affairs who will advise all relevant parties. The record of the inquiry will include documentation of the reason for exceeding the sixty (60) day period. d. All principals in the inquiry may be accompanied by a representative for advice and counsel. However, since the inquiry is informal and intended to be expeditious, principals must speak for themselves. 3. Process a. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the individual proposed to conduct the inquiry for the purpose of identifying in advance any actual or potential conflict of interest. b. Information, expert opinions, records, and other pertinent data may be requested by the individual conducting the inquiry. All involved parties are obliged to cooperate with this individual by supplying such requested documents and information. c. During the inquiry, access to copies of all documents reviewed by the individual conducting the inquiry will be assured to all appropriate parties. All materials will be considered confidential to the extent allowed by law and shared only with those with a need to know. During the inquiry, the Vice President for Academic Affairs and the individual conducting the inquiry are responsible for security of relevant documents. Copies of all documents and related communications are to be securely maintained in the Office of Research and Sponsored Programs. d. All parties to the case, including the individual conducting the inquiry, shall have the opportunity to present evidence and to call witnesses. P12 4. Findings a. The completion of an inquiry is marked by a determination of whether or not an investigation is warranted. The individual conducting the inquiry shall find no misconduct unless it is concluded, based on the preponderance of evidence for each allegation, that the allegation(s) have sufficient merit to call for an investigation. The outcome of the inquiry will be conveyed in writing to the Vice President for Academic Affairs, who will be responsible for communication of the findings to the respondent within ten working days. The respondent shall be given the opportunity to comment in writing upon the findings and recommendations of the inquiry. If the respondent chooses to comment, such comments must be forwarded as soon as possible within ten (10) working days. b. If the outcome of the inquiry indicates a need for formal investigation, the Vice President for Academic Affairs shall, after notification to the appropriate Dean(s) and legal counsel, initiate the investigative process. Under certain circumstances, as defined by the applicable federal regulations, the institution may be expected to notify the sponsoring agency or funding source prior to the initiation of an investigation. Factors used to determine the timing of such notification include the following: (1) There is an immediate health hazard involved; (2) There is an immediate need to protect federal funds or equipment; (3) There is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is(are) the subject(s) of the allegations as well as his/her(their) co-investigators and associates, if any; (4) It is probable that the alleged incident is going to be reported publicly; or (5) There is a reasonable indication of possible criminal violation. c. If an allegation is found to be unsupported but has been submitted in good faith, no further action, other than informing all parties, will be taken. The proceedings of an inquiry, including the identity of the respondent, will be held in strict confidence to the extent allowed by law to protect the parties involved. If confidentiality is breached, the University will take reasonable steps to minimize the damage to reputations that may result from inaccurate reports. d. If the individual conducting the inquiry finds the allegations to be unjust and malicious, those findings will be reported to the Vice President for Academic Affairs. At this time the Vice President for Academic Affairs may take such actions or impose such sanctions as are appropriate to the situation. P13 C. Investigation and Determination 1. Purpose An investigation will be initiated when an inquiry results in a finding that investigation is warranted. The purpose of investigation is to explore the allegations further and determine whether misconduct in research and scholarship has been committed. The investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the course of an investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent will be informed in writing when significant new directions of investigation are undertaken. 2. Structure a. The Vice President for Academic Affairs will, after a decision to proceed with an investigation, and after consultation with the chair of the University Research Council, appoint an Investigating Committee of no less than three persons. At least two members will be senior faculty who are without conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case.. The individual who conducted the inquiry shall not serve on the Investigating Committee. Following receipt of the inquiry report, every effort will be made to appoint an Investigating Committee within fifteen (15) working days, but the Committee must be appointed within thirty (30) working days. b. At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters. c. Hearings are confidential Written notification of hearing dates and copies of all relevant documents will be provided by the Vice President for Academic Affairs in advance of scheduled meetings. Proceedings will be tape recorded, but not the Committee s deliberations, and the records will be made available to involved parties upon request. d. Every effort should be made to complete the investigation within 120 days; however, it is acknowledged that in some cases this time period may be difficult to meet. In such cases, the Investigating Committee shall compile a progress report, identify reasons for the delay, and notify the Vice President for Academic Affairs of the additional time necessary for the investigation. The Vice President for Academic Affairs shall P14 convey to the funding agency such information as may be required by it at intervals as required by the agency. e. Both the principals and the Investigating Committee may discuss the issues personally or have a representative accompany them. 3. Process a. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the proposed membership of the Committee of Investigation for the purpose of identifying in advance any actual or potential conflict of interest. b. All parties to the case, including the Investigating Committee, may present evidence and call and examine or cross-examine witnesses. The investigation normally will include examination of all documentation, including, but not necessarily limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The Committee will make every attempt to interview all individuals involved in making the allegation or against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegations; complete summaries of these interviews will be provided to the interviewed party for comment or revision and included as part of the investigatory file. Additional hearings may be held, and the Committee may request the involvement of outside experts. The investigation must be sufficiently thorough to permit the Committee to reach a decision about the validity of the allegation(s) and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result. In addition to making a judgment on the veracity of the charges, the Committee may recommend to the Vice President for Academic Affairs appropriate sanctions if warranted. c. As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of either the inquiry or the investigation may be indicated. Such action, ranging from slight restriction to complete suspension of respondent and notification of external sponsors, if indicated, is initiated by the Vice President for Academic Affairs. d. All parties in the investigation are encouraged to cooperate by producing any additional data requested for the investigation. P15 Copies of all materials secured by the Committee shall be provided to the respondent and may be provided to other concerned parties as judged appropriate by the Committee. e. The respondent shall have an opportunity to address the charges and evidence in detail. f. After all evidence has been received and hearings completed, the Investigating Committee shall meet in closed sessions to deliberate and prepare its findings and recommendations. The Committee shall find no academic misconduct unless a majority of the members conclude that the preponderance of the credible evidence substantiates the allegation(s). g. All significant developments during the investigation as well as the findings and recommendations of the Committee will be reported by the Vice President for Academic Affairs to the research sponsor if appropriate. 4. Findings a. Upon completion of the investigation, the Committee will submit to the Vice President for Academic Affairs a full written report that details the Committee's findings and recommendations. The Committee's findings are binding upon the Institution subject to appeal by the respondent. b. This report shall also be sent to the respondent by the Vice President for Academic Affairs within ten (10) days of its receipt. 5. Resolution a. Finding of Absence of Academic Misconduct All research sponsors and others initially informed of the investigation will be informed in writing that allegations of misconduct were not supported. If the allegations are deemed to have been maliciously motivated, the Committee will report those findings to the Vice President for Academic Affairs. If the allegations, however incorrect, are deemed to have been made in good faith, no additional measures are indicated and efforts will be made to prevent retaliatory actions. In publicizing the finding of no misconduct, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. Usually, such decision will rest with the person who was innocently accused. P16 b. Finding of Presence of Academic Misconduct The Vice President for Academic Affairs shall consider the recommendations of the Committee and shall be responsible for determining and implementing sanctions. The respondent shall be notified in writing of the recommended sanctions within twenty (20) days. If the sanctions involve a recommendation for termination of employment, the University academic termination procedures will be invoked. The University must take action appropriate for the seriousness of the misconduct, including, but not limited to, one or more of the following, subject to existing University policies: 1) Institutional Disciplinary Action including: a) Removal from particular project b) Special monitoring of future work c) Letter of reprimand d) Probation for specified period with conditions specified e) Suspension of rights and responsibilities for a specified period, with or without salary f) Financial restitution g) Termination of employment/enrollment 2) Notification. The Vice President for Academic Affairs is responsible for notification of the outcome to all federal agencies, sponsors or other entities initially informed of the investigation. Consideration should be given to formal notification of involved parties such as: a) Sponsoring agencies, funding sources b) Co-authors, co-investigators, collaborators, department, University publications c) Editors of the journal(s) in which fraudulent research was published d) State professional licensing boards e) Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated f) Professional societies P17 3) Interim sanctions may be imposed during the appellate process. 6. Appeal Individuals may appeal the judgment of the Investigating Committee and/or the sanction. A written statement of the grounds for the appeal must be submitted to the President within thirty (30) days of written notification of the sanctions. Grounds for appeal include, but are not limited to, previously unconsidered material evidence, sanctions not commensurate with the finding, and failure to follow the prescribed process. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination. The President shall reopen the investigation if the previously unconsidered material evidence so warrants and may reopen the investigation if circumstances so dictate. The President's decision will be conveyed to all involved in a timely fashion, but must be conveyed within thirty (30) working days. In the case of termination, the appropriate University policies on termination for cause shall be followed. Source of Authority: Vice President for Academic Affairs Cross Reference: None Contact for Revision: Director of Research Services Associate Vice President for Graduate Studies and Research Forms: None P18 Non-Credit Continuing Education A-32 Original Implementation: March 9,1978 Last Revision: April 19, 1999 January 15, 2002 Stephen F. Austin State University's mission statement includes a service mission to focus on vital community outreach programs. To assist the University in this mission, the Division of Continuing Education in the College of Applied Arts and Sciences serves to meet the educational needs, outside the framework of traditional academic credit programs, of individuals and groups. These needs are met by offering non-academic credit short courses, seminars, workshops, conferences, institutes, and camps for personal and professional enrichment and professional accrediting agencies; University educational travel activities whether for credit or non-credit purposes (see Policy A-36, Out-of-State Travel/Study); and other special activities. I. Role and Scope The Division of Continuing Education is designated as the administrative unit of the University for all sponsored non-academic credit continuing education activities (exceptions are not-for-profit colloquia, symposia, art exhibitions and for free and for charge concerts, recitals, and performances). All non-credit outreach emanating from the University must comply with the Texas Education Code, chapter 54.545, entitled, Fees for Continuing Education Courses, which states that: "The board shall set the fee (for continuing education) in an amount sufficient to permit the institution to recover the costs to the institution of proving the course". Administrative units which have been awarded legislative appropriations for outreach and can assure compliance with the Texas Education Code, may establish their own designated continuing education organization with the approval of the Vice President for Academic Affairs. Centralized continuing education administration at the University is a necessity to ensure that all such efforts are financially self-sufficient, and that there is uniform compliance with University, state and federal policies, procedures, and guidelines. A. Goals: The overriding goals of the Division of Continuing Education are: 1. to provide life-long learning and training opportunities to the residents of the region 2. to make Continuing Education and outreach at SFA self-supporting and to enhance and enlarge the Continuing Education programming of the University 3. to compensate instructors or coordinators at the highest possible level to make it economically worthwhile to be involved in Continuing Education P19 B. Options: 1. An activity for which SFA/CE does not collect registration fees, but participants do pay a registration fee to the sponsor. In such cases a university facility use fee will be charged. This fee is assessed as a cost per person per day. Additional line-item charges may be levied. 2. An activity for which there is a registration fee collected by the Division of Continuing Education. In such cases a percentage of gross revenues will be assessed. 3. An activity for which there is no fee but the coordinator or programmer desires CEUs (continuing education units). The Division of Continuing Education will be a co-sponsor and not have any administrative duties except to certify that the activity is eligible for CEUs under University, state, and Southern Association for College and Schools (SACS) guidelines. A CEU certificate will be provided. Each of the above will be determined by the Director of Continuing Education in conjunction with the Dean of Applied Arts & Sciences. Annual fee schedules will be filed with the Vice President for Academic Affairs. II. Responsibility The Division of Continuing Education is responsible for: A. assisting any department or individual in planning and implementing a continuing education activity. (Exceptions to this policy must be granted by the Vice President for Academic Affairs.); B. collecting and disbursing all funds involved in such activities and maintaining proper financial records in line with fiscal regulations of the University; C. maintaining a system of student records and preparing transcripts where applicable for professional compliance and/or certificates for CEUs; D. meeting the guidelines established by the University, Texas Higher Education Coordinating Board, and the Southern Association of Colleges and Schools in the awarding of Continuing Education Units (CEUs). III. Procedures These procedures are to be implemented in the planning of an activity through the Division of Continuing Education: A. Should the person in charge of an activity be a University faculty member, he/she must submit an "Activity Request Form" for approval by the respective P20 department chair, college dean (if activity directly is related to academic discipline of employment), and the Division of Continuing Education. If the activity is outside one s academic discipline, a vita must be submitted stating qualifications to direct the proposed activity. B. Should the person in charge of an activity be a University employee, but not an academic faculty member, he/she must submit an "Activity Request Form" along with a resume or vita stating qualifications to direct the proposed activity for approval by the respective department chair, manager, or administrator, and the Division of Continuing Education. C. Should the person in charge of an activity not be a University employee, he/she must submit an "Activity Request Form" along with a resume or vita stating qualifications to direct the proposed activity for approval by the Division of Continuing Education. D. Should the activity be a camp, a list of organizers must be provided along with their qualifications to direct such an event. An "Activity Request Form" must be submitted for approval by the Division of Continuing Education. The activity request shall receive timely consideration and approval if it meets the criteria for outreach/continuing education as established by University, state, and/or SACS. The applicant will be contacted if changes are proposed or necessary. Issues of pricing, timing, market, instructor credentials, space availability, and academic compatibility are issues to be reviewed. When the activity request is approved, the person in charge of the activity should plan with the Division of Continuing Education as to the services needed. Services include, but are not limited to: 1. Designing and printing of the brochure/program 2. Mailing and advertising 3. Securing facilities 4. Conducting pre-registration 5. Collecting fees 6. Conducting on-site registration 7. Securing equipment, materials, and supplies 8. Providing official registration and attendance forms 9. Granting of CEUs 10. Acting as fiscal agent of event/activity, including: a. Purchasing b. Payments c. Receipts d. Accounting e. Stipends f. Payroll issues and compliance P21 E. Travel 1. All organizers of non-academic travel activities offered through the Division of Continuing Education must file an "Activity Request Form" with the Director of Continuing Education. The organizer will list on the form the stated objectives of the travel activity, showing goals that are compatible with the University and the Division of Continuing Education. 2. The agreement with the travel agency, carrier or vendor shall contain a clause that specifies that transportation, lodging, and food services are the responsibility of the carrier and not the University. Model statements may be obtained from the Director of Continuing Education and must be attached to the "Activity Request Form." 3. All other considerations of an activity with travel as its principal focus are found in Policy A-36, Out-of-State Travel/Study. IV. Fiscal Considerations The following items shall apply to the fiscal planning for all activities under the Division of Continuing Education, which must be self-supporting: A. Fees: Registration or enrollment fees should be set at a level to cover the cost of the activity and include reasonable fees for operating overhead of the Division. B. Material and supplies: Requisitions to purchase necessary materials and supplies must be submitted to the Division of Continuing Education for processing. All purchasing requisitions shall comply with state and federal laws, rules, and regulations regarding competitive procurement. If materials are already are on hand, an IDT will be processed to reimburse the department for the expense. C. Promotion: As soon as the activity is approved, requisitions for printing, activity advertising, and public relations should be submitted to the Division of Continuing Education for processing according to University and state regulations regarding competitive procurement. The Division of Continuing Education will contact Purchasing and the Office of Public Affairs on behalf of the activity. Any activity with a general audience appeal will be assessed a pro-rata fee for newspaper advertising. D. Budget: A budget will be prepared to be used as a basis for setting the registration fee. Every event is intended to provide sufficient revenue to cover all direct costs, including stipends, benefits, and overhead. Should insufficient enrollment occur, the event will be canceled. Under some circumstances an event may be conducted with insufficient enrollment if the instructor agrees to a reduced stipend (the intent is to recoup other expended funds on creating the event). P22 E. Stipends: The basis and rate of pay will be negotiated with the coordinator or instructor of an activity and will be confirmed in a letter of agreement. Depending on the nature of the activity, a percentage of revenue or an hourly instructor fee with some preparation time included will be negotiated. Payments may be made to instructors, coordinators, sponsoring departments, or other entities all to be established in advance in the "Activity Request Form". The Division of Continuing Education will follow University, state and federal regulations regarding payment of stipends/compensation to those involved with the activity. Determination will be made as to status independent contractor, employee of the University, etc., and processed accordingly. All full-time University employees are subject to payroll taxes, insurance/retirement deductions if appropriate. Part-time employees are subject to payroll taxes and other appropriate deductions, i.e., state retirement contributions, if employed by other state agencies or public school systems. F. Financial Records: As soon as all revenues are collected and all expenses paid, the Division of Continuing Education shall prepare a financial statement for the activity. A copy will be furnished to the person in charge. Confirmation of surplus/deficit (net income before stipends) will be noted by the instructor or coordinator. All fiscal policies of the University will be followed in revenue/expense processing. Request for stipend payments will be made in accordance with University procedures. G. Facilities: Dedicated space for the Division of Continuing Education consists of offices located at 541 E. College and Room 421, Liberal Arts North. All other facilities must be arranged with respective building managers. Should additional clean-up, repairs, etc. be required, these should be included in the budget of the continuing education activity. The Division of Continuing Education is authorized to contract for non-University facilities. H. Refunds: The following refund policy shall be published at least once each fiscal year and distributed to the participants upon request. 1. Registrants who withdraw prior to beginning of the activity will receive a refund minus a processing fee ($100 or less, a 10% fee; over $100, a 5% fee) 2. No refund will be granted after the activity begins. 3. Should the activity be canceled by the Division of Continuing Education, a full refund will be given. 4. Substitutes for registrants may attend provided that notification is received by the Division prior to the start of the activity. P23 5. When activities include meals, the cost of food service will also be deducted from the refund if notice is not received 48 hours in advance of the beginning of an event. 6. Under special circumstances non-refundable deposits may be required. 7. With less than projected enrollment, the activity may be postponed, rescheduled or canceled. I. Audio-visual Equipment: All audio-visual equipment must be requested from the Division of Continuing Education. If such is available, a fee schedule will be used to determine actual cost of usage. Wear and tear, bulbs, etc. must be replaced. These charges are in addition to the Continuing Education overhead percentage. V. Income and Expenditure Distribution A. All Continuing Education activities distribute revenue as follows: 1. Division of Continuing Education overhead is set by the activity 2. Instructor/coordinator stipend is set by a letter of agreement 3. Materials/supplies are itemized at actual expense 4. Advertising/promotion is set at $10 plus actual expense 5. Production is itemized at actual expense 6. Other costs are itemized according to a schedule of actual expense B. Facility Use Fees: A facility use fee may be charged in lieu of overhead expenses to cover the use of state facilities, equipment, or staff. C. Deposits: The Division of Continuing Education may require a security/guarantee deposit of 10% of expected activity expenses or $500, which ever is greater. The security deposit is required for, but not limited to, activities where expected expenses exceed $5,000, and shall be paid six months, or as soon as practical, prior to the activity date. The security deposit, minus any incurred activity expenses, is refundable up to three months prior to the activity. Cancellation within three months of the activity date forfeits refund of the deposit. Upon completion of the activity, the deposit will be applied toward financial obligations. The Director may modify or waive the security P24 deposit for individual activities. University sponsored activities are exempt from security/guarantee deposit. D. Pre-Payments and Advances: 1. Some activities may require pre-payment of enrollment/registration fees to confirm registration. Registration is complete upon receipt of payment. 2. In the event an instructor or coordinator is given an advance on expected income from an activity, and it is determined, upon completion of the activity and the final expense report, that the instructor or coordinator was over-compensated, the full amount of the overpayment must be returned to the Division of Continuing Education within 15 days. Source of Authority: Vice President for Academic Affairs, Texas Education Code Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: Activity Request and Approval Form (Available in the Division of Continuing Education) P25 Out-of-State Travel/Study A-36 Original Implementation: September, 1981 Last Revision: July 27,1999 January 15, 2002 Out-of-state travel courses are those courses whose fundamental content is based on the use of natural or cultural resources found outside the state and in which a majority of instruction is delivered out-of-state. They do not include courses delivered on campus in which incidental travel to another state for enrichment activities occur. Requests for courses involving out-of-state travel must be routed, using an "Out-of-State Travel/Study Course Request Form", for approval via the instructor's department Chair, college Dean, the Director of Continuing Education, the Dean of Applied Arts and Sciences (who is out-of-state travel/study coordinator and responsible for submitting course requests to the THECE), and the Vice President for Academic Affairs. 1. The approval process consists of two stages. a. Tentative approval prior to formal arrangements and an agreement with a licensed carrier or travel agency if required. Criteria for approval shall be those set by the Texas Higher Education Coordinating Board and stated as follows: (1) No courses which offer credit primarily for travel, recreation, or pleasure may be authorized. (2) No out-of-state classes may be offered to serve non-Texas residents unless they are degree candidates at Stephen F. Austin State University, and they must be charged the non- resident or foreign student tuition as established by law. (3) No student may be eligible to enroll in an out-of-state class unless the student has satisfied all University and degree program admission requirements and has paid all appropriate fees. (4) All courses must be in the approved course inventory and be applicable to a program approved by the Coordinating Board. (5) In accordance with THECB Rules: (Chapter 5, Subchapter H, and Memorandum of Reporting Out-of State and Out-ofCountry Courses dated April 10, 2001) each public institution wishing such approval shall submit its request on an "Out-of- State Resident Credit Course Request" form. For each course or group of related courses, the institution must attach a statement describing in detail how the course or group of courses will utilize academic, cultural, or physical resources not reasonably available in Texas. P26 (6) The instruction in all authorized out-of-state classes must conform to all relevant academic policies at SFASU. All courses must conform to the University's workload and enrollment requirements, its contact hour/credit ratio, and similar matters. (7) If a course is to be taught by adjunct faculty (anyone other than regular University faculty), a statement must be attached describing the unique qualifications of personnel to be employed at the out-of-state site. (8) Motivation for the offering of courses must be educational, not entrepreneurial, and may not result in improper advantage or financial gain for participating faculty and staff. Out-of- state classes must emphasize their instructional nature. Any course advertised or marketed to create the impression that it is primarily a credit-for-travel experience will be disallowed. (9) Any free tickets for travel, accommodations, or other expenses provided by travel agents, carriers, or hotels must take the form of payments to SFASU and not be made as gifts to faculty members or their families. Except for funds specifically appropriated for international activities (e.g., state incentive programs, scholarships, etc.), state funds will not be used for faculty and student travel, meals and lodging, or other incidental expenses. (10) Financial aid must be available to students registering for out-of-state classes on the same basis as it would be for such students seeking financial aid for on-campus instruction. Additional student financial aid may be furnished by the University as appropriate. (11) Minimum class enrollments will conform to the same standards applicable were the class to be offered on-campus. b. Final approval based upon the submission of a total itinerary, plan of study and copies of promotional brochures to be used. The rationale used for final approval will consist of a written explanation of how the course will involve cultural, intellectual, academic or natural resources not accessible in Texas or produced via standard laboratory exercises. 2. Deadlines for approval are as follows: a. Tentative approval (1) Fall semester: Prior to February 1 (2) Spring semester: Prior to June 1 (3) Summer semester: Prior to November 1 P27 b. Final approval and submission to the Coordinating Board (1) Fall semester: May 1 (2) Spring semester: September 1 (3) Summer semester: February 1 3. The agreement with the travel agency carrier, or vendor shall contain the following clause specifying that transportation, lodging, and food services are the responsibility of the carrier and not the University: Stephen F. Austin State University and its representatives shall assist the tour members in making arrangements for hotels, transportation, sightseeing, restaurants, or any other services in connection with the itinerary, and the University and its representatives shall exercise reasonable care in making such arrangements. The University and its representatives shall not, however, assume any liability whatsoever, for any injury, damages, loss, delay or accident to person or property due to any act or default of any hotel, carrier, restaurant, company, or person rendering any of the services included in the tour. The tickets, coupons, rules, tariffs, or contracts currently in use by any carrier, hotel, restaurant, or other contractor, rendering service, shall constitute the sole contract between such contractor and the tour member. Further, (Tour Agent) and Stephen F. Austin State University accept no responsibility for any damage or delay due to sickness, pilferage, labor dispute, machinery breakdown, quarantine, government restrictions, weather, or any cause beyond their personal control. The right is reserved to cancel or change itineraries, or substitute services without notice and to decline to accept or retain any tour member at any time. Additional expenses, if any, shall be borne by the participants. The airlines concerned and their agents or affiliates, are not to be held responsible for any act, omission, or event during the time passengers are not on board the aircraft. The passenger ticket in use by said airline shall constitute, when issued, the sole contract between the airline and the purchaser of these tickets and/or for the passenger. Air fares are subject to change without notice. The services of any IATA carrier may be used for these tours, and transportation within the USA may be provided by any member carrier of the Air Traffic Conference of America. In view of the statutory or contractual limitations which may apply to personal injury or losses or damages to property, the purchase of accident and baggage insurance is strongly recommended. 4. The brochure that is distributed to prospective students must contain a clause which specifies that where there is a contract for transportation, lodging and food, the student's contract is with the travel agency or carrier. The University is responsible for instruction and credit only. P28 5. All student deposits for reservations for a course involving contract travel will be deposited with the Division of Continuing Education. After the deadline for reservations has passed, a check will be drawn payable to the agency or carrier, or if the course does not make, refunds will be made to students. For those courses not using contract travel, deposits must be made immediately on receipt to the appropriate University account. 6. All purchases are subject to the state bid procedures. Trip directors must submit requests for bids or justifications for contracts with specific vendors or agents. 7. The salary of the instructor will be paid in one of the following ways: a. The instructor's regular salary will be paid from the department's budget, or b. The instructor's salary will be paid through the College of Applied Arts and Sciences prorated on the basis of enrollment, not to exceed his/her regular salary. 8. There will be no travel allowance for the instructor unless specific exception is made by the Vice President for Academic Affairs. Source of Authority: Texas Higher Education Coordinating Board, President, Vice President for Academic Affairs Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: Out-of-State Travel/Study Course Request Form (available in Division of Continuing Education) P29 Regents Professors A-38 Original Implementation: October, 1979 Last Revision: My27,l999-January 15, 2002 Each year at its spring meeting, the Board of Regents recognizes one or two truly outstanding faculty members as Regents Professors for the coming academic year. These professors receive a monetary award to be used in support of their activities in that year and are recognized at the spring commencement ceremonies at the end of their term, at which time they are presented a medal. Only tenured full professors are eligible for nomination for Regents Professor. 1. A nomination shall be made by a tenured faculty member of the University in writing to the department Chair and shall consist of the resume and supporting documents that can be contained in one 3 inch, 3 ring, notebook. 2. A nomination shall bo submitted without regard to the distinction betwcon teaching and research. 32. Previous recipients shall serve as a review panel and individually and independently submit a ranking of nominees to the Vice President for Academic Affairs. 43. Nominations shall be reviewed by the Council of Deans, which shall recommend the nominees who best represent teaching and/or research of exceptionally high quality. $4. The Council of Deans shall make its recommendations, in turn, to the Vice President for Academic Affairs, the President, the Chair of the Academic Affairs Committee of the Board of Regents, and the full Board. Should the Council of Deans conclude that nominees do not meet the expectations for a Regents Professorship, it shall recommend that the honor not be bestowed. €5. Recipients shall be chosen by the Board of Regents. During the course of their initial year as Regents Professors, recipients shall be available for consultation to tho academic community. Source of Authority: Board of Regents, President, Vice President for Academic Affairs Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: None P30 Underenrolled Classes A-46 Original Implementation: November 4,1977 Last Revision: January 19,1999 January 15, 2002 1. This policy applies to courses whose primary mode of instruction is lecture, laboratory, or seminar. ±2. Underenrolled classes are organized undergraduate classes with less than 10 registered students and organized graduate classes with less than 5 registered students. Organized classes are classes whose primary modo of instruction is lecture, laboratory, seminar, or group telovision.M/m/wi/m enrollment requirements for off-campus, face to face courses are addressed in Policy A-34: Off-Campus Courses. 23. No underenrolled classes shall be offered in any term except as authorized by the Board of Regents of Stephen F. Austin State University. £4. Only underenrolled classes that meet one or more of the following requirements may be authorized to be taught as small classes: a. Required coursed course required for graduation. (The course is not offered each semester or term, and if cancelled may affect the date of graduation of those enrolled.) b. Required^ course required of majors in this field &&&-that should be completed &is-m a given semester (term) to keep proper sequence in courses. c. Course A course in a newly established degree program, concentration, or support area. d. Interdepartmental (cross-listed) courses taught as a single class by the same faculty at the same station, provided that the combined courses do not constitute a small class. e. The ¥irstfirst time offering of the-a course. f. A course the Class class size of which is limited by accreditation or state licensing standards. g. A course the Class class size of which is limited by availability of laboratory or clinical facilities. h. A class Voluntarily voluntarily offered by a faculty member in excess of the institutional teaching load requirement and for which the faculty member receives no additional compensation. i. Sections of courses required by state law or regulation to bo offered (e.g., ENG 099, MTH 099). P31 4. An underenroUed class of the same course may not be offered in consecutive semesters or summer terms. 5. The University shall file with the Coordinating Board through its uniform reporting system a small class report as required by state law or agency regulations. Source of Authority: Texas Education Code, sec. 51.403 et seq.; Board of Regents; President; Vice President for Academic Affairs Cross Reference: Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P32 Student Evaluation of Faculty Instruction A-48 Original Implementation: April 20,1999 Last Revision: Ne&eJanuary 15, 2002 All courses taught by each faculty member (part-time, adjunct, teaching assistants) shall be evaluated at least once a year by students in the courses. Courses evaluated will be those taught in the fall and/or spring semesters. The purpose of the evaluations shall be (1) to assist each faculty member in the continuous improvement of his/her instruction and (2) to assist faculty and Chairs/Directors in making recommendations related to personnel decisions. The format/instrument for evaluation shall be one(s) agreed upon by individual colleges. There is no requirement for a common university evaluation instrument. At the discretion of each faculty member, the evaluations may be made either in the fall or spring except that the academic departmental/divisional Chair/Director shall have the right to arrange all evaluations so as to achieve an equal balance by semester or to meet accreditation requirements. Procedures 1. The evaluations shall be conducted during the last three weeks preceding final examinations. 2. The academic departmental/divisional Chair/Director shall arrange for the evaluations of all of his/her faculty members courses. 3. The evaluation of each course shall be administered by a person designated by the departmental/divisional Chair/Director. 4. A monitor shall remain in the classroom or laboratory until all instruments have been completed. Then he/she shall gather all instruments and deliver them to the appropriate departmental/divisional Chair/Director. 5. The Department Chair will report the results of the evaluation to the individual faculty member after grades are recorded on students transcripts. 6. Information contained in the student evaluation shall be incorporated into the annual faculty evaluation process used by the departmental/divisional Chair/Director, College Dean, the Vice President for Academic Affairs, and the President. Source of Authority: Vice President for Academic Affairs Cross Reference: Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P33 Semester Grades A-54 Original Implementation: January 25,2000 Last Revision: aeae January 15, 2002 I. Recorded Grades A student's grades are determined by daily work, oral and written quizzes, and afinal examination. Faculty members may use a variety of factors including class attendance to. establish a final grade for the course. (See Policy Statement A-10). A grade of A indicates excellent; B, good; C, average; D, passing; F, failure; QF, quit failure; WH, incomplete or grade withheld; WF, withdrew failing; WP, withdrew passing. WP and WF are assigned only when a student has withdrawn from the University after mid-semester or with special approval of the student's academic dean. No grade can be taken from the record unless put there by mistake. Specified courses are graded on a pass (P)/fail (F) system with no other grades awarded. A student who makes an F can get credit only by repeating the work. A student who desires to repeat courses in order to improve his/her GPA at SFA must repeat those courses at SFA. II. Withheld Grades Ordinarily, at the discretion of the instructor of record and with the approval of the department chair, a grade of WH will be assigned only if the student cannot complete the course work because of unavoidable circumstances. Students must complete the work within one calendar year from the end of the semester in which they receive a WH, or the grade automatically becomes an F. Students may not attend sections of a course in future semesters to complete a WH grade. Limited course visitation may be arranged with the permission of the instructor. When students register for the same course in future terms the WH will automatically become and F and will be counted as a repeated course for the purpose of computing the grade point average. III. Grade Point Average A grade of A gives the student four grade points per semester hour; B, three grade points; C, two grade points; D, one grade point; and F, QF, W, WH, WF, and WP, no grade points. The grade point average (GPA) is determined by dividing the sum of the grade points earned at SFA by the total number of qttatity-homs attempted at SFA, subject to the following exceptions: grades ofW, WH,P, and WP are not counted. In addition, the repetition of a course may affect the grade point calculation as explained in Section TV, Repeat Grades. , excluding P hours. (See below for special exceptions.) An undergraduate student who desires to repeat courses in order to improve his/her grade point average at SFA must repeat thoso courses at Stephen F. Austin State University. The following rules apply: P34 IV. Repeat Grades A student who makes an F can get credit only by repeating the work. An undergraduate student who desires to repeat courses in order to improve his/her GPA at SFA must repeat those courses at SFA. A. For any course that is repeated once at SFA, the higher of the two grades will be used to determine the GPA. B. If a course is repeated more than once at SFA, all grades earned for that course will be used to determine the GPA. Credit hours for courses taken at other institutions to replace credit hours earned at SFA may be used to meet graduation credit hour requirements, but grades from transferred courses will not change the GPA based on courses taken at SFA. Only grades earned at SFA will be used for calculating GPA. Source of Authority: Vice President for Academic Affairs Cross Reference: General and Graduate Bulletins, Class Attendance and Excused Absences, Index A-10 Contact for Revision: VPAA Forms: None P35 Camp and Conference Reservations B-4 Original Implementation: 1987 Last Revision: January 30,2001 January 15, 2002 Each year Stephen F. Austin State University is host to a variety of camps, clinics, workshops, and conferences. To facilitate the many and varied requests of these groups, the Coordinator for University Reservations and Conferences, referred to in this booklet as the Coordinator, located in the University Center, room 110, is available to assist Camp Directors in arranging housing, meal tickets, meeting space, insurance, parking permits, and banquets. A camp as referred to in this document refers to all special programs, camps and conferences. Eligibility Any camp or conference requesting use of University facilities must have a University sponsor. If profit-making agencies are involved with the program, the sponsoring organization must receive prior approval from the Vice President for Business Affairs to conduct the camp. All adult, non-credit groups or University groups awarding Continuing Education Units must be sponsored through the Department of Continuing Education. It is the responsibility of the sponsoring individual or organization to ensure that programs and activities conducted in the University Center or at other locations on the University campus are in compliance with the Americans with Disabilities Act. Age of Participants Camp participants under ten (10) years of age are not permitted to stay over-night in the residence halls unless accompanied by parents and under close supervision at all times. Request for Camp/Conference Facilities The first step for the Camp Director will be to submit a completed "Camp/Conference Reservation Contract" to the Coordinator (see appendix for sample). The form should be completed with estimates of size of the camp. Housing, meal cards, meeting space and other requests will be reserved according to the stated needs on this form. Completion and return of these forms as early as possible will help assure that each specific need will be met. Some areas are limited and will be supplied on a first-come, first-serve basis. A packet containing passes, tickets, insurance forms and instructions will be assembled and should be picked up at the Coordinator's office two (2) weeks before the scheduled camp date. Insurance Requirements // is the responsibility of the sponsoring department to ensure that each group has appropriate liability coverage. All non-credit participants spending the night in University residence halls must be insured. A per camper/night fee will be assessed at the completion of the camp and billed to the proper P36 account. A list of names of all participants to be insured must be submitted to the office of the Coordinator on the first working day of the camp session. Completing insurance forms are the responsibility of the Camp Director. Forms returned because or insufficient information are also the Camp Director's responsibility. Health Clinic A medical release and consent form (see appendix for sample) must be completed and signed by the parent/guardian of each camper under age 18. Neither the clinic nor local hospitals will treat a minor student without this release form in hand. The Camp Director is responsible for having these forms signed and readily accessible at all times in case of an emergency. Claim forms are available from the Coordinator as needed. The attending physician/professional will forward the claim form to the insurance carrier following a medical visit. No claim will be processed without the signature of a camp official. A camp official must accompany a student camper to the University Health clinic, local hospital emergency room, or pharmacy. I Emergency Phone Number All camp participants should be informed that a campus 911 number is available to them should an emergency take place. Parents of participants should be informed of the twenty-four (24) hour emergency phone number (936) 468-2608 at the University Police Department. Billing Procedures Billing for summer camps will be handled through the Coordinator's office. Costs for meals, housing and insurance will be negotiated each year and the projected costs made available upon request. An account number or billing address should be supplied at the time of the original camp reservation. After the camp is completed, one total bill for lodging, damages, lost keys, meals, special banquets, SFA food service deliveries and pick-ups, insurance, and other applicable costs will be assessed and billed to the camp account. Any damages, etc. discovered after the close of the camp will remain the Camp Director's responsibility. Camp cancellations must be made in writing to the Coordinator. Cancellations within one month to two weeks prior to the starting date of the camp will incur a $100dollar cancellation fee. There will be a $150 per day charge for each day that the camp was scheduled when the cancellation is made within two weeks of the beginning date of the camp. Housing The Camp Director should estimate as closely as possible the number of students and counselors needing University housing for the camp session. Space will be reserved as per the reservation P37 completed by the Camp Director. Concurrent camps may result in two or more groups occupying the same residence hall In the event that this becomes necessary, the Camp Director will be allowed the opportunity to request additional facilities. The request for additional facilities will be granted if housing facilities are available. Additional fees will be charged for this service and will be established according to the type of facility requested. Before the camp session, the Camp Director will receive lists of final hall assignments, summer Hall Directors and their current phone numbers. Two weeks before the camp session the Housing Department will send floor plans, roommate lists, information specific to the building such as rooms being used for storage and not available to campers, and the current phone number for the Hall Director. The Camp Director should contact the Hall Director as soon as the lists are received and should keep the Hall Director updated on changes and special needs the camp may have in the hall. If it is necessary for a camp to have camp staff or campers arrive one night early or check out one day later than the main camp, the early arrivals/late checkouts may be housed in a different facility for this time. Any early arrivals or late checkouts must have authorized supervision. Final Arrangements At least two (2) weeks prior to the start of the camp session the Camp Director should contact the Hall Director assigned to the camp to finalize arrangements. Issues to be discussed include early arrivals, pre-camp inventory of the residence hall, check-in and checkout procedures, room assignments, storage of equipment, late departures and end of conference inventory of the residence hall. The SFA Housing Department is responsible for the overall cleaning of the residence halls, but it is the Camp Director's responsibility to make sure campers posters, trash and other items are removed from the rooms and taken to the dumpster. The Camp Director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Housing damages and lost key charges are assessed after the group has left the residence hall, but remain the Camp Director's responsibility. (See Damages for more information) Groups meeting in the lobbies of the residence halls are responsible for the general cleaning of these areas. Food deliveries are not permitted after the front desk closes. Participants may not use hallways, floors, or rooms other than those assigned to the camp. Special Accommodations Any camper or conference attendee that will need special accommodations due to a disability should contact the Coordinator prior to arrival on campus. The Camp/Conference Director Responsibilities (Participants as presented below refer to all individuals associated with the camp/conference including campers, instructors, staff and guests). P38 The Camp/Conference Director: 1. Will provide counselors and staff for the camps, preferably one counselor per ten campers. Campers should be supervised during any free time. 2. Inspects residence hall facilities immediately prior to and after the camp session; 3. Advises participants of appropriate check-in and checkout procedures including charges for damages and lost keys; 4. Familiarizes participants with University policies, especially those pertaining to fire and emergency evacuation procedures, appropriate conduct, possession of controlled substances and fire arms, and authorized entry into rooms; 5. Maintains discipline of all participants; 6. Cooperates with the residence hall director and staff who are responsible for the safety, security and maintenance of the building; 7. Collects and has readily available all Medical Release and Consent Forms on all participants; 8. Informs the University in advance of early and late arrivals; 9. Completes insurance forms at the time of treatment; 10. Handles insurance forms returned for lack of student information; 11. Furnishes the coordinator with a camp roster as soon as possible but no later than twenty-four (24) hours after camp check-in begins. 12. It is the responsibility of the sponsoring individual or organization to ensure that programs and activities conducted in the University Center or at other locations on the University campus are in compliance with the Americans with Disabilities Act. The Hall Director's Responsibilities The Hall Director is responsible for supervising the SFA residence hall staff. He/she will develop a comprehensive work schedule, assist with distribution qfissue keys and moke room | assignments as needed to provide the best possible service to conference guests. The hall director will be available to assist the Camp/Conference Director in providing adequate supervision and disciplinary guidelines to campers. After camp completion, the Hall Director will be responsible for submitting to the Housing Department the final count of rooms/beds used. P39 The Hall Director: 1. Acts as a daily contact person to assigned groups; 2. Prepares staff for handling emergencies and familiarizes them with overall building layout (elevators, fire alarms, etc.); 3. Interprets, supports, and enforces University policies, procedures, and regulations; 4. Completes work orders and maintenance requests as needed for efficient hall maintenance; 5. Completes administrative paperwork as required by the Residence Life Office or the Housing Department. 6. Assesses all Housing charges at the Conclusion of the conference. Hall Director Phone List The Hall Director reports to the Coordinator of Residence Life. The Residence Hall Staffs Responsibilities The residence hall staff, under the supervision of the Coordinator of Residence Life and the day-to- day responsibility of the Hall Director, will assist in summer camp programs. The Hall Staff: 1. Cooperates with the Hall Director in the operation of the residence hall; 2. Assists with check-in and preparation of facilities for each camp; 3. Assists with checkout and inspection of rooms at the close of each camp ; 4. Performs desk responsibilities during assigned desk hours, gives information, checks guests in and out, issues keys, takes messages, and/or any other duties deemed necessary; P40 5. Serves as a referral/resource person to camp participants; 6. Assists in acquainting Camp Director with University policy, emergency procedures and facilities lay-out; 7. Maintains necessary reports and an accurate accounting of money, keys, maintenance requests, damages, etc.; 8. Is accessible in emergency situations; 9. Maintains duty hours as assigned by the Hall Director; 10. Attends staff meetings as assigned by the Hall Director; and, 11. Performs other duties as assigned by the Hall Director. Residence Hall Rules and Regulations Agenda/Schedule. A copy of the agenda or schedule for each conference group must be left with the Hall Director to assist the residence hall staff in directing student during their stay. Alcohol. Alcohol is not allowed in residence halls at any time. Cleaning Fee. Cleaning charges may result if the participant leaves the room in any condition that requires custodial personnel to be called in for extra cleaning or the removal of trash from the building. Controlled Substance. Unlawful use, manufacture, possession, or delivery of any controlled substance or dangerous drug is prohibited in residence halls. Damages. The camp will be charged for any damages to the residence hall or its furnishings. Attaching signs or posters to the doors or the walls with tape may result in damage charges. The University is not responsible for any damage to a camper's room as a result of theft, vandalism, or maintenance failure. The Housing Department encourages a representative from each group to conduct a walk through inspection of each room prior to the arrival of the camp. All pre-existing damages should be noted at that time. The Hall Director will be available to inspect each room with the Camp Director upon request. The Camp Director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Housing damages and lost key charges are assessed after the group has left the residence hall, but remain the Camp Director's responsibility. Desk. The desk will be open from 10 a.m. until the Camp curfew (no later than midnight). Messages for camp participants received by desk attendants will be posted in a central location and not delivered to individual rooms. The Hall Director will unlock the front doors at the time requested by the camp director. The front door will be locked at midnight, or earlier if requested. P41 Any one that is locked out of the building may use the emergency phone located next to the door to contact the University Police Department for admittance to the building. Desk Deliveries. Deliveries of prepaid merchandise may be made to the residence hall desk while it is open. Desk assistants will notify participants of a delivery, but shall in no way be made accountable for such items. Occupants will be contacted for deliveries when payment is needed. Discipline and Supervision. It is the responsibility of the Camp Director or camp staff to administer discipline to participants who violate camp or University regulations. On occasions when camp personnel are not available, residence hall personnel will temporarily handle the situation. In cases of chronic or severe discipline problems, the residence hall director reserves the right to recommend that a camp participant be sent home. Violation of federal, state or municipal law will require the involvement of the University Police Department. All camps must provide on - site camper supervision throughout the duration of the camp. This includes overnight supervision within the residence hall. Emergency. In case of an emergency call 911 or University Police at (936) 468-2608. Entry-Authorized Entry Into Rooms. Entry into a residence hall does not normally constitute a search. University personnel and the camp staff may enter a room to remove a potential fire, safety, or health hazard; to perform maintenance; to correct situations intruding upon the comfort of others (a phone or alarm clock continuously ringing, loud radios, etc.); to retrieve items upon request of the participant's immediate family; and to retrieve the personal belongings of other individuals where there is no apparent dispute to ownership of the property. All other situations which would require entry into a room should be coordinated with the Hall Director who may consult with University Police. Evacuation Procedures. All persons are required to evacuate a building when an emergency alarm is activated. If an alarm sounds, each person must leave the room and proceed to the nearest clear exit. Stairwells must be used instead of elevators. If the camper is unable to exit the room, a towel, sheet, or similar item should be placed outside the window, so that emergency personnel will know that someone is in the room. Camp Directors may request that a fire drill be scheduled during the camp by contacting the Hall Director prior to arrival. Facility Sharing. In order to be more energy efficient, two or more camps may be scheduled in the same facility. Firearms. Possession or use of weapons or explosives (such as pistols, rifles, shotguns, firecrackers, cherry bombs, or any weapons prohibited by laws of the state of Texas) in University-owned-or-controlled buildings is prohibited. Fire Safety. No incense or candles may be burned in residence halls. If an extinguisher is maliciously discharged, a fee for refilling the extinguisher and for clean-up will be assessed. Transmission of a false alarm is a violation of state law and violators will be prosecuted. P42 Gambling. Gambling in any form is prohibited. Games. Because of potential physical harm or residence hall damage, active games such as running and the use of frisbees, footballs, ice or water fights etc., are not allowed within residence halls. It is the responsibility of the camp to store the equipment for the camp such as basketballs, etc. Guests With Disabilities. Conference guests that need any special accommodations should contact SFA's Camp Coordinator prior to arrival. Housekeeping. Housekeeping staff are on duty Monday through Friday. Common areas of the residence halls and community bathrooms are cleaned daily. Cleaning of individual rooms and trash in individual rooms is the responsibility of the camper. Any housekeeping concerns should be reported to the front desk. Keys. Individual K-keys are issued according to the Camp Director's request an ^University Policy to each camper at the time of check-in. Keys must be turned in to residence hall staff at checkout. A replacement fee will be assessed for each key that is not returned at the end of the camp session. This charge covers the cost to change the lock and make a new set of keys. Camp officials will not be issued master or front door keys to any building. In the event a camper is locked out of a room, Camp Staff will be asked to confirm the identity and room assignment of the camper before a new key is issued. Each Camp Director will develop the camp procedure for lockouts. Laundry Facilities. Coinless washing machines and dryers are located in each residence hall. Lost and Found. Lost and found items should be turned into the front desk. At the end of each camp, the Camp Director may pick up any lost and found items. Anything left over from the camp will be turned into the sponsoring department University Center Information Desk on campus. SFA cannot be responsible for lost or stolen items. Maintenance. Any maintenance problems should be reported to the Hall Director or desk personnel. Abuse of elevators, televisions, laundry machines or ice equipment or other excessive maintenance charges may be billed to the camp. Medication. The residence hall staff will not dispense any type of medication to a camper. Contact the SFA health clinic at (936) 468-4008 if a camper will need assistance with medication during the camp session. Movies. No movies may be shown in the residence hall lobbies due to licensing law restrictions. Pets. No pets are allowed within the residence halls. P43 Public Areas. Eating, drinking and smoking are not permitted in the lobbies, hallways, laundry rooms, community baths or other public areas. Pizza parties etc., should be held outside or the food distributed and the campers dispersed to their rooms. Roommates. The Camp Director will handle all roommate problems. If a room change is necessary, consult the Hall Director. Smoking. No smoking is allowed in the residence halls or on the front porches during camps. Storage. Rooms used for reasons other than living space will be charged the private room rate, (i.e. storage, offices or conference rooms). Telephones. The University does not furnish telephones for individual residence hall rooms. Camp staff members are encouraged to bring telephones. Local telephone service is provided in each room. Dial 9 for an outside line. In order to place a long distance phone call, a telephone calling/credit card must be used. Incoming collect calls may not be accepted. The phone number is printed on the telephone jack. Trash Policy. The SFA Housing Department is responsible for the overall cleaning of the residence halls, but it is the Camp Director's responsibility to make sure campers' posters, trash and other items are removed from the rooms and taken to the dumpsters located outside of each building. The Housing Department will furnish each camper with a plastic trash bag when they check into the building and large bags at the end of each camp to gather all of the smaller bags for removal from the building. Vending. Vending machines are provided for the convenience and enjoyment of the camp participants. Empty or malfunctioning machines should be reported to the front desk as soon as possible. Camp participants who lose money in the machines should report to the U.C. Business Office, located in the basement of the University Center, for a refund. Windows. Windows in residence halls must be closed at all times for air conditioning systems to function properly. Window screens may not be removed by residents. Dining Service Meal tickets to be used by camps will be printed and enclosed in the camp packet according to the estimated number stated on the reservation form. As a general rule, extra meal tickets will be included to handle lost and damaged cards. Meal cards are numbered for use in assignment. If a card is lost, the Coordinator's office should be notified immediately and SFA Dining Services will be alerted to watch for the lost card. SFA Dining Services will charge the group for actual meals eaten. There will be a charge for failure to notify reservations if the group misses a meal. The count will be taken at the cafeteria register and that count will be considered final, should a dispute arise. To facilitate quick access to the cafeteria when several large groups are on campus simultaneously, meal times will be staggered. From the information provided on the reservation P44 form, Food Services will be notified of the first and last scheduled meals to be eaten in the cafeteria and whether or not the group will be missing a meal. If the group misses a meal and the Coordinator was not notified, a 75% minimum charge will be assessed. Special banquets in the University Center can be arranged through the Coordinator's office according to University Center policies. HPE Facilities If the pool is to be reserved for a specific camp, arrangements must be made through tho Coordinator's office. The pool cannot be reserved during regular SFA swim hours. A cost por-hour, per-lifeguard will be assessed for the reservation and billed on the final total camp bill. Campers will bo required to show camp identification cards for admission into the HPE building. No equipment will be checked out to campers. Gyms, volleyball courts, and softball fields may bo reserved at timos that do not conflict with SFA classes. Tennis courts aro available as long as SFA board students are not preempted. The weight room will bo open for casual use at specified PHYSICAL ACTIVITY FACILITIES Primary physical activity facilities are the Shelton Gym, Norton Health and Physical Education Complex (HPE), the outdoor swimming pool, tennis courts, intramural fields and sand volleyball courts. Facility requests will be made in writing by the Camp Director on the Camp/Conference Reservation Contract All physical activity facilities will be scheduled around academic classes (to be set in March), maintenance, intramural programs and field condition, 1. Shelton Gym — basketball or general use. One regulation size basketball court or two smaller basketball courts with P.A. system and bleachers for approximately one thousand. Can be booked for sports camps and cheerleading camps during the day, 8am —7pm, Can be booked for recreational camp use from 7pm —10pm. Camps will be allowed one gym only. 2. Norton HPE Complex —five basketball courts with no seating or PA system. Can be booked for sports camps and cheerleading camps from 8am — 7pm and for recreational use from 7pm — 10pm. Camps will be allowed one gym only. 3. Outdoor Swimming Pool — capacity of 150 swimmers, can be booked from 7pm—10pm for camp use with a two hour minimum. 4. Tennis Courts — twelve courts available for camps/conferences, can be reserved from 8am — 10pm. No equipment will be furnished by the University. 5. Intramural fields — located on Wilson Drive, usually set up for softball during the summer months. Can be requested from 8am — 10pm. The fields will not be confirmed until two weeks prior to the camp. P45 6. Sand volleyball Courts —four courts. Can be reserved from 8am — 10pm. University Center Games Area The Games area located in the University Center basement will be available to campers during regular SFA hours. Special permission for use at other times may be granted by the Director of Auxiliary Services. Group reservations should be made on the camp reservation form. Cost for games and machines are posted in the Games area. A late charge may be assessed for groups staying after hours. University Center Meeting Rooms Rooms in the University Center are made available to summer camps on a first-come, first-serve basis following established University Center policies. Only food purchased through the University is to be served in the University Center meeting rooms. Arrangements for room set-up and food orders for banquets or meetings must be made in the Coordinator's office two weeks prior to the event. Failure to notify the Coordinator of a cancellation approximately 72 hours in advance of the scheduled activity will result in payment of the cost incurred by the University Center or Food Service personnel. University Center decorating restrictions will be strictly enforced. The Nibbler's Nook and the lounge areas are non-reservable areas during regular operating hours. Lounges are primarily intended for general use by the public. Due to limited space in the University Center, rooms in the U.C. will not be available for storage before the camp dates. Boxes shipped before the group's arrival to the campus must be held by the sponsoring department. Academic Buildings for Meeting Rooms The Coordinator will be available to assist Camp Directors in reserving meeting spaces in academic buildings and auditoriums following policy guidelines for each building. For assistance, the Camp Director should specify dates, hours, and group size on the reservation form. Coliseum Reservations for use of the coliseum will be arranged by the Coordinator following the University regulations for coliseum usage. A per-event fee may be charged. University Police/Parking Parking permits will be available through the Coordinator's office for campers bringing cars and buses to the SFA campus. Parking permits are to be displayed in the car window while on campus and disposed of after the camp is completed. If a group of parking spaces is needed, the Coordinator will arrange with the University Police Department for an area to be marked off for the camp. P46 Source of Authority: Board of Regents, President, Vice President for University Affairs Cross Reference: None Contact for Revision: Director of Auxiliary Services Forms: Medical Release and Consent Form (available in Auxiliary Services); Camp/Conference Reservation Contract (available in Auxiliary Services); Camp Director's Check List Form (available in Auxiliary Services) P47 Energy Conservation B-6 | Original Implementation: December 4,1987 Last Revision: October 26,1999January 15, 2002 The University supports, and is committed to, the statewide effort of the Texas Governor's Office, The General Appropriations Act, 70th Legislature and the Energy Conservation Design Standard for New State Building, updated in 1993. The University has and will continue to maintain the most efficient operation of all utilities and equipment by the operation of: an automated energy management system, replacement of HVAC/Electrical equipment in a timely and cost efficient manner, and a review of building operation, usage, and schedules. It is the intent of the University to serve its academic and auxiliary needs with cooling and heating requirements based on approved operational schedules. The automation system is programmed each scmostor to meet needs and any significant requirements not included in normal operations must be approved by Director of Physical Plant prior to changes being made. Start and stop schedules are entered by Physical Plant personnel after approval by the Director of Physical Plant. Physical Plant should be given notice at least eight (8) work hours prior to event. If notice is given after normal work hours, the user may be charged overtime. All local utility power shortage problems will be handled by the Physical Plant Department, the local energy supplier and the Vice President for Business Affairs. The requirements so determined will be routed thru the appropriate organizational channels. Users of University facilities that require an additional cost due to utility usage, will be charged a fee to cover the cost of the additional utility expense. The amount of the fee will be determined by the Physical Plant Department and approved by the Vice President for Business Affairs. Source of Authority: General Appropriations Act, President, Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Physical Plant Forms: None P48 Physical Plant Charges B-21 Original Implementation: December 7,1987 Last Revision: October 26,1999 January 75, 2002 Funding for repairs to campus buildings comes from several sources and the type and use of the building determines the source of funding. Funding is as provided below- : Educational and General BuildingST ( i.e.,Offices, classrooms, Library, etc.) Maintenance of these buildings and building equipment is the responsibility of the Physical Plant Department and paid from funds budgeted for that purpose. The Physical Plant Department may charge Educational and General accounts for the following material and services. 1. Materials taken from stock not used in maintenance projects. 2. Repair of equipment. 3. Set-up charges. 4. Paint requests when redecorating. 5. Materials and labor for millwork. 6. Vehicle rentals and gasoline. 7. Minor alterations that change the structure of the facility. 8. Replacement of lost keys or lock changes due to lost keys.T | 9. Call back expenses that are not caused by normal maintenance requirements, that are the responsibility of Physical Plant. (Example: a special event on a weekend, not scheduled in advance with the Physical Plant Department, or having to call an HVAC person in to turn A/C on) Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Physical Plant Forms: None P49 University Vehicles (Rental & 15-Passenger Van) B-30 Original Implementation: June 1, 1984 Last Revision: July 17, 2001 January 15, 2002 The provisions of the policy on the Use of University Facilities govern the use of all buildings, facilities, equipment, and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to University vehicles. I. Official Use: University motor vehicles can only be used for the transaction of official University business. A. Reservations 1. Vehicles will be rented exclusively to individuals or organizations that have funds budgeted by the University. 2. All vehicles, except road buses, are rented on a first-come, first-serve basis. Reservations can be made by memo to the Physical Plant Grounds and Transportation Department, P.O. Box 13031 SFA Station, by phone at 468-5107, or on the Physical Plant Web site. Reservations should be made as far in advance as possible. 3. Persons for whom reservations are made must be on the Approved Drivers List and be acting on behalf of, and within the responsibility of, the University department that he/she is employed. Must have a minimum of four passengers for vans, must have definite pick-up and return times, and must have an approved University account. 4. Cancellations should be made as far in advance as possible. Cancellations made less than 48 hours in advance will incur a $20.00 fee. B. Procedure for Checking Out Vehicles 1. Vehicles can be picked up at the Physical Plant Grounds and Transportation Department, located at Starr Avenue and University Drive, between 7:00 a.m. and 4:00 p.m. Monday through Friday. 2. Special arrangements may be made for pick-up outside normal hours. 3. When two or more users are renting the same vehicle over a weekend, the users may be required to turn in and pick up vehicles at the University Police Department. P50 4. Individuals picking up vehicles must present a Stephen F. Austin State University Approved Driver Certificate and a valid driver's license. 5. Personnel in the Grounds and Transportation Department, will furnish approved drivers with: a. keys to vehicle b. copy of vehicle charges and reservation form c. credit card(s) d. daily record of state-owned motor vehicle use (See Section E) \ e. vehicle readability report £ insurance card C. Passengers 1. Passengers in University vehicles will normally be Lfeniversity employees or | students traveling on University business. 2. Passengers who are not University employees or students may be authorized to ride in University vehicles when their presence is consistent with University business or functions. 3. University employees and students may have guest(s), spouse or children accompany them while the University employee or student is traveling on University business provided: a. The guest does not interfere with the University business of the trip or cause any additional expense to the University. b. The department that sponsors the trip that the guest(s) are attending must be advised in advance of the trip that non-University passengers will be traveling in University vehicles. c. If the guest is a minor child, the parent is responsible for the child's actions and is responsible for ensuring the child follows all safety policies and regulations including seat belts and child restraints. d. The University bus fleet is not equipped with seat belts or child restraints and safety of the child is the responsibility of the parent. The University fleet bus driver should report behavior difficulties to the parent and sponsoring department, P51 and may impose future restrictions on passenger privileges for those who have had behavior problems. e. Non-employee passengers will not be covered by University insurance for medical treatment, unless there is legal liability, which is covered by the general liability policy for University motor vehicles. Personal claims against the driver of another vehicle (non-University) for liability in any accident will be the responsibility of the non-employee passenger or their parent. Passengers should carry personal medical insurance coverage in case of accident or emergency. The University does not assume liability for any passenger, unless otherwise imposed under law. University employees may be covered by Workers' Compensation for injuries received on-the-job; otherwise, personal medical insurance or applicable legal liability would apply. D. Use of University Road Buses The 46-passenger Eagle bus and 36-passenger Blue Bird bus provide transportation for University departments and groups. The guidelines in this section have been established to provide a fair and equitable manner for the scheduling of the buses and to generate sufficient revenue to pay for their operation and maintenance. 1. Authorized Trips. Only University groups and departments whose trips have
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Title | Minutes of the Board of Regents of Stephen F. Austin State University. 2002, Volume No. 179 |
Subject |
Meetings Universities & colleges Stephen F. Austin State University |
Description | January 15, 2002, Volume No. 179 |
Date | 2002-01-15 |
Contributors | Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike Enoch, Gary Lopez, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf. Tito Guerrero, Janelle Ashley, Scott Beasley, Baker Pattillo, Miles McCall, Roland Smith, Yvette Clark, and other SFA administrators, staff, and visitors. |
Repository | East Texas Research Center |
Associated Dates | 2000-2009 |
Type | Publication |
Format | |
Rights | This item may be protected under Title 17 of the U.S. Copyright Law. It is available for non-commercial research and education. For permission to publish or reproduce, please contact the East Texas Research Center at asketrc@sfasu.edu |
Transcript | Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas January 15,2002 Volume 179 TABLE OF CONTENTS Page 02-04 Birdwell/Telecommunications Construction Project 1 02-05 Approval of Consent Agenda Items 1 Approval of October 23, 2001 Minutes 1 Faculty and Staff Appointments for 2001-02 1 Changes of Status 2 Voluntary Modification of Employment 3 Underenrolled classes 3 Last Class Day Report 3 Faculty Workload Report for Fall 2001 3 Selection of Investment Manager 3 Resolution to Review Qualified Investment Brokers and Financial Institutions 3 Budget Changes Less Than $50,000 3 Outdoor Pool Repair . 3 Air Handler Replacement - Norton and Rusk Buildings 4 Poultry Science Facility 4 Ferguson Building Renovation 4 Resolution to Acknowledge Review of Investment Policy and Strategy 4 Policy Revisions 4 Reports 4 A. Chair, Faculty Senate B. Vice President - Alumni Affairs D. Kolar Advertising and Marketing E. President Appendix No. 1 - Resolution Approving Financial Institutions and Brokers for Investment Transactions Appendix No. 2 - Budget Changes Appendix No. 3 - Resolution to Acknowledge Review of the Investment Policy and Strategy Appendix No. 4 - Policy Revisions A-02 Academic Appeals by Students PI A-10 Class Attendance and Excused Absence P3 A-l 1.5 Conflict of Interest in Sponsored Activities P4 A-31.5 Misconduct in Research P10 A-32 Non-Credit Continuing Education P19 A-36 Out-of-State Travel/Study P26 A-38 Regents Professors P30 A-46 Underenrolled Classes P31 A-48 Student Evaluation of Instruction P33 A-54 Semester Grades P34 B-04 Camp and Conference Reservations P36 B-06 Energy Conservation P48 B-21 Physical Plant Charges P49 B-30 University Vehicles (Rental & 15 Passenger Van) P50 B-31 Vehicle Repair/Maintenance P57 B-33 Fleet Management P58 C-17 Memberships P60 C-18 Interagency Contract P61 C-19 Interdepartmental Transfers P63 C-20A Local Purchase Authority P64 C-26 Proprietary Purchases P68 C-28 Purchase of Surplus Property... P69 C-29 Purchase of Used Equipment or Supplies... P72 C-31 Purchase Voucher P73 C-41 Investments P74 D-20.5 Items Requiring Board of Regents Approval P84 D-39 University Publications.. P88 D-43 Computing Software Copyright P90 E-01A Academic Appointment and Titles P91 E-l 3 A Duties and Responsibilities of Offices Reporting to the Vice President for Academic Affairs P93 E-26A Guarantees Relating to Matters Other Than Termination and Non-Renewal of Contracts P98 E-30N Leave of Absence - Non Academic P100 E-36 Overtime and Additional Compensation P104 E-37A Part Time Faculty P106 E-48A Summer Contracts P108 E-58 Family and Medical Leave P109 E-59 Selection of Academic Deans PI 14 F-7 Central Stores PI 16 F-36 Administrative Systems Software Changes PI 18 F-37 Computer System Access PI 19 F-38 Restart and Recovery P123 MINUTES OF THE MEETING BOARD OF REGENTS STEPHEN F. AUSTIN STATE UNIVERSITY NACOGDOCHES, TEXAS JANUARY 15,2002 The meeting was called to order at 9:05 A.m. by Chair Mike Enoch. Board members present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike Enoch, Gary Lopez, Susan Roberds, Lyn Stevens, Mike Wilhite and Fred Wulf. Others present in Board Room 307: Tito Guerrero, Janelle Ashley, Scott Beasley, Baker Pattillo, Miles McCall, Roland Smith, Yvette Clark, and other SFA administrators, staff, and visitors. 02-04 Upon motion of Regent Wilhite seconded by Regent Roberds, with all members voting aye, it was ordered that the University be authorized to proceed with the Birdwell/Telecommunications project using proposed Site 1, the Power Plant I Renovation, and the campus infrastructure improvements as approved by HB 658 of the 77th Legislature. The projects will not exceed $16,657,090 which includes $14,070,000 from Tuition Revenue Bonds and $2,587,090 in HEAF or other funds pledged by the University to match the Tuition Revenue Bond funds. The administration is authorized to seek Coordinating Board approval of the projects and to sell tuition revenue bonds through the Texas Public Finance Authority to finance the projects and that the chairman of the Board and/or the President be authorized to sign the necessary contracts, documents, and resolutions as required. 02-05 Upon motion of Regent Lopez, seconded by Regent Butler, with all members voting aye, the following consent agenda items were approved: Approval of the minutes of October 23, 2001 Faculty and Staff Appointments for 2001-02 1. Admissions Mr. Scott A. Hescht, Admissions Media Coordinator, at a salary of $26,744 for 100% time for twelve months, effective November 26, 2001. Ms. Sharon T. Swindell, Admissions Regional Coordinator, at a salary of $26,744 for 100% time for twelve months, effective October 22, 2001. 2. Social Work Dr. Michael O. Doughty, Assistant Professor, Ph.D. (University of Texas- Austin), at a salary of $42,000 for 100% time for nine months, effective January 1,2002. Dr. Peter T. Simbi, Professor, Ph.D. (University of Minnesota), at a salary of $62,900 for 100% time for nine months, effective January 1,2002. 3. Liberal Arts, Dean s Office Ms. Jennifer Videtto, Director for the Center for Academic Advising, MBA (University of Louisville), at a salary of $35,000 for 100% time for twelve months, effective January 1, 2002. 4. Athletics Mr. Michael Santiago, Head Football Coach, state mandated 4% raise, effective September 1,2001. Mr. Jerrell Mark Bradley, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective February 1,2002. Mr. Robert Kim Dameron, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Kevin Goodwin, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Todd Ivicic, Assistant Coach and Instructor of BCinesiology, state mandated 4% raise, effective September 1,2001. Mr. Robert Walker, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. Mr. Kenny Washington, Assistant Coach and Instructor of Kinesiology, state mandated 4% raise, effective September 1,2001. 5. University Advancement Dr. Jerry E. Holbert, Vice President, at a salary of $112,000 for 100% time for twelve months, effective February 15, 2002. Changes of Status 1. Student Affairs Mr. Steven Westbrook, from Director of Student Activities, at a salary of $58,068 for 100% time for 12 months, to Director of Student Affairs, at a salary of $70,630 for 100% time for 12 months, effective November 1,2001. Ms. Beverly Farmer, from Associate Director of Student Activities, at a salary of $44,129 for 100% time for 12 months, to Associate Director of Student Affairs, at a salary of $48,129 for 100% time for 12 months, effective November 1, 2001. Mr. Michael Preston, from Program Advisor, at a salary of $30,400 for 100% time for 12 months, to Assistant Director of Student Affairs, at a salary of $39,000 for 100% time for 12 months, effective November 1, 2001. 2. University Advancement Dr. Scott Beasley, from Interim Vice President for University Advancement and Dean, College of Forestry, at a salary of $120,054 for 12 months to Dean, College of Forestry at a salary of $108,054 for 12 months, effective February 15, 2002. Voluntary Modification of Employment 1. Dr. Jerry N. Lackey, Psychology, effective September 1, 2002. Leave of Absence 1. Art Mr. Donald Beason, leave with pay, effective January 1, 2002. UnderenroIIed Classes It was ordered that the Chair of the Board be authorized to sign the official report for Spring 2002 when the data is available. Last Class Day Report It was ordered that the last Class Day Report for the Fall semester, 2001 be approved as presented. Faculty Workload Report for Fall 2001 It was ordered that the faculty workload report for the Fall semester, 2001 be approved as submitted at the meeting. Selection of Investment Manager It was ordered that Merrill Lynch be named as Investment Manager. Resolution to Review Qualified Investment Brokers and Financial Institutions It was ordered that the Resolution Approving Financial Institutions and Brokers for Investment Transactions be approved as presented. The following brokers/investment managers are listed in the resolution, submitted in Appendix No. 1: Merrill Lynch Inc., Salomon Smith Barney Inc., Southwest Securities Inc., Regions Investment Co./Morgan Keegan, Bank of New York, Prudential Securities Inc., Paine Webber, and Fayez Sarofim. The following financial institutions are also listed in the resolution for review and approval: Citizen's First Bank, Commercial Bank of Texas, First Bank and Trust, Bancorp South Fredonia, Regions Bank Stone Fort, and Texas Bank. Outdoor Pool Repair It was ordered that the University be authorized to make the required repairs to the outdoor pool and that the President be authorized to sign the necessary contracts and purchase orders. The Physical Plant will serve as general contractor for the project. Cost not to exceed $90,000. Air Handler Replacement - Norton and Rusk Buildings It was ordered that the University be authorized to replace the air handlers in the Lucille Norton Building and the Rusk Building, with the Physical Plant acting as general contractor, and that the President be authorized to sign the necessary contracts and purchase orders. Funds are from the FY-2002 HEAF allocation and will not exceed $140,000. Poultry Science Facility It was ordered that the Board of Regents authorize the President to investigate financing options for the construction of four state-of-the art broiler houses to be erected on a site at the Walter Todd Beef Farm. Such options may include, but are not necessarily limited to, operating leases, facility leases, lease-purchases, or gifts. The President is authorized to investigate the possibility of combining financing options to achieve the desired goal of 100% external funding of the construction project. Ferguson Building Renovation It was ordered that existing space in the Ferguson Liberal Arts Building be renovated to provide suitable space for the Dean of Liberal Arts and the Academic Advising Center. The Physical Plant Department will act as general contractor for the project, with a cost not to exceed $85,554 and the source of funds to be HEAF. The President will be authorized to sign all necessary purchase orders and contracts. Resolution to Acknowledge Review of Investment Policy and Strategy It was ordered that the Board ratify the Resolution to Acknowledge Review of the Investment Policy and Strategy as presented in Appendix No. 3. Policy Revisions It was ordered that the policy revisions be approved as presented. REPORTS A. Faculty Senate Chair, Dr. Joe Devine 1. Salary concerns 2. Academic standards and admissions policy 3. Retention rate 4. Intellectual Property and Policy D-20 B. Vice President for Alumni Affairs, Dr. Miles McCall 1. Update on Mentor Ring Program C. Kolar Advertising and Marketing 1. Update on Marketing Plan D. President, Dr. Tito Guerrero 1. Meetings with School Superintendents and Community College Presidents 2. Meeting with Governor Perry 3. Board of Visitors, Air University, Maxwell Air Force Base 4. Exploration of Possible Collaborations with State of Chihuahua 5. Interior Design Accreditation Team Visit 6. Meeting with Ping Log Editorial Board 7. Meeting with Residents of Pine Crest Retirement Community 8. Meeting with Members of Board of Angelina College 9. Spoke at Angelina County Chamber of Commerce First Friday Forum 10. Dinner with Board Members of SFA Alumni Foundation and SFA Alumni Association at President's Home 11. Scheduled to Speak at Martin Luther King Day Event 12. Student Recruitment in Corpus Christi 13. Meeting with Texas Superintendents at Mid-Winter Conference in Austin 14. Student Recruitment in Houston 15. Meeting with Personnel Affiliated with the W. K. Kellogg Foundation and Rose Bruford College 16. Meeting with Texas Band Directors at TMEA Meeting in San Antonio 17. Scheduled to Speak at Nacogdoches Chamber of Commerce Fourth Friday Luncheon 18. Answer Questions from Members of the Board of Regents Meeting adjourned at 10:55 a.m. Appendix No. 1 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION APPROVING FINANCIAL INSTITUTIONS AND BROKERS FOR INVESTMENT TRANSACTIONS WHEREAS, The Texas Public Funds Investment Act requires the University to submit a resolution approving a list of qualified investment brokers to the governing body of the institution for adoption and/or review; and WHEREAS, the following firms are approved investment brokers: Bank of New York Merril Lynch, Inc. Regions Investment Company, Inc/Morgan Keegan Salomon Smith Barney, Inc. Southwest Securities, Inc. Fayez Sarofim Inc. Prudential Securities, Inc. Paine Webber WHEREAS, the following firms are approved financial institutions: Citizen's First Bank Commercial Bank of Texas First Bank and Trust East Texas Bancorp South Fredonia Regions Bank Stone Fort Texas Bank NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this Resolution, does hereby approve the above listed firms for investment transactions by Stephen F. Austin State University; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 15,2002 meeting of the Board. THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY Mike Enoch, Chair Susan Roberds, Secretary Appendix No. 2 Stephen F. Austin State University Schedule of Budget Increases September 27, 2001 to December 13, 2001 ACTIVITY RECIPIENT INCOME SOURCE SOURCE DESCRIPTION AMOUNT Revenue Budget 600 Additional Revenue 16,610 Additional Revenue 3,394 Additional Revenue 23,210 Additional Revenue 2,263 Additional Revenue 15,000 Additional Revenue 6,455 Additional Revenue 15,652 Additional Revenue 11,200 Additional Revenue 4,567 Additional Revenue 1,000 Additional Revenue 4,080 Additional Revenue 4,520 Additional Revenue 1,200 Additional Revenue 15,000 Additional Revenue 5,490 DATE October 9, 2001 October 11,2001 October 16, 2001 October 19, 2001 October 31, 2001 November 9, 2001 November 14, 2001 November 26, 2001 November 12, 2001 December 3, 2001 December 3, 2001 December 3, 2001 December 3, 2001 December 7, 2001 December 13, 2001 December 13, 2001 TOTAL 130,241 Appendix No. 3 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, The Texas Public Funds Investment Act requires that each University s investment policy and strategy must be annually reviewed by the governing board of the institution; and WHEREAS, the law also requires the governing body to adopt a written instrument stating that is has reviewed the investment policy and strategy; NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University Board of Regents, by the issuance of this Resolution, does hereby approve the investment policy and strategy as reviewed on January 15, 2002; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 15,2002 meeting of the Board. Attest: gk&ta de la GarzajGra^v Kenni FredWulf Appendix No. 4 Policies for Board Review January 15,2002 Appendix No. 4 Policies for Board Review January 15,2002 Appendix No. 4 Policies for Board Review January 15,2002 Academic Appeals by Students A-2 Original Implementation: August 31,1981 Last Revision: January 10,199915, 2002 Good communication between faculty and students will make disputes between them infrequent, but if disagreements occur, it is University policy to provide a mechanism whereby a student may formally appeal faculty decisions. When a student uses the appeals procedure, all parties should endeavor to resolve the dispute amicably at as early, a stage as possible and in compliance with applicable laws, regulations and policies-rH the Department Chair, College Dean, College Council, or Academic Vice President finds that the faculty member's disputed action conflicts with federal or state laws/regulations, University, college, or department policy, or with the instructor's own stated policy, then a decision should be made to adhere to tho appropriate laws, regulations or policies. If the disputo is determined to be based upon a faculty member's professional judgement, such as tho evaluation of a test, a thesis, or performance in a class, tho student is entitled to have, in turn, tho Department Chair, College Dean, College Council, or Academic Vice President form an opinion about the dispute and advise tho instructor of their opinion, but t7he faculty member, after considering the advico of the administrators outcome of the appeals process, shall retain complete academic freedom to make the final determination on the matter. These steps are to be followed when making an academic complaint: All materials under consideration at each step will be forwarded to the appropriate parties at the next procedural level. 1. In the event of course-related complaints or disputes, the student must first appeal to his/her instructor for a resolution to the matter and must do so within 30 days after the first class day of the next semester/session. Exceptions will be granted in which appeals may be considered after this time period given extenuating circumstances. 2. If a complaint or dispute is not satisfactorily resolved, the student may appeal to the Chair/director of the academic department in which the complaint or dispute is centered. If a formal complaint is to be registered, it should be made in writing stating the specific issues. The faculty member will respond with a written statement to the department chair. 3. If the complaint or dispute is still unresolved after appeal to the Chair/director, the student or faculty member may appeal in writing to the dean of the academic college in which the complaint or dispute is centered. The dean will notify the faculty member or student of the appeal. 4. If a resolution of the matter is not reached, the student or the faculty member may appeal to the College Council of the college in which the complaint or dispute is centered. The College Council will evaluate the oral and written statements of the student and the faculty member. If the College Council does not have at least one student member, the President of the Student Government Association will be asked by the dean PI to recommend no more than two student representatives to serve for each case. The College Council will submit its recommendation to the dean of the academic college. 5. If a resolution of the matter is not reached, the student or the faculty member may appeal in writing to the Vice President for Academic Affairs. The Dean's written recommendation in addition to all previous materials will be submitted to the Vice President. The College Council of the College in which the complaint or dispute is centered may serve as an advisory body to the Vice President who will make the final decision (regarding professional judgments) in the appeal process. The Vice President will evaluate all previous materials and any additional oral presentations from the student and faculty member. 6. After making a decision, the Vice President will inform the student and all persons involved in the appeal process of the final disposition of the matter within a reasonable period of time. STEPS FOR RESOLVING STUDENT-INITIATED ACADEMIC CAOMPLAINTS Student Instructor Department Chair/Director College Dean College Council and 1 or 2 students College Dean Vice President for Academic Affairs Source Of Authority: United States Constitution XIV, Vice President for Academic Affairs Cross Reference: Faculty Handbook, Student Handbook and Activities Calendar Contact For Revision: Vice President for Academic Affairs Forms: None P2 Class Attendance and Excused Absence A-10 Original Implementation: November 9,1981 Last Revision: April 30, 2001Januany 75, 2002 Class Attendance Regular and punctual attendance is expected at all classes, laboratories, and other activities for which a student is registered. For those classes where attendance is a factor in the course grade, the instructor shall make his/her class policy known in writing at the beginning of each term and shall maintain an accurate record of attendance. Regardless of attendance, every student is responsible for course content and assignments. Excused Absences It is University policy to excuse students from attendance for certain reasons. Among these are absences related to health, family emergencies, and student participation in certain University-sponsored events. Students are responsible for providing documentation satisfactory to the instructor for each class missed. Students with acceptable excuses will be permitted to make up work for absences to a maximum of three weeks of a semester or one week of a six-week summer term when the nature of the work missed permits. In the case of absences caused by participation in University-sponsored events, announcement via the web site of such absences by the Vice President for Academic Affairs will constitute an official excuse. Faculty members should submit as an attachment to an e-mail a written explanation of the absence, including the date, time and an alphabetical listing of all students attending to the office of the Vice President for Academic Affairs for publication. Source of Authority: Vice President for Academic Affairs | Cross Reference: General Bulletin, Faculty Handbook, Student Handbook and Activities | Calendar Contact for Revision: Vice President for Academic Affairs | Forms: None I P3 Conflict of Interest in Sponsored Activities A-11.5 Original Implementation: January 30,1996 Last Revision: July 27, 1999 January 15, 2002 I. Policy Statement Relating to Conflict of Interest A. These guidelines define general University policy and procedures regarding financial conflicts of interest in relationship to sponsored activities involving research, education, and University service. Their purpose is to protect the credibility and integrity of Stephen F. Austin State University's faculty and staff so that public trust and confidence in the University's sponsored activities is ensured. B. In accordance with Federal regulations, the University has a responsibility to manage, reduce, or eliminate any actual or potential conflicts of interest that may be presented by a financial interest of an investigator. Thus, the University requires that investigators disclose any significant financial interest that would reasonably appear to be affected by sponsored activities. C. A potential conflict of interest occurs when there is a divergence between an individual's private interests and his or her professional obligations to the University, such that an independent observer might reasonably question whether the individual's professional actions or decisions are determined by considerations of personal gain, financial or otherwise. An actual conflict of interest depends on the situation and not on the character or actions of the individual. D. For purposes of this policy, a conflict of interest exists when the University, through procedures described herein, reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of sponsored activities. E. Effective interaction between universities conducting research and industry is essential to ensure the rapid application of scientific discoveries to the needs of the Nation and to maintain the international competitiveness of domestic industry. Nonetheless, prudent stewardship of public funds includes protecting sponsored research from being compromised by the conflicting financial interests of any investigator responsible for the design, conduct, or reporting of sponsored activities. F. The value of the results of sponsored research to the health and the economy of the Nation must not be compromised by any financial interest that will, or may be reasonably expected to, bias the design, conduct, or reporting of the research. This policy seeks to maintain a reasonable balance between these competing interests, give the University the ability to identify and manage P4 financial interests that may bias the research, and minimize reporting and other burdens on the Investigator. G. The University will take all necessary steps to assure that any identified conflicts of interests will be managed, reduced, or eliminated prior to the University's expenditure of any funds under an award and certify to the funding agency that this has been done. Conflicts which cannot be satisfactorily managed, reduced, or eliminated must be disclosed to the funding agency. II. Definitions A. Conflict of interest exists if the reviewer(s) of disclosures determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of sponsored activities. B. The term Investigator, as used in this policy, means the principal investigator project director, co-principal investigator(s), and any other person who is responsible for the design, conduct, or reporting of research, educational, or service activities funded, or proposed for funding by an external sponsor. In this context, the term Investigator also includes the investigator's spouse and dependent children. C. Sponsored activities include research, education, service, or training activities funded by an external sponsor. D. Significant financial interest means anything of monetary value, included, but not limited to: 1. Salary or other payments for services (e.g., consulting fees or honoraria) 2. Equity interests (e.g., stocks, stock opti6ns options, or other ownership interests) 3. Intellectual property rights (e.g., patents, copyrights, and royalties from such rights) The term does not include: 1. Salary, royalties, or other remuneration from the University 2. Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities 3. Income from service on advisory committees or review panels for public or nonprofit entities P5 4. An equity interest that, when aggregated for the Investigator and the Investigator's spouse and dependent children, meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a five percent ownership interest in any single entity 5. Salary, royalties or other payments that, when aggregated for the Investigator and the Investigator's spouse and dependent children over the next twelve months, are not expected to exceed $10,000. III. Guidelines A. Each Investigator is required to disclose the following significant financial interests: 1. Any significant financial interest of the Investigator that would reasonably appear to be affected by the research or educational activities funded, or proposed for funding, by an external sponsor; or 2. Any significant financial interest of the Investigator in an entity whose financial interest would reasonably appear to be affected by the research or educational activities funded, or proposed for fiinding, by an external sponsor. 3. Regardless of the above minimum requirements, a faculty or staff member in his or her own best interest, may choose to disclose any other financial or related interest that could present an actual conflict of interest or be perceived to present a conflict of interest. Disclosure is a key factor in protecting one's reputation and career from potentially embarrassing or harmful allegations of misconduct. B. Each Investigator who has significant financial interest requiring disclosure shall complete a Significant Financial Interests Disclosure Form and attach all required supporting documentation. The completed Disclosure Form must be submitted with the proposal and Proposal Clearance Form (PCF) to the Office of Research and Sponsored Programs using normal University procedures. Supporting documentation that identifies the business enterprise or entity involved and the nature and amount of the interest should be submitted in a sealed envelope marked confidential and accompany the Disclosure Form and PCF. C. As required by Federal regulation, all significant financial interests must be disclosed prior to the time a proposal is submitted. All financial disclosures must be updated by investigators during the period of the award as new reportable significant Financial interests are obtained. New reportable significant financial interests includes financial interests that become P6 reportable due to an increase in value that meets the reporting threshold, as well as the acquisition of new interests that are reportable. D. The Coordinator Director of Research and Sponsored Programs, or official designee, shall conduct an initial review of all financial disclosures. If the initial determination is made that there may be a potential for conflict of interest covered by this policy, then the Disclosure packet will be referred to an Investigating Committee. Committee members are appointed by the Vice President for Academic Affairs after consultation with the Associate Vice President for Graduate Studies and Research, with this person serving as chair. A conflict of interest exists when the Investigating Committee reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of the proposed sponsored activities. The Committee shall then determine what conditions or restrictions, if any, should be imposed by the institution to manage actual or potential conflicts of interest arising from disclosed significant financial interests. E. Collaborators/subrecipients/subcontractors from other academic or not-for-profit institutions must either comply with this policy or provide a certification from their institutions that they are in compliance with Federal policies regarding investigator significant financial interest disclosure and that their portion of the project is in compliance with their institutional policies. Subcontractors from commercial firms need not make a certification, except when the prime award is from the Public Health Service (PHS PHS). The PHS requires a certification from any subcontractor, including commercial firms, stating that it is in compliance with Federal policies regarding investigator significant financial interest disclosure and that its portion of the activity is in compliance with those policies. IV. Finding of Presence of Conflict of Interest A. Resolution 1. Resolution of any potential or actual conflicts of interest will not be required until after funding has been approved and prior to any expenditure of funds under the award. 2. The Investigating Committee, along with the Investigator, will proceed to resolve any actual or potential problems revealed by the initial review of financial disclosures. In order for the conflict to be managed, reduced, or eliminated, the Committee may recommend: a) Public disclosure of significant financial interests; b) Monitoring of sponsored activities by independent reviewers; P7 c) Modification of the sponsored activity plan; d) Disqualification from participation in all or a portion of the activity funded that would be affected by the significant financial interests; e) Divestiture of significant financial interests; or f) Severance of relationships that create actual or potential conflicts of interest. 3. if if the Investigating Committee determines that imposing the above referenced conditions or restrictions would either be ineffective or inequitable, and that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the Committee may recommend that, to the extent permitted by Federal regulations, the sponsored activity go forward without imposing such conditions or restrictions. In these cases, the Vice President for Academic Affairs and the Associate Vice President for Graduate Studies and Research shall make the final decision regarding resolution. 4. The approved resolution plan shall be documented in writing detailing the conditions or restrictions imposed upon the Investigator in the conduct of the sponsored activity or in the relationship with the business enterprise or entity. 5. Actual or potential conflicts of interest will be satisfactorily managed, reduced, or eliminated in accordance with these guidelines and all required reports regarding conflicts of interest submitted to the sponsor prior to the expenditure of any funds under an award. B. Records of Investigator financial disclosures and of actions taken to manage actual or potential conflicts of interest, shall be retained by the Office of Research and Sponsored Programs until three (3) years after the later of the termination or completion of the award to which they relate, or the resolution of any government action involving those records. V. Enforcement A. The Vice President for Academic Affairs shall be responsible for determining and implementing sanctions on Investigators who have violated this policy in terms of a conflict of interest resolution. The Investigator shall be notified in writing of the recommended sanctions within twenty (20) days. If the sanctions involve a recommendation for termination of employment, the University academic termination procedures will be invoked. The University P8 must take action appropriate for the seriousness of the violation, including, but not limited to, one or more of the following, subject to existing University policies for institutional disciplinary action: 1. Termination 2. Removal from particular activity 3. Special monitoring of future work 4. Letter of reprimand 5. Probation for specified period with conditions specified B. The University shall follow Federal regulations regarding the notification of the sponsoring agency in the event an Investigator has failed to comply with this policy. The sponsor may take its own action as it deems appropriate, including the suspension of funding for the Investigator until the matter is resolved. Individuals may appeal the judgment and/or the sanction. A written statement of the grounds for the appeal must be submitted to the President within thirty (30) days of written notification of the sanctions. Grounds for appeal include, but are not limited to, previously unconsidered material evidence, sanctions not commensurate with the finding, and failure to follow the prescribed process. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination. The President will open an investigation if the previously unconsidered material evidence so warrants and may open an investigation if circumstances so dictate. The President's decision will be conveyed to all involved in a timely fashion, but must be conveyed within thirty (30) working days. In the case of termination, the appropriate University policies on termination for cause shall be followed. VI. Other Policies This policy has been developed in response to Federal guidelines for sponsored activities. State ethics laws regarding employee conduct may also apply to situations involving potential conflicts of interest. Employees are encouraged to cross reference the policies listed below and to alert their supervisor(s) of any situation that may be perceived as a potential conflict of interest. Source of Authority: Vice President for Academic Affairs Cross Reference: 42 CFR part 50, A5 CFA subtitle A 45 CFR subtitle A, NSF GPM $±Q; Faculty Handbook; E-15. Employee Conduct: E-56. Ethics Policy Statements Contact for Revision: Associate Vice President for Graduate Studies and Research Forms: Significant Financial Interest Disclosure Form P9 Misconduct in Research A-3L5 Original Implementation: April 27,1994 Last Revision: July 27, 1999 January 15, 2002 I. Policy Statement Relating to Misconduct in Research A. Stephen F. Austin State University strives to create a climate that promotes faithful adherence to high ethical standards in the conduct of scientific research, scholarship, and creative activities without inhibiting the productivity and creativity of the academic community. Misconduct in research/scholarly activity is an offense that damages the reputation not only of those involved but also of the entire educational community. B. Misconduct in research means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the scientific and scholarly community for proposing, conducting, or reporting research or other scholarly activity. It does not include honest errors or honest differences in interpretations or judgments. C. Misconduct in research/scholarly activity is a major breach of the relationship between a faculty or staff member and the institution. In order to maintain the integrity of research projects, every investigator should keep an auditable record of experimental protocols, data, and findings. Co-authors on research reports/or scholarly works of any type must have a bona fide role in the research and must accept responsibility for the quality of the work reported. D. Any inquiry or investigation of allegations of misconduct in research/scholarly activity must proceed promptly and with due regard for the reputation and rights of all individuals involved. E. The University will take all reasonable steps to assure that the persons involved in the evaluation of the allegations and evidence have appropriate expertise and that no person involved in the procedures is either biased against the accused person(s) or has a conflict of interest. II. Procedures for Addressing Misconduct in Research/Scholarly Activity A. Initial allegations, in writing, must be reported to the Vice President for Academic Affairs. If the Vice President for Academic Affairs has a possible conflict of interest, the allegations will be referred to the President of the University. The Vice President for Academic Affairs shall informally review any allegations of misconduct in research and scholarship and determine whether the allegation warrants initiation of the inquiry process according to the policies and procedures for misconduct in research and scholarship, or whether other policies and procedures, such as those relevant to employment P10 grievances should be invoked. The Vice President for Academic Affairs will counsel the individual(s) bringing the allegation as to the policies and procedures to be used. If the reporting individual chooses not to make a formal allegation but the Vice President for Academic Affairs believes that reasonable cause exists to warrant an inquiry, the inquiry process shall be initiated. Even if the individual against whom the allegation is made (hereafter referred to as the respondent) leaves or has left the University before the case is resolved, the University may pursue an allegation of misconduct to its conclusion. Once an allegation is made, the identity of the respondent will be held in strict confidence to the extent allowed by law to protect the individual involved. Where the complainant seeks anonymity, the Vice President for Academic Affairs shall operate in such a way as to maintain the anonymity to the degree compatible with accomplishing the initial review. Such anonymity cannot, however, be assured. Further, anonymity of the complainant is neither desirable nor appropriate where the testimony or witness of the complainant is important to the substantiation of the allegations. B. Inquiry 1. Purpose Whenever a warranted allegation or complaint involving the possibility of misconduct is made, the Vice President for Academic Affairs shall initiate an inquiry. In the inquiry stage, factual information is gathered and expeditiously reviewed to determine if an investigation of the charge is warranted. An inquiry is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations. 2. Structure a. The Vice President for Academic Affairs shall, after a decision to proceed with an inquiry, appoint an individual to conduct an official inquiry. This individual will have no conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case. Every effort will be made following initial administrative review of the allegation to appoint an individual within fifteen (15) working days, but the individual must be appointed within thirty (30) working days. b. Records of the inquiry are confidential to the extent allowed by law and are to be passed on to a Committee of Investigation Pll if formal review is initiated. In any case, the records shall be kept secure, and if no misconduct is found, the records should . be destroyed in accordance with Texas law. At the option of the individual conducting the inquiry, proceedings either will be tape recorded or transcribed and the records will be made available to appropriate and involved parties upon request. c. The inquiry phase will be completed within sixty (60) calendar days of its initiation unless the individual determines that circumstances clearly warrant a longer period. In such circumstances, the individual will advise the Vice President for Academic Affairs who will advise all relevant parties. The record of the inquiry will include documentation of the reason for exceeding the sixty (60) day period. d. All principals in the inquiry may be accompanied by a representative for advice and counsel. However, since the inquiry is informal and intended to be expeditious, principals must speak for themselves. 3. Process a. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the individual proposed to conduct the inquiry for the purpose of identifying in advance any actual or potential conflict of interest. b. Information, expert opinions, records, and other pertinent data may be requested by the individual conducting the inquiry. All involved parties are obliged to cooperate with this individual by supplying such requested documents and information. c. During the inquiry, access to copies of all documents reviewed by the individual conducting the inquiry will be assured to all appropriate parties. All materials will be considered confidential to the extent allowed by law and shared only with those with a need to know. During the inquiry, the Vice President for Academic Affairs and the individual conducting the inquiry are responsible for security of relevant documents. Copies of all documents and related communications are to be securely maintained in the Office of Research and Sponsored Programs. d. All parties to the case, including the individual conducting the inquiry, shall have the opportunity to present evidence and to call witnesses. P12 4. Findings a. The completion of an inquiry is marked by a determination of whether or not an investigation is warranted. The individual conducting the inquiry shall find no misconduct unless it is concluded, based on the preponderance of evidence for each allegation, that the allegation(s) have sufficient merit to call for an investigation. The outcome of the inquiry will be conveyed in writing to the Vice President for Academic Affairs, who will be responsible for communication of the findings to the respondent within ten working days. The respondent shall be given the opportunity to comment in writing upon the findings and recommendations of the inquiry. If the respondent chooses to comment, such comments must be forwarded as soon as possible within ten (10) working days. b. If the outcome of the inquiry indicates a need for formal investigation, the Vice President for Academic Affairs shall, after notification to the appropriate Dean(s) and legal counsel, initiate the investigative process. Under certain circumstances, as defined by the applicable federal regulations, the institution may be expected to notify the sponsoring agency or funding source prior to the initiation of an investigation. Factors used to determine the timing of such notification include the following: (1) There is an immediate health hazard involved; (2) There is an immediate need to protect federal funds or equipment; (3) There is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is(are) the subject(s) of the allegations as well as his/her(their) co-investigators and associates, if any; (4) It is probable that the alleged incident is going to be reported publicly; or (5) There is a reasonable indication of possible criminal violation. c. If an allegation is found to be unsupported but has been submitted in good faith, no further action, other than informing all parties, will be taken. The proceedings of an inquiry, including the identity of the respondent, will be held in strict confidence to the extent allowed by law to protect the parties involved. If confidentiality is breached, the University will take reasonable steps to minimize the damage to reputations that may result from inaccurate reports. d. If the individual conducting the inquiry finds the allegations to be unjust and malicious, those findings will be reported to the Vice President for Academic Affairs. At this time the Vice President for Academic Affairs may take such actions or impose such sanctions as are appropriate to the situation. P13 C. Investigation and Determination 1. Purpose An investigation will be initiated when an inquiry results in a finding that investigation is warranted. The purpose of investigation is to explore the allegations further and determine whether misconduct in research and scholarship has been committed. The investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the course of an investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent will be informed in writing when significant new directions of investigation are undertaken. 2. Structure a. The Vice President for Academic Affairs will, after a decision to proceed with an investigation, and after consultation with the chair of the University Research Council, appoint an Investigating Committee of no less than three persons. At least two members will be senior faculty who are without conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case.. The individual who conducted the inquiry shall not serve on the Investigating Committee. Following receipt of the inquiry report, every effort will be made to appoint an Investigating Committee within fifteen (15) working days, but the Committee must be appointed within thirty (30) working days. b. At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters. c. Hearings are confidential Written notification of hearing dates and copies of all relevant documents will be provided by the Vice President for Academic Affairs in advance of scheduled meetings. Proceedings will be tape recorded, but not the Committee s deliberations, and the records will be made available to involved parties upon request. d. Every effort should be made to complete the investigation within 120 days; however, it is acknowledged that in some cases this time period may be difficult to meet. In such cases, the Investigating Committee shall compile a progress report, identify reasons for the delay, and notify the Vice President for Academic Affairs of the additional time necessary for the investigation. The Vice President for Academic Affairs shall P14 convey to the funding agency such information as may be required by it at intervals as required by the agency. e. Both the principals and the Investigating Committee may discuss the issues personally or have a representative accompany them. 3. Process a. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the proposed membership of the Committee of Investigation for the purpose of identifying in advance any actual or potential conflict of interest. b. All parties to the case, including the Investigating Committee, may present evidence and call and examine or cross-examine witnesses. The investigation normally will include examination of all documentation, including, but not necessarily limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The Committee will make every attempt to interview all individuals involved in making the allegation or against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegations; complete summaries of these interviews will be provided to the interviewed party for comment or revision and included as part of the investigatory file. Additional hearings may be held, and the Committee may request the involvement of outside experts. The investigation must be sufficiently thorough to permit the Committee to reach a decision about the validity of the allegation(s) and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result. In addition to making a judgment on the veracity of the charges, the Committee may recommend to the Vice President for Academic Affairs appropriate sanctions if warranted. c. As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of either the inquiry or the investigation may be indicated. Such action, ranging from slight restriction to complete suspension of respondent and notification of external sponsors, if indicated, is initiated by the Vice President for Academic Affairs. d. All parties in the investigation are encouraged to cooperate by producing any additional data requested for the investigation. P15 Copies of all materials secured by the Committee shall be provided to the respondent and may be provided to other concerned parties as judged appropriate by the Committee. e. The respondent shall have an opportunity to address the charges and evidence in detail. f. After all evidence has been received and hearings completed, the Investigating Committee shall meet in closed sessions to deliberate and prepare its findings and recommendations. The Committee shall find no academic misconduct unless a majority of the members conclude that the preponderance of the credible evidence substantiates the allegation(s). g. All significant developments during the investigation as well as the findings and recommendations of the Committee will be reported by the Vice President for Academic Affairs to the research sponsor if appropriate. 4. Findings a. Upon completion of the investigation, the Committee will submit to the Vice President for Academic Affairs a full written report that details the Committee's findings and recommendations. The Committee's findings are binding upon the Institution subject to appeal by the respondent. b. This report shall also be sent to the respondent by the Vice President for Academic Affairs within ten (10) days of its receipt. 5. Resolution a. Finding of Absence of Academic Misconduct All research sponsors and others initially informed of the investigation will be informed in writing that allegations of misconduct were not supported. If the allegations are deemed to have been maliciously motivated, the Committee will report those findings to the Vice President for Academic Affairs. If the allegations, however incorrect, are deemed to have been made in good faith, no additional measures are indicated and efforts will be made to prevent retaliatory actions. In publicizing the finding of no misconduct, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. Usually, such decision will rest with the person who was innocently accused. P16 b. Finding of Presence of Academic Misconduct The Vice President for Academic Affairs shall consider the recommendations of the Committee and shall be responsible for determining and implementing sanctions. The respondent shall be notified in writing of the recommended sanctions within twenty (20) days. If the sanctions involve a recommendation for termination of employment, the University academic termination procedures will be invoked. The University must take action appropriate for the seriousness of the misconduct, including, but not limited to, one or more of the following, subject to existing University policies: 1) Institutional Disciplinary Action including: a) Removal from particular project b) Special monitoring of future work c) Letter of reprimand d) Probation for specified period with conditions specified e) Suspension of rights and responsibilities for a specified period, with or without salary f) Financial restitution g) Termination of employment/enrollment 2) Notification. The Vice President for Academic Affairs is responsible for notification of the outcome to all federal agencies, sponsors or other entities initially informed of the investigation. Consideration should be given to formal notification of involved parties such as: a) Sponsoring agencies, funding sources b) Co-authors, co-investigators, collaborators, department, University publications c) Editors of the journal(s) in which fraudulent research was published d) State professional licensing boards e) Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated f) Professional societies P17 3) Interim sanctions may be imposed during the appellate process. 6. Appeal Individuals may appeal the judgment of the Investigating Committee and/or the sanction. A written statement of the grounds for the appeal must be submitted to the President within thirty (30) days of written notification of the sanctions. Grounds for appeal include, but are not limited to, previously unconsidered material evidence, sanctions not commensurate with the finding, and failure to follow the prescribed process. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination. The President shall reopen the investigation if the previously unconsidered material evidence so warrants and may reopen the investigation if circumstances so dictate. The President's decision will be conveyed to all involved in a timely fashion, but must be conveyed within thirty (30) working days. In the case of termination, the appropriate University policies on termination for cause shall be followed. Source of Authority: Vice President for Academic Affairs Cross Reference: None Contact for Revision: Director of Research Services Associate Vice President for Graduate Studies and Research Forms: None P18 Non-Credit Continuing Education A-32 Original Implementation: March 9,1978 Last Revision: April 19, 1999 January 15, 2002 Stephen F. Austin State University's mission statement includes a service mission to focus on vital community outreach programs. To assist the University in this mission, the Division of Continuing Education in the College of Applied Arts and Sciences serves to meet the educational needs, outside the framework of traditional academic credit programs, of individuals and groups. These needs are met by offering non-academic credit short courses, seminars, workshops, conferences, institutes, and camps for personal and professional enrichment and professional accrediting agencies; University educational travel activities whether for credit or non-credit purposes (see Policy A-36, Out-of-State Travel/Study); and other special activities. I. Role and Scope The Division of Continuing Education is designated as the administrative unit of the University for all sponsored non-academic credit continuing education activities (exceptions are not-for-profit colloquia, symposia, art exhibitions and for free and for charge concerts, recitals, and performances). All non-credit outreach emanating from the University must comply with the Texas Education Code, chapter 54.545, entitled, Fees for Continuing Education Courses, which states that: "The board shall set the fee (for continuing education) in an amount sufficient to permit the institution to recover the costs to the institution of proving the course". Administrative units which have been awarded legislative appropriations for outreach and can assure compliance with the Texas Education Code, may establish their own designated continuing education organization with the approval of the Vice President for Academic Affairs. Centralized continuing education administration at the University is a necessity to ensure that all such efforts are financially self-sufficient, and that there is uniform compliance with University, state and federal policies, procedures, and guidelines. A. Goals: The overriding goals of the Division of Continuing Education are: 1. to provide life-long learning and training opportunities to the residents of the region 2. to make Continuing Education and outreach at SFA self-supporting and to enhance and enlarge the Continuing Education programming of the University 3. to compensate instructors or coordinators at the highest possible level to make it economically worthwhile to be involved in Continuing Education P19 B. Options: 1. An activity for which SFA/CE does not collect registration fees, but participants do pay a registration fee to the sponsor. In such cases a university facility use fee will be charged. This fee is assessed as a cost per person per day. Additional line-item charges may be levied. 2. An activity for which there is a registration fee collected by the Division of Continuing Education. In such cases a percentage of gross revenues will be assessed. 3. An activity for which there is no fee but the coordinator or programmer desires CEUs (continuing education units). The Division of Continuing Education will be a co-sponsor and not have any administrative duties except to certify that the activity is eligible for CEUs under University, state, and Southern Association for College and Schools (SACS) guidelines. A CEU certificate will be provided. Each of the above will be determined by the Director of Continuing Education in conjunction with the Dean of Applied Arts & Sciences. Annual fee schedules will be filed with the Vice President for Academic Affairs. II. Responsibility The Division of Continuing Education is responsible for: A. assisting any department or individual in planning and implementing a continuing education activity. (Exceptions to this policy must be granted by the Vice President for Academic Affairs.); B. collecting and disbursing all funds involved in such activities and maintaining proper financial records in line with fiscal regulations of the University; C. maintaining a system of student records and preparing transcripts where applicable for professional compliance and/or certificates for CEUs; D. meeting the guidelines established by the University, Texas Higher Education Coordinating Board, and the Southern Association of Colleges and Schools in the awarding of Continuing Education Units (CEUs). III. Procedures These procedures are to be implemented in the planning of an activity through the Division of Continuing Education: A. Should the person in charge of an activity be a University faculty member, he/she must submit an "Activity Request Form" for approval by the respective P20 department chair, college dean (if activity directly is related to academic discipline of employment), and the Division of Continuing Education. If the activity is outside one s academic discipline, a vita must be submitted stating qualifications to direct the proposed activity. B. Should the person in charge of an activity be a University employee, but not an academic faculty member, he/she must submit an "Activity Request Form" along with a resume or vita stating qualifications to direct the proposed activity for approval by the respective department chair, manager, or administrator, and the Division of Continuing Education. C. Should the person in charge of an activity not be a University employee, he/she must submit an "Activity Request Form" along with a resume or vita stating qualifications to direct the proposed activity for approval by the Division of Continuing Education. D. Should the activity be a camp, a list of organizers must be provided along with their qualifications to direct such an event. An "Activity Request Form" must be submitted for approval by the Division of Continuing Education. The activity request shall receive timely consideration and approval if it meets the criteria for outreach/continuing education as established by University, state, and/or SACS. The applicant will be contacted if changes are proposed or necessary. Issues of pricing, timing, market, instructor credentials, space availability, and academic compatibility are issues to be reviewed. When the activity request is approved, the person in charge of the activity should plan with the Division of Continuing Education as to the services needed. Services include, but are not limited to: 1. Designing and printing of the brochure/program 2. Mailing and advertising 3. Securing facilities 4. Conducting pre-registration 5. Collecting fees 6. Conducting on-site registration 7. Securing equipment, materials, and supplies 8. Providing official registration and attendance forms 9. Granting of CEUs 10. Acting as fiscal agent of event/activity, including: a. Purchasing b. Payments c. Receipts d. Accounting e. Stipends f. Payroll issues and compliance P21 E. Travel 1. All organizers of non-academic travel activities offered through the Division of Continuing Education must file an "Activity Request Form" with the Director of Continuing Education. The organizer will list on the form the stated objectives of the travel activity, showing goals that are compatible with the University and the Division of Continuing Education. 2. The agreement with the travel agency, carrier or vendor shall contain a clause that specifies that transportation, lodging, and food services are the responsibility of the carrier and not the University. Model statements may be obtained from the Director of Continuing Education and must be attached to the "Activity Request Form." 3. All other considerations of an activity with travel as its principal focus are found in Policy A-36, Out-of-State Travel/Study. IV. Fiscal Considerations The following items shall apply to the fiscal planning for all activities under the Division of Continuing Education, which must be self-supporting: A. Fees: Registration or enrollment fees should be set at a level to cover the cost of the activity and include reasonable fees for operating overhead of the Division. B. Material and supplies: Requisitions to purchase necessary materials and supplies must be submitted to the Division of Continuing Education for processing. All purchasing requisitions shall comply with state and federal laws, rules, and regulations regarding competitive procurement. If materials are already are on hand, an IDT will be processed to reimburse the department for the expense. C. Promotion: As soon as the activity is approved, requisitions for printing, activity advertising, and public relations should be submitted to the Division of Continuing Education for processing according to University and state regulations regarding competitive procurement. The Division of Continuing Education will contact Purchasing and the Office of Public Affairs on behalf of the activity. Any activity with a general audience appeal will be assessed a pro-rata fee for newspaper advertising. D. Budget: A budget will be prepared to be used as a basis for setting the registration fee. Every event is intended to provide sufficient revenue to cover all direct costs, including stipends, benefits, and overhead. Should insufficient enrollment occur, the event will be canceled. Under some circumstances an event may be conducted with insufficient enrollment if the instructor agrees to a reduced stipend (the intent is to recoup other expended funds on creating the event). P22 E. Stipends: The basis and rate of pay will be negotiated with the coordinator or instructor of an activity and will be confirmed in a letter of agreement. Depending on the nature of the activity, a percentage of revenue or an hourly instructor fee with some preparation time included will be negotiated. Payments may be made to instructors, coordinators, sponsoring departments, or other entities all to be established in advance in the "Activity Request Form". The Division of Continuing Education will follow University, state and federal regulations regarding payment of stipends/compensation to those involved with the activity. Determination will be made as to status independent contractor, employee of the University, etc., and processed accordingly. All full-time University employees are subject to payroll taxes, insurance/retirement deductions if appropriate. Part-time employees are subject to payroll taxes and other appropriate deductions, i.e., state retirement contributions, if employed by other state agencies or public school systems. F. Financial Records: As soon as all revenues are collected and all expenses paid, the Division of Continuing Education shall prepare a financial statement for the activity. A copy will be furnished to the person in charge. Confirmation of surplus/deficit (net income before stipends) will be noted by the instructor or coordinator. All fiscal policies of the University will be followed in revenue/expense processing. Request for stipend payments will be made in accordance with University procedures. G. Facilities: Dedicated space for the Division of Continuing Education consists of offices located at 541 E. College and Room 421, Liberal Arts North. All other facilities must be arranged with respective building managers. Should additional clean-up, repairs, etc. be required, these should be included in the budget of the continuing education activity. The Division of Continuing Education is authorized to contract for non-University facilities. H. Refunds: The following refund policy shall be published at least once each fiscal year and distributed to the participants upon request. 1. Registrants who withdraw prior to beginning of the activity will receive a refund minus a processing fee ($100 or less, a 10% fee; over $100, a 5% fee) 2. No refund will be granted after the activity begins. 3. Should the activity be canceled by the Division of Continuing Education, a full refund will be given. 4. Substitutes for registrants may attend provided that notification is received by the Division prior to the start of the activity. P23 5. When activities include meals, the cost of food service will also be deducted from the refund if notice is not received 48 hours in advance of the beginning of an event. 6. Under special circumstances non-refundable deposits may be required. 7. With less than projected enrollment, the activity may be postponed, rescheduled or canceled. I. Audio-visual Equipment: All audio-visual equipment must be requested from the Division of Continuing Education. If such is available, a fee schedule will be used to determine actual cost of usage. Wear and tear, bulbs, etc. must be replaced. These charges are in addition to the Continuing Education overhead percentage. V. Income and Expenditure Distribution A. All Continuing Education activities distribute revenue as follows: 1. Division of Continuing Education overhead is set by the activity 2. Instructor/coordinator stipend is set by a letter of agreement 3. Materials/supplies are itemized at actual expense 4. Advertising/promotion is set at $10 plus actual expense 5. Production is itemized at actual expense 6. Other costs are itemized according to a schedule of actual expense B. Facility Use Fees: A facility use fee may be charged in lieu of overhead expenses to cover the use of state facilities, equipment, or staff. C. Deposits: The Division of Continuing Education may require a security/guarantee deposit of 10% of expected activity expenses or $500, which ever is greater. The security deposit is required for, but not limited to, activities where expected expenses exceed $5,000, and shall be paid six months, or as soon as practical, prior to the activity date. The security deposit, minus any incurred activity expenses, is refundable up to three months prior to the activity. Cancellation within three months of the activity date forfeits refund of the deposit. Upon completion of the activity, the deposit will be applied toward financial obligations. The Director may modify or waive the security P24 deposit for individual activities. University sponsored activities are exempt from security/guarantee deposit. D. Pre-Payments and Advances: 1. Some activities may require pre-payment of enrollment/registration fees to confirm registration. Registration is complete upon receipt of payment. 2. In the event an instructor or coordinator is given an advance on expected income from an activity, and it is determined, upon completion of the activity and the final expense report, that the instructor or coordinator was over-compensated, the full amount of the overpayment must be returned to the Division of Continuing Education within 15 days. Source of Authority: Vice President for Academic Affairs, Texas Education Code Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: Activity Request and Approval Form (Available in the Division of Continuing Education) P25 Out-of-State Travel/Study A-36 Original Implementation: September, 1981 Last Revision: July 27,1999 January 15, 2002 Out-of-state travel courses are those courses whose fundamental content is based on the use of natural or cultural resources found outside the state and in which a majority of instruction is delivered out-of-state. They do not include courses delivered on campus in which incidental travel to another state for enrichment activities occur. Requests for courses involving out-of-state travel must be routed, using an "Out-of-State Travel/Study Course Request Form", for approval via the instructor's department Chair, college Dean, the Director of Continuing Education, the Dean of Applied Arts and Sciences (who is out-of-state travel/study coordinator and responsible for submitting course requests to the THECE), and the Vice President for Academic Affairs. 1. The approval process consists of two stages. a. Tentative approval prior to formal arrangements and an agreement with a licensed carrier or travel agency if required. Criteria for approval shall be those set by the Texas Higher Education Coordinating Board and stated as follows: (1) No courses which offer credit primarily for travel, recreation, or pleasure may be authorized. (2) No out-of-state classes may be offered to serve non-Texas residents unless they are degree candidates at Stephen F. Austin State University, and they must be charged the non- resident or foreign student tuition as established by law. (3) No student may be eligible to enroll in an out-of-state class unless the student has satisfied all University and degree program admission requirements and has paid all appropriate fees. (4) All courses must be in the approved course inventory and be applicable to a program approved by the Coordinating Board. (5) In accordance with THECB Rules: (Chapter 5, Subchapter H, and Memorandum of Reporting Out-of State and Out-ofCountry Courses dated April 10, 2001) each public institution wishing such approval shall submit its request on an "Out-of- State Resident Credit Course Request" form. For each course or group of related courses, the institution must attach a statement describing in detail how the course or group of courses will utilize academic, cultural, or physical resources not reasonably available in Texas. P26 (6) The instruction in all authorized out-of-state classes must conform to all relevant academic policies at SFASU. All courses must conform to the University's workload and enrollment requirements, its contact hour/credit ratio, and similar matters. (7) If a course is to be taught by adjunct faculty (anyone other than regular University faculty), a statement must be attached describing the unique qualifications of personnel to be employed at the out-of-state site. (8) Motivation for the offering of courses must be educational, not entrepreneurial, and may not result in improper advantage or financial gain for participating faculty and staff. Out-of- state classes must emphasize their instructional nature. Any course advertised or marketed to create the impression that it is primarily a credit-for-travel experience will be disallowed. (9) Any free tickets for travel, accommodations, or other expenses provided by travel agents, carriers, or hotels must take the form of payments to SFASU and not be made as gifts to faculty members or their families. Except for funds specifically appropriated for international activities (e.g., state incentive programs, scholarships, etc.), state funds will not be used for faculty and student travel, meals and lodging, or other incidental expenses. (10) Financial aid must be available to students registering for out-of-state classes on the same basis as it would be for such students seeking financial aid for on-campus instruction. Additional student financial aid may be furnished by the University as appropriate. (11) Minimum class enrollments will conform to the same standards applicable were the class to be offered on-campus. b. Final approval based upon the submission of a total itinerary, plan of study and copies of promotional brochures to be used. The rationale used for final approval will consist of a written explanation of how the course will involve cultural, intellectual, academic or natural resources not accessible in Texas or produced via standard laboratory exercises. 2. Deadlines for approval are as follows: a. Tentative approval (1) Fall semester: Prior to February 1 (2) Spring semester: Prior to June 1 (3) Summer semester: Prior to November 1 P27 b. Final approval and submission to the Coordinating Board (1) Fall semester: May 1 (2) Spring semester: September 1 (3) Summer semester: February 1 3. The agreement with the travel agency carrier, or vendor shall contain the following clause specifying that transportation, lodging, and food services are the responsibility of the carrier and not the University: Stephen F. Austin State University and its representatives shall assist the tour members in making arrangements for hotels, transportation, sightseeing, restaurants, or any other services in connection with the itinerary, and the University and its representatives shall exercise reasonable care in making such arrangements. The University and its representatives shall not, however, assume any liability whatsoever, for any injury, damages, loss, delay or accident to person or property due to any act or default of any hotel, carrier, restaurant, company, or person rendering any of the services included in the tour. The tickets, coupons, rules, tariffs, or contracts currently in use by any carrier, hotel, restaurant, or other contractor, rendering service, shall constitute the sole contract between such contractor and the tour member. Further, (Tour Agent) and Stephen F. Austin State University accept no responsibility for any damage or delay due to sickness, pilferage, labor dispute, machinery breakdown, quarantine, government restrictions, weather, or any cause beyond their personal control. The right is reserved to cancel or change itineraries, or substitute services without notice and to decline to accept or retain any tour member at any time. Additional expenses, if any, shall be borne by the participants. The airlines concerned and their agents or affiliates, are not to be held responsible for any act, omission, or event during the time passengers are not on board the aircraft. The passenger ticket in use by said airline shall constitute, when issued, the sole contract between the airline and the purchaser of these tickets and/or for the passenger. Air fares are subject to change without notice. The services of any IATA carrier may be used for these tours, and transportation within the USA may be provided by any member carrier of the Air Traffic Conference of America. In view of the statutory or contractual limitations which may apply to personal injury or losses or damages to property, the purchase of accident and baggage insurance is strongly recommended. 4. The brochure that is distributed to prospective students must contain a clause which specifies that where there is a contract for transportation, lodging and food, the student's contract is with the travel agency or carrier. The University is responsible for instruction and credit only. P28 5. All student deposits for reservations for a course involving contract travel will be deposited with the Division of Continuing Education. After the deadline for reservations has passed, a check will be drawn payable to the agency or carrier, or if the course does not make, refunds will be made to students. For those courses not using contract travel, deposits must be made immediately on receipt to the appropriate University account. 6. All purchases are subject to the state bid procedures. Trip directors must submit requests for bids or justifications for contracts with specific vendors or agents. 7. The salary of the instructor will be paid in one of the following ways: a. The instructor's regular salary will be paid from the department's budget, or b. The instructor's salary will be paid through the College of Applied Arts and Sciences prorated on the basis of enrollment, not to exceed his/her regular salary. 8. There will be no travel allowance for the instructor unless specific exception is made by the Vice President for Academic Affairs. Source of Authority: Texas Higher Education Coordinating Board, President, Vice President for Academic Affairs Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: Out-of-State Travel/Study Course Request Form (available in Division of Continuing Education) P29 Regents Professors A-38 Original Implementation: October, 1979 Last Revision: My27,l999-January 15, 2002 Each year at its spring meeting, the Board of Regents recognizes one or two truly outstanding faculty members as Regents Professors for the coming academic year. These professors receive a monetary award to be used in support of their activities in that year and are recognized at the spring commencement ceremonies at the end of their term, at which time they are presented a medal. Only tenured full professors are eligible for nomination for Regents Professor. 1. A nomination shall be made by a tenured faculty member of the University in writing to the department Chair and shall consist of the resume and supporting documents that can be contained in one 3 inch, 3 ring, notebook. 2. A nomination shall bo submitted without regard to the distinction betwcon teaching and research. 32. Previous recipients shall serve as a review panel and individually and independently submit a ranking of nominees to the Vice President for Academic Affairs. 43. Nominations shall be reviewed by the Council of Deans, which shall recommend the nominees who best represent teaching and/or research of exceptionally high quality. $4. The Council of Deans shall make its recommendations, in turn, to the Vice President for Academic Affairs, the President, the Chair of the Academic Affairs Committee of the Board of Regents, and the full Board. Should the Council of Deans conclude that nominees do not meet the expectations for a Regents Professorship, it shall recommend that the honor not be bestowed. €5. Recipients shall be chosen by the Board of Regents. During the course of their initial year as Regents Professors, recipients shall be available for consultation to tho academic community. Source of Authority: Board of Regents, President, Vice President for Academic Affairs Cross Reference: None Contact for Revision: Vice President for Academic Affairs Forms: None P30 Underenrolled Classes A-46 Original Implementation: November 4,1977 Last Revision: January 19,1999 January 15, 2002 1. This policy applies to courses whose primary mode of instruction is lecture, laboratory, or seminar. ±2. Underenrolled classes are organized undergraduate classes with less than 10 registered students and organized graduate classes with less than 5 registered students. Organized classes are classes whose primary modo of instruction is lecture, laboratory, seminar, or group telovision.M/m/wi/m enrollment requirements for off-campus, face to face courses are addressed in Policy A-34: Off-Campus Courses. 23. No underenrolled classes shall be offered in any term except as authorized by the Board of Regents of Stephen F. Austin State University. £4. Only underenrolled classes that meet one or more of the following requirements may be authorized to be taught as small classes: a. Required coursed course required for graduation. (The course is not offered each semester or term, and if cancelled may affect the date of graduation of those enrolled.) b. Required^ course required of majors in this field &&&-that should be completed &is-m a given semester (term) to keep proper sequence in courses. c. Course A course in a newly established degree program, concentration, or support area. d. Interdepartmental (cross-listed) courses taught as a single class by the same faculty at the same station, provided that the combined courses do not constitute a small class. e. The ¥irstfirst time offering of the-a course. f. A course the Class class size of which is limited by accreditation or state licensing standards. g. A course the Class class size of which is limited by availability of laboratory or clinical facilities. h. A class Voluntarily voluntarily offered by a faculty member in excess of the institutional teaching load requirement and for which the faculty member receives no additional compensation. i. Sections of courses required by state law or regulation to bo offered (e.g., ENG 099, MTH 099). P31 4. An underenroUed class of the same course may not be offered in consecutive semesters or summer terms. 5. The University shall file with the Coordinating Board through its uniform reporting system a small class report as required by state law or agency regulations. Source of Authority: Texas Education Code, sec. 51.403 et seq.; Board of Regents; President; Vice President for Academic Affairs Cross Reference: Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P32 Student Evaluation of Faculty Instruction A-48 Original Implementation: April 20,1999 Last Revision: Ne&eJanuary 15, 2002 All courses taught by each faculty member (part-time, adjunct, teaching assistants) shall be evaluated at least once a year by students in the courses. Courses evaluated will be those taught in the fall and/or spring semesters. The purpose of the evaluations shall be (1) to assist each faculty member in the continuous improvement of his/her instruction and (2) to assist faculty and Chairs/Directors in making recommendations related to personnel decisions. The format/instrument for evaluation shall be one(s) agreed upon by individual colleges. There is no requirement for a common university evaluation instrument. At the discretion of each faculty member, the evaluations may be made either in the fall or spring except that the academic departmental/divisional Chair/Director shall have the right to arrange all evaluations so as to achieve an equal balance by semester or to meet accreditation requirements. Procedures 1. The evaluations shall be conducted during the last three weeks preceding final examinations. 2. The academic departmental/divisional Chair/Director shall arrange for the evaluations of all of his/her faculty members courses. 3. The evaluation of each course shall be administered by a person designated by the departmental/divisional Chair/Director. 4. A monitor shall remain in the classroom or laboratory until all instruments have been completed. Then he/she shall gather all instruments and deliver them to the appropriate departmental/divisional Chair/Director. 5. The Department Chair will report the results of the evaluation to the individual faculty member after grades are recorded on students transcripts. 6. Information contained in the student evaluation shall be incorporated into the annual faculty evaluation process used by the departmental/divisional Chair/Director, College Dean, the Vice President for Academic Affairs, and the President. Source of Authority: Vice President for Academic Affairs Cross Reference: Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P33 Semester Grades A-54 Original Implementation: January 25,2000 Last Revision: aeae January 15, 2002 I. Recorded Grades A student's grades are determined by daily work, oral and written quizzes, and afinal examination. Faculty members may use a variety of factors including class attendance to. establish a final grade for the course. (See Policy Statement A-10). A grade of A indicates excellent; B, good; C, average; D, passing; F, failure; QF, quit failure; WH, incomplete or grade withheld; WF, withdrew failing; WP, withdrew passing. WP and WF are assigned only when a student has withdrawn from the University after mid-semester or with special approval of the student's academic dean. No grade can be taken from the record unless put there by mistake. Specified courses are graded on a pass (P)/fail (F) system with no other grades awarded. A student who makes an F can get credit only by repeating the work. A student who desires to repeat courses in order to improve his/her GPA at SFA must repeat those courses at SFA. II. Withheld Grades Ordinarily, at the discretion of the instructor of record and with the approval of the department chair, a grade of WH will be assigned only if the student cannot complete the course work because of unavoidable circumstances. Students must complete the work within one calendar year from the end of the semester in which they receive a WH, or the grade automatically becomes an F. Students may not attend sections of a course in future semesters to complete a WH grade. Limited course visitation may be arranged with the permission of the instructor. When students register for the same course in future terms the WH will automatically become and F and will be counted as a repeated course for the purpose of computing the grade point average. III. Grade Point Average A grade of A gives the student four grade points per semester hour; B, three grade points; C, two grade points; D, one grade point; and F, QF, W, WH, WF, and WP, no grade points. The grade point average (GPA) is determined by dividing the sum of the grade points earned at SFA by the total number of qttatity-homs attempted at SFA, subject to the following exceptions: grades ofW, WH,P, and WP are not counted. In addition, the repetition of a course may affect the grade point calculation as explained in Section TV, Repeat Grades. , excluding P hours. (See below for special exceptions.) An undergraduate student who desires to repeat courses in order to improve his/her grade point average at SFA must repeat thoso courses at Stephen F. Austin State University. The following rules apply: P34 IV. Repeat Grades A student who makes an F can get credit only by repeating the work. An undergraduate student who desires to repeat courses in order to improve his/her GPA at SFA must repeat those courses at SFA. A. For any course that is repeated once at SFA, the higher of the two grades will be used to determine the GPA. B. If a course is repeated more than once at SFA, all grades earned for that course will be used to determine the GPA. Credit hours for courses taken at other institutions to replace credit hours earned at SFA may be used to meet graduation credit hour requirements, but grades from transferred courses will not change the GPA based on courses taken at SFA. Only grades earned at SFA will be used for calculating GPA. Source of Authority: Vice President for Academic Affairs Cross Reference: General and Graduate Bulletins, Class Attendance and Excused Absences, Index A-10 Contact for Revision: VPAA Forms: None P35 Camp and Conference Reservations B-4 Original Implementation: 1987 Last Revision: January 30,2001 January 15, 2002 Each year Stephen F. Austin State University is host to a variety of camps, clinics, workshops, and conferences. To facilitate the many and varied requests of these groups, the Coordinator for University Reservations and Conferences, referred to in this booklet as the Coordinator, located in the University Center, room 110, is available to assist Camp Directors in arranging housing, meal tickets, meeting space, insurance, parking permits, and banquets. A camp as referred to in this document refers to all special programs, camps and conferences. Eligibility Any camp or conference requesting use of University facilities must have a University sponsor. If profit-making agencies are involved with the program, the sponsoring organization must receive prior approval from the Vice President for Business Affairs to conduct the camp. All adult, non-credit groups or University groups awarding Continuing Education Units must be sponsored through the Department of Continuing Education. It is the responsibility of the sponsoring individual or organization to ensure that programs and activities conducted in the University Center or at other locations on the University campus are in compliance with the Americans with Disabilities Act. Age of Participants Camp participants under ten (10) years of age are not permitted to stay over-night in the residence halls unless accompanied by parents and under close supervision at all times. Request for Camp/Conference Facilities The first step for the Camp Director will be to submit a completed "Camp/Conference Reservation Contract" to the Coordinator (see appendix for sample). The form should be completed with estimates of size of the camp. Housing, meal cards, meeting space and other requests will be reserved according to the stated needs on this form. Completion and return of these forms as early as possible will help assure that each specific need will be met. Some areas are limited and will be supplied on a first-come, first-serve basis. A packet containing passes, tickets, insurance forms and instructions will be assembled and should be picked up at the Coordinator's office two (2) weeks before the scheduled camp date. Insurance Requirements // is the responsibility of the sponsoring department to ensure that each group has appropriate liability coverage. All non-credit participants spending the night in University residence halls must be insured. A per camper/night fee will be assessed at the completion of the camp and billed to the proper P36 account. A list of names of all participants to be insured must be submitted to the office of the Coordinator on the first working day of the camp session. Completing insurance forms are the responsibility of the Camp Director. Forms returned because or insufficient information are also the Camp Director's responsibility. Health Clinic A medical release and consent form (see appendix for sample) must be completed and signed by the parent/guardian of each camper under age 18. Neither the clinic nor local hospitals will treat a minor student without this release form in hand. The Camp Director is responsible for having these forms signed and readily accessible at all times in case of an emergency. Claim forms are available from the Coordinator as needed. The attending physician/professional will forward the claim form to the insurance carrier following a medical visit. No claim will be processed without the signature of a camp official. A camp official must accompany a student camper to the University Health clinic, local hospital emergency room, or pharmacy. I Emergency Phone Number All camp participants should be informed that a campus 911 number is available to them should an emergency take place. Parents of participants should be informed of the twenty-four (24) hour emergency phone number (936) 468-2608 at the University Police Department. Billing Procedures Billing for summer camps will be handled through the Coordinator's office. Costs for meals, housing and insurance will be negotiated each year and the projected costs made available upon request. An account number or billing address should be supplied at the time of the original camp reservation. After the camp is completed, one total bill for lodging, damages, lost keys, meals, special banquets, SFA food service deliveries and pick-ups, insurance, and other applicable costs will be assessed and billed to the camp account. Any damages, etc. discovered after the close of the camp will remain the Camp Director's responsibility. Camp cancellations must be made in writing to the Coordinator. Cancellations within one month to two weeks prior to the starting date of the camp will incur a $100dollar cancellation fee. There will be a $150 per day charge for each day that the camp was scheduled when the cancellation is made within two weeks of the beginning date of the camp. Housing The Camp Director should estimate as closely as possible the number of students and counselors needing University housing for the camp session. Space will be reserved as per the reservation P37 completed by the Camp Director. Concurrent camps may result in two or more groups occupying the same residence hall In the event that this becomes necessary, the Camp Director will be allowed the opportunity to request additional facilities. The request for additional facilities will be granted if housing facilities are available. Additional fees will be charged for this service and will be established according to the type of facility requested. Before the camp session, the Camp Director will receive lists of final hall assignments, summer Hall Directors and their current phone numbers. Two weeks before the camp session the Housing Department will send floor plans, roommate lists, information specific to the building such as rooms being used for storage and not available to campers, and the current phone number for the Hall Director. The Camp Director should contact the Hall Director as soon as the lists are received and should keep the Hall Director updated on changes and special needs the camp may have in the hall. If it is necessary for a camp to have camp staff or campers arrive one night early or check out one day later than the main camp, the early arrivals/late checkouts may be housed in a different facility for this time. Any early arrivals or late checkouts must have authorized supervision. Final Arrangements At least two (2) weeks prior to the start of the camp session the Camp Director should contact the Hall Director assigned to the camp to finalize arrangements. Issues to be discussed include early arrivals, pre-camp inventory of the residence hall, check-in and checkout procedures, room assignments, storage of equipment, late departures and end of conference inventory of the residence hall. The SFA Housing Department is responsible for the overall cleaning of the residence halls, but it is the Camp Director's responsibility to make sure campers posters, trash and other items are removed from the rooms and taken to the dumpster. The Camp Director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Housing damages and lost key charges are assessed after the group has left the residence hall, but remain the Camp Director's responsibility. (See Damages for more information) Groups meeting in the lobbies of the residence halls are responsible for the general cleaning of these areas. Food deliveries are not permitted after the front desk closes. Participants may not use hallways, floors, or rooms other than those assigned to the camp. Special Accommodations Any camper or conference attendee that will need special accommodations due to a disability should contact the Coordinator prior to arrival on campus. The Camp/Conference Director Responsibilities (Participants as presented below refer to all individuals associated with the camp/conference including campers, instructors, staff and guests). P38 The Camp/Conference Director: 1. Will provide counselors and staff for the camps, preferably one counselor per ten campers. Campers should be supervised during any free time. 2. Inspects residence hall facilities immediately prior to and after the camp session; 3. Advises participants of appropriate check-in and checkout procedures including charges for damages and lost keys; 4. Familiarizes participants with University policies, especially those pertaining to fire and emergency evacuation procedures, appropriate conduct, possession of controlled substances and fire arms, and authorized entry into rooms; 5. Maintains discipline of all participants; 6. Cooperates with the residence hall director and staff who are responsible for the safety, security and maintenance of the building; 7. Collects and has readily available all Medical Release and Consent Forms on all participants; 8. Informs the University in advance of early and late arrivals; 9. Completes insurance forms at the time of treatment; 10. Handles insurance forms returned for lack of student information; 11. Furnishes the coordinator with a camp roster as soon as possible but no later than twenty-four (24) hours after camp check-in begins. 12. It is the responsibility of the sponsoring individual or organization to ensure that programs and activities conducted in the University Center or at other locations on the University campus are in compliance with the Americans with Disabilities Act. The Hall Director's Responsibilities The Hall Director is responsible for supervising the SFA residence hall staff. He/she will develop a comprehensive work schedule, assist with distribution qfissue keys and moke room | assignments as needed to provide the best possible service to conference guests. The hall director will be available to assist the Camp/Conference Director in providing adequate supervision and disciplinary guidelines to campers. After camp completion, the Hall Director will be responsible for submitting to the Housing Department the final count of rooms/beds used. P39 The Hall Director: 1. Acts as a daily contact person to assigned groups; 2. Prepares staff for handling emergencies and familiarizes them with overall building layout (elevators, fire alarms, etc.); 3. Interprets, supports, and enforces University policies, procedures, and regulations; 4. Completes work orders and maintenance requests as needed for efficient hall maintenance; 5. Completes administrative paperwork as required by the Residence Life Office or the Housing Department. 6. Assesses all Housing charges at the Conclusion of the conference. Hall Director Phone List The Hall Director reports to the Coordinator of Residence Life. The Residence Hall Staffs Responsibilities The residence hall staff, under the supervision of the Coordinator of Residence Life and the day-to- day responsibility of the Hall Director, will assist in summer camp programs. The Hall Staff: 1. Cooperates with the Hall Director in the operation of the residence hall; 2. Assists with check-in and preparation of facilities for each camp; 3. Assists with checkout and inspection of rooms at the close of each camp ; 4. Performs desk responsibilities during assigned desk hours, gives information, checks guests in and out, issues keys, takes messages, and/or any other duties deemed necessary; P40 5. Serves as a referral/resource person to camp participants; 6. Assists in acquainting Camp Director with University policy, emergency procedures and facilities lay-out; 7. Maintains necessary reports and an accurate accounting of money, keys, maintenance requests, damages, etc.; 8. Is accessible in emergency situations; 9. Maintains duty hours as assigned by the Hall Director; 10. Attends staff meetings as assigned by the Hall Director; and, 11. Performs other duties as assigned by the Hall Director. Residence Hall Rules and Regulations Agenda/Schedule. A copy of the agenda or schedule for each conference group must be left with the Hall Director to assist the residence hall staff in directing student during their stay. Alcohol. Alcohol is not allowed in residence halls at any time. Cleaning Fee. Cleaning charges may result if the participant leaves the room in any condition that requires custodial personnel to be called in for extra cleaning or the removal of trash from the building. Controlled Substance. Unlawful use, manufacture, possession, or delivery of any controlled substance or dangerous drug is prohibited in residence halls. Damages. The camp will be charged for any damages to the residence hall or its furnishings. Attaching signs or posters to the doors or the walls with tape may result in damage charges. The University is not responsible for any damage to a camper's room as a result of theft, vandalism, or maintenance failure. The Housing Department encourages a representative from each group to conduct a walk through inspection of each room prior to the arrival of the camp. All pre-existing damages should be noted at that time. The Hall Director will be available to inspect each room with the Camp Director upon request. The Camp Director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Housing damages and lost key charges are assessed after the group has left the residence hall, but remain the Camp Director's responsibility. Desk. The desk will be open from 10 a.m. until the Camp curfew (no later than midnight). Messages for camp participants received by desk attendants will be posted in a central location and not delivered to individual rooms. The Hall Director will unlock the front doors at the time requested by the camp director. The front door will be locked at midnight, or earlier if requested. P41 Any one that is locked out of the building may use the emergency phone located next to the door to contact the University Police Department for admittance to the building. Desk Deliveries. Deliveries of prepaid merchandise may be made to the residence hall desk while it is open. Desk assistants will notify participants of a delivery, but shall in no way be made accountable for such items. Occupants will be contacted for deliveries when payment is needed. Discipline and Supervision. It is the responsibility of the Camp Director or camp staff to administer discipline to participants who violate camp or University regulations. On occasions when camp personnel are not available, residence hall personnel will temporarily handle the situation. In cases of chronic or severe discipline problems, the residence hall director reserves the right to recommend that a camp participant be sent home. Violation of federal, state or municipal law will require the involvement of the University Police Department. All camps must provide on - site camper supervision throughout the duration of the camp. This includes overnight supervision within the residence hall. Emergency. In case of an emergency call 911 or University Police at (936) 468-2608. Entry-Authorized Entry Into Rooms. Entry into a residence hall does not normally constitute a search. University personnel and the camp staff may enter a room to remove a potential fire, safety, or health hazard; to perform maintenance; to correct situations intruding upon the comfort of others (a phone or alarm clock continuously ringing, loud radios, etc.); to retrieve items upon request of the participant's immediate family; and to retrieve the personal belongings of other individuals where there is no apparent dispute to ownership of the property. All other situations which would require entry into a room should be coordinated with the Hall Director who may consult with University Police. Evacuation Procedures. All persons are required to evacuate a building when an emergency alarm is activated. If an alarm sounds, each person must leave the room and proceed to the nearest clear exit. Stairwells must be used instead of elevators. If the camper is unable to exit the room, a towel, sheet, or similar item should be placed outside the window, so that emergency personnel will know that someone is in the room. Camp Directors may request that a fire drill be scheduled during the camp by contacting the Hall Director prior to arrival. Facility Sharing. In order to be more energy efficient, two or more camps may be scheduled in the same facility. Firearms. Possession or use of weapons or explosives (such as pistols, rifles, shotguns, firecrackers, cherry bombs, or any weapons prohibited by laws of the state of Texas) in University-owned-or-controlled buildings is prohibited. Fire Safety. No incense or candles may be burned in residence halls. If an extinguisher is maliciously discharged, a fee for refilling the extinguisher and for clean-up will be assessed. Transmission of a false alarm is a violation of state law and violators will be prosecuted. P42 Gambling. Gambling in any form is prohibited. Games. Because of potential physical harm or residence hall damage, active games such as running and the use of frisbees, footballs, ice or water fights etc., are not allowed within residence halls. It is the responsibility of the camp to store the equipment for the camp such as basketballs, etc. Guests With Disabilities. Conference guests that need any special accommodations should contact SFA's Camp Coordinator prior to arrival. Housekeeping. Housekeeping staff are on duty Monday through Friday. Common areas of the residence halls and community bathrooms are cleaned daily. Cleaning of individual rooms and trash in individual rooms is the responsibility of the camper. Any housekeeping concerns should be reported to the front desk. Keys. Individual K-keys are issued according to the Camp Director's request an ^University Policy to each camper at the time of check-in. Keys must be turned in to residence hall staff at checkout. A replacement fee will be assessed for each key that is not returned at the end of the camp session. This charge covers the cost to change the lock and make a new set of keys. Camp officials will not be issued master or front door keys to any building. In the event a camper is locked out of a room, Camp Staff will be asked to confirm the identity and room assignment of the camper before a new key is issued. Each Camp Director will develop the camp procedure for lockouts. Laundry Facilities. Coinless washing machines and dryers are located in each residence hall. Lost and Found. Lost and found items should be turned into the front desk. At the end of each camp, the Camp Director may pick up any lost and found items. Anything left over from the camp will be turned into the sponsoring department University Center Information Desk on campus. SFA cannot be responsible for lost or stolen items. Maintenance. Any maintenance problems should be reported to the Hall Director or desk personnel. Abuse of elevators, televisions, laundry machines or ice equipment or other excessive maintenance charges may be billed to the camp. Medication. The residence hall staff will not dispense any type of medication to a camper. Contact the SFA health clinic at (936) 468-4008 if a camper will need assistance with medication during the camp session. Movies. No movies may be shown in the residence hall lobbies due to licensing law restrictions. Pets. No pets are allowed within the residence halls. P43 Public Areas. Eating, drinking and smoking are not permitted in the lobbies, hallways, laundry rooms, community baths or other public areas. Pizza parties etc., should be held outside or the food distributed and the campers dispersed to their rooms. Roommates. The Camp Director will handle all roommate problems. If a room change is necessary, consult the Hall Director. Smoking. No smoking is allowed in the residence halls or on the front porches during camps. Storage. Rooms used for reasons other than living space will be charged the private room rate, (i.e. storage, offices or conference rooms). Telephones. The University does not furnish telephones for individual residence hall rooms. Camp staff members are encouraged to bring telephones. Local telephone service is provided in each room. Dial 9 for an outside line. In order to place a long distance phone call, a telephone calling/credit card must be used. Incoming collect calls may not be accepted. The phone number is printed on the telephone jack. Trash Policy. The SFA Housing Department is responsible for the overall cleaning of the residence halls, but it is the Camp Director's responsibility to make sure campers' posters, trash and other items are removed from the rooms and taken to the dumpsters located outside of each building. The Housing Department will furnish each camper with a plastic trash bag when they check into the building and large bags at the end of each camp to gather all of the smaller bags for removal from the building. Vending. Vending machines are provided for the convenience and enjoyment of the camp participants. Empty or malfunctioning machines should be reported to the front desk as soon as possible. Camp participants who lose money in the machines should report to the U.C. Business Office, located in the basement of the University Center, for a refund. Windows. Windows in residence halls must be closed at all times for air conditioning systems to function properly. Window screens may not be removed by residents. Dining Service Meal tickets to be used by camps will be printed and enclosed in the camp packet according to the estimated number stated on the reservation form. As a general rule, extra meal tickets will be included to handle lost and damaged cards. Meal cards are numbered for use in assignment. If a card is lost, the Coordinator's office should be notified immediately and SFA Dining Services will be alerted to watch for the lost card. SFA Dining Services will charge the group for actual meals eaten. There will be a charge for failure to notify reservations if the group misses a meal. The count will be taken at the cafeteria register and that count will be considered final, should a dispute arise. To facilitate quick access to the cafeteria when several large groups are on campus simultaneously, meal times will be staggered. From the information provided on the reservation P44 form, Food Services will be notified of the first and last scheduled meals to be eaten in the cafeteria and whether or not the group will be missing a meal. If the group misses a meal and the Coordinator was not notified, a 75% minimum charge will be assessed. Special banquets in the University Center can be arranged through the Coordinator's office according to University Center policies. HPE Facilities If the pool is to be reserved for a specific camp, arrangements must be made through tho Coordinator's office. The pool cannot be reserved during regular SFA swim hours. A cost por-hour, per-lifeguard will be assessed for the reservation and billed on the final total camp bill. Campers will bo required to show camp identification cards for admission into the HPE building. No equipment will be checked out to campers. Gyms, volleyball courts, and softball fields may bo reserved at timos that do not conflict with SFA classes. Tennis courts aro available as long as SFA board students are not preempted. The weight room will bo open for casual use at specified PHYSICAL ACTIVITY FACILITIES Primary physical activity facilities are the Shelton Gym, Norton Health and Physical Education Complex (HPE), the outdoor swimming pool, tennis courts, intramural fields and sand volleyball courts. Facility requests will be made in writing by the Camp Director on the Camp/Conference Reservation Contract All physical activity facilities will be scheduled around academic classes (to be set in March), maintenance, intramural programs and field condition, 1. Shelton Gym — basketball or general use. One regulation size basketball court or two smaller basketball courts with P.A. system and bleachers for approximately one thousand. Can be booked for sports camps and cheerleading camps during the day, 8am —7pm, Can be booked for recreational camp use from 7pm —10pm. Camps will be allowed one gym only. 2. Norton HPE Complex —five basketball courts with no seating or PA system. Can be booked for sports camps and cheerleading camps from 8am — 7pm and for recreational use from 7pm — 10pm. Camps will be allowed one gym only. 3. Outdoor Swimming Pool — capacity of 150 swimmers, can be booked from 7pm—10pm for camp use with a two hour minimum. 4. Tennis Courts — twelve courts available for camps/conferences, can be reserved from 8am — 10pm. No equipment will be furnished by the University. 5. Intramural fields — located on Wilson Drive, usually set up for softball during the summer months. Can be requested from 8am — 10pm. The fields will not be confirmed until two weeks prior to the camp. P45 6. Sand volleyball Courts —four courts. Can be reserved from 8am — 10pm. University Center Games Area The Games area located in the University Center basement will be available to campers during regular SFA hours. Special permission for use at other times may be granted by the Director of Auxiliary Services. Group reservations should be made on the camp reservation form. Cost for games and machines are posted in the Games area. A late charge may be assessed for groups staying after hours. University Center Meeting Rooms Rooms in the University Center are made available to summer camps on a first-come, first-serve basis following established University Center policies. Only food purchased through the University is to be served in the University Center meeting rooms. Arrangements for room set-up and food orders for banquets or meetings must be made in the Coordinator's office two weeks prior to the event. Failure to notify the Coordinator of a cancellation approximately 72 hours in advance of the scheduled activity will result in payment of the cost incurred by the University Center or Food Service personnel. University Center decorating restrictions will be strictly enforced. The Nibbler's Nook and the lounge areas are non-reservable areas during regular operating hours. Lounges are primarily intended for general use by the public. Due to limited space in the University Center, rooms in the U.C. will not be available for storage before the camp dates. Boxes shipped before the group's arrival to the campus must be held by the sponsoring department. Academic Buildings for Meeting Rooms The Coordinator will be available to assist Camp Directors in reserving meeting spaces in academic buildings and auditoriums following policy guidelines for each building. For assistance, the Camp Director should specify dates, hours, and group size on the reservation form. Coliseum Reservations for use of the coliseum will be arranged by the Coordinator following the University regulations for coliseum usage. A per-event fee may be charged. University Police/Parking Parking permits will be available through the Coordinator's office for campers bringing cars and buses to the SFA campus. Parking permits are to be displayed in the car window while on campus and disposed of after the camp is completed. If a group of parking spaces is needed, the Coordinator will arrange with the University Police Department for an area to be marked off for the camp. P46 Source of Authority: Board of Regents, President, Vice President for University Affairs Cross Reference: None Contact for Revision: Director of Auxiliary Services Forms: Medical Release and Consent Form (available in Auxiliary Services); Camp/Conference Reservation Contract (available in Auxiliary Services); Camp Director's Check List Form (available in Auxiliary Services) P47 Energy Conservation B-6 | Original Implementation: December 4,1987 Last Revision: October 26,1999January 15, 2002 The University supports, and is committed to, the statewide effort of the Texas Governor's Office, The General Appropriations Act, 70th Legislature and the Energy Conservation Design Standard for New State Building, updated in 1993. The University has and will continue to maintain the most efficient operation of all utilities and equipment by the operation of: an automated energy management system, replacement of HVAC/Electrical equipment in a timely and cost efficient manner, and a review of building operation, usage, and schedules. It is the intent of the University to serve its academic and auxiliary needs with cooling and heating requirements based on approved operational schedules. The automation system is programmed each scmostor to meet needs and any significant requirements not included in normal operations must be approved by Director of Physical Plant prior to changes being made. Start and stop schedules are entered by Physical Plant personnel after approval by the Director of Physical Plant. Physical Plant should be given notice at least eight (8) work hours prior to event. If notice is given after normal work hours, the user may be charged overtime. All local utility power shortage problems will be handled by the Physical Plant Department, the local energy supplier and the Vice President for Business Affairs. The requirements so determined will be routed thru the appropriate organizational channels. Users of University facilities that require an additional cost due to utility usage, will be charged a fee to cover the cost of the additional utility expense. The amount of the fee will be determined by the Physical Plant Department and approved by the Vice President for Business Affairs. Source of Authority: General Appropriations Act, President, Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Physical Plant Forms: None P48 Physical Plant Charges B-21 Original Implementation: December 7,1987 Last Revision: October 26,1999 January 75, 2002 Funding for repairs to campus buildings comes from several sources and the type and use of the building determines the source of funding. Funding is as provided below- : Educational and General BuildingST ( i.e.,Offices, classrooms, Library, etc.) Maintenance of these buildings and building equipment is the responsibility of the Physical Plant Department and paid from funds budgeted for that purpose. The Physical Plant Department may charge Educational and General accounts for the following material and services. 1. Materials taken from stock not used in maintenance projects. 2. Repair of equipment. 3. Set-up charges. 4. Paint requests when redecorating. 5. Materials and labor for millwork. 6. Vehicle rentals and gasoline. 7. Minor alterations that change the structure of the facility. 8. Replacement of lost keys or lock changes due to lost keys.T | 9. Call back expenses that are not caused by normal maintenance requirements, that are the responsibility of Physical Plant. (Example: a special event on a weekend, not scheduled in advance with the Physical Plant Department, or having to call an HVAC person in to turn A/C on) Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Physical Plant Forms: None P49 University Vehicles (Rental & 15-Passenger Van) B-30 Original Implementation: June 1, 1984 Last Revision: July 17, 2001 January 15, 2002 The provisions of the policy on the Use of University Facilities govern the use of all buildings, facilities, equipment, and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to University vehicles. I. Official Use: University motor vehicles can only be used for the transaction of official University business. A. Reservations 1. Vehicles will be rented exclusively to individuals or organizations that have funds budgeted by the University. 2. All vehicles, except road buses, are rented on a first-come, first-serve basis. Reservations can be made by memo to the Physical Plant Grounds and Transportation Department, P.O. Box 13031 SFA Station, by phone at 468-5107, or on the Physical Plant Web site. Reservations should be made as far in advance as possible. 3. Persons for whom reservations are made must be on the Approved Drivers List and be acting on behalf of, and within the responsibility of, the University department that he/she is employed. Must have a minimum of four passengers for vans, must have definite pick-up and return times, and must have an approved University account. 4. Cancellations should be made as far in advance as possible. Cancellations made less than 48 hours in advance will incur a $20.00 fee. B. Procedure for Checking Out Vehicles 1. Vehicles can be picked up at the Physical Plant Grounds and Transportation Department, located at Starr Avenue and University Drive, between 7:00 a.m. and 4:00 p.m. Monday through Friday. 2. Special arrangements may be made for pick-up outside normal hours. 3. When two or more users are renting the same vehicle over a weekend, the users may be required to turn in and pick up vehicles at the University Police Department. P50 4. Individuals picking up vehicles must present a Stephen F. Austin State University Approved Driver Certificate and a valid driver's license. 5. Personnel in the Grounds and Transportation Department, will furnish approved drivers with: a. keys to vehicle b. copy of vehicle charges and reservation form c. credit card(s) d. daily record of state-owned motor vehicle use (See Section E) \ e. vehicle readability report £ insurance card C. Passengers 1. Passengers in University vehicles will normally be Lfeniversity employees or | students traveling on University business. 2. Passengers who are not University employees or students may be authorized to ride in University vehicles when their presence is consistent with University business or functions. 3. University employees and students may have guest(s), spouse or children accompany them while the University employee or student is traveling on University business provided: a. The guest does not interfere with the University business of the trip or cause any additional expense to the University. b. The department that sponsors the trip that the guest(s) are attending must be advised in advance of the trip that non-University passengers will be traveling in University vehicles. c. If the guest is a minor child, the parent is responsible for the child's actions and is responsible for ensuring the child follows all safety policies and regulations including seat belts and child restraints. d. The University bus fleet is not equipped with seat belts or child restraints and safety of the child is the responsibility of the parent. The University fleet bus driver should report behavior difficulties to the parent and sponsoring department, P51 and may impose future restrictions on passenger privileges for those who have had behavior problems. e. Non-employee passengers will not be covered by University insurance for medical treatment, unless there is legal liability, which is covered by the general liability policy for University motor vehicles. Personal claims against the driver of another vehicle (non-University) for liability in any accident will be the responsibility of the non-employee passenger or their parent. Passengers should carry personal medical insurance coverage in case of accident or emergency. The University does not assume liability for any passenger, unless otherwise imposed under law. University employees may be covered by Workers' Compensation for injuries received on-the-job; otherwise, personal medical insurance or applicable legal liability would apply. D. Use of University Road Buses The 46-passenger Eagle bus and 36-passenger Blue Bird bus provide transportation for University departments and groups. The guidelines in this section have been established to provide a fair and equitable manner for the scheduling of the buses and to generate sufficient revenue to pay for their operation and maintenance. 1. Authorized Trips. Only University groups and departments whose trips have |
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