Cleveland State University College of Engineering Business & Administrative Manual October 2013 Important Note: This manual has been composed using the following principles: 1. Readers are referred to the existing, official, published policies and procedures posted by the website of the University. Please visit www.csuohio.edu/ 2. A set of written policies and procedures elated to the official CSU policies and procedures are provided with more specific information and/or guidance in the implementation of the policies and procedures of the University. This manual will be reviewed annually and accordingly. TABLE OF CONTENTS Cleveland State University Policies & Procedures .......................................................................... 1 Access Control Regulations .......................................................................................................... A1 Access to the College’s Shared Drive ............................................................................................ A9 Access to Student Information ................................................................................................... A10 Agreements and Contracts for External Services (excludes Personnel Contracts) ..................... A11 Awards Fenn College of Engineering Kaizen Award ............................................................................ A13 Fenn College of Engineering Safety Award ............................................................................ A14 Fenn College of Engineering Support Staff Distinguished Service Award .............................. A15 Budget Development Calendar – CSU .......................................................................................... B1 Budget Development Calendar – College of Engineering ............................................................. B3 By-­‐Laws of the College of Engineering ........................................................................................ B4 CSU Center Guidelines .................................................................................................................. C1 Chemical Storage and Chemical Procurement ............................................................................ C4 Computer Security Policy and Critical Data .................................................................................. C6 Contract Procedures ..................................................................................................................... C9 Cooperative Education Program ............................................................................................... C10 Counseling Referral Guidelines for Faculty & Staff .................................................................... C12 Course Buy-­‐out from Grants Guidelines ..................................................................................... C13 Course Evaluation Instructions ................................................................................................... C15 Credit Card Security Policy ......................................................................................................... C16 Emergency Preparedness and Management ............................................................................... E1 Engineering Fees .......................................................................................................................... E2 Exchange Visitor Guidelines ......................................................................................................... E3 Faculty Recruiting Guidelines ....................................................................................................... F1 FERPA Regulations ........................................................................................................................ F4 FERPA Amendments ................................................................................................................... F13 Filing Guidelines ......................................................................................................................... F20 Fire Safety .................................................................................................................................. F22 Gift & Pledge Acknowledgment Policies & Procedures (Advancement) ..................................... G1 Gift Tracking Procedure ............................................................................................................... G4 Gift Transmittal Deposit Form ..................................................................................................... G5 Graduate Credit Hour Options for Undergraduates .................................................................... G6 Hazardous Materials Procedures ................................................................................................ H1 Health and Safety Policy .............................................................................................................. H2 Hiring Faculty/Professional Staff – Overview of Steps ................................................................ H3 In-­‐Kind Gifts Procedure ................................................................................................................. I1 In-­‐Kind Gift Acceptance Form ........................................................................................................ I5 Inventory ....................................................................................................................................... I6 Job Description Review ................................................................................................................. J1 Keeping Staff Informed ................................................................................................................. K1 Lab Policies (Research and Instructional) ..................................................................................... L1 Marketing Policy ......................................................................................................................... M1 New Employee Orientation Program .......................................................................................... N1 Off-­‐Campus Equipment ............................................................................................................... O1 Outside Consulting ...................................................................................................................... O2 Petty Cash Form ........................................................................................................................... P1 PeopleSoft Training ...................................................................................................................... P2 Phone Verification ........................................................................................................................ P3 Police ........................................................................................................................................... P4 Principle Investigator Training ...................................................................................................... P5 Purchase Requisition ................................................................................................................... P6 Reconciling Accounts .................................................................................................................... R1 Refreshments ............................................................................................................................... R3 Research Policies ......................................................................................................................... R5 Responsible Use of University Resources and Downloading Information from the Internet ............................................................... R6 Running Reports and Downloading Transaction Register to Excel .............................................. R7 Single-­‐Term Contract Approvals ................................................................................................... S1 Small Order Form ......................................................................................................................... S4 Space Allocation .......................................................................................................................... S5 Special Payment Form .................................................................................................................. S6 Technology Equipment Purchase and Inventory Procedure ........................................................ T1 Technology Fees (University) ....................................................................................................... T2 Travel Approval and Expense Report .......................................................................................... T4 Use of Student Information ......................................................................................................... U1 CLEVELAND STATE UNIVERSITY POLICIES & PROCEDURES Cleveland State University policies, procedures, regulations, by-­‐laws, standards, guidelines, manuals, and handbooks posted on the website of the University as of September 2013 can be found on-­‐line at http://library.csuohio.edu/policies/csu/ 1
ACCESS CONTROL REGULATIONS: I. Regulations For purposes of section 3345.13 of the Ohio Revised Code, these are the regulations governing keys. II. Introduction The objective of access control is to provide a reasonable level of security for the University and, at the same time, allow as much freedom of access as possible to the campus community. III. Definitions A. Automated Access Control System (AACS) is the computerized data base used to track all access control authorization. B. Personally Issued Keys-­‐ keys assigned to an individual on a permanent basis. C. Duty issued keys-­‐ keys issued only while working and returned before leaving CSU property. D Communication Access. Allows access to Communication closets. E. Electrical Access. Allows access to Electrical Vaults. F. Utility master access. Any key or access that includes Communication Closets, Machine Rooms, Custodial Areas, and Electrical Vaults. G. Prox Card-­‐ Proximity Card, a card. Fob or other credential that held in the ‘proximity’ of a reader will activate the access control device. H. Prox Card Access. Allows access to any authorized building or room having a reader and electronic lock release. I. Change Key / latch key – opens one door or lock. J. Master and submaster keys-­‐ opens a series of locks. K. After hour access-­‐ authorized occupancy in a building after closing hours. L. Construction Core-­‐ a temporary interchangeable core used during building or rehabilitation of a building project. M. R25® -­‐ The CSU campus scheduling software used to create the CSU master calendar and the official database used to approve or deny access during off-­‐hours. A1
IV. Single Access Control Alarm Coordinator (SACC). The SACC, is designated in writing by the Senior Faculty /Staff Committee or other official having direct control over the facility or area and has direct responsibility for coordinating access control, alarm protocols, and alarm & access control schedules. NO INDIVIDUAL MAY SIGN THEIR OWN ACCESS REQUEST. Individuals denied access by the Access Control Office may appeal, in writing; see section XVl Appeal process if the request is believed to be unjustly denied. Access to buildings, rooms, and closets are issued by the SACC only when a completed Access Control Request Form (link to form) is signed by the SACC. The SACC has an affiliated duty to properly inform the person of these regulations and on used and limitations of their approval. The Access Control Activation limits: Faculty Active Until Terminated Staff Active Until Terminated Student One academic quarter Vendor Not to exceed 6 months V. Access to Closed University Buildings Access to closed buildings will not be provided for students, faculty, staff, or other designees unless the ACCS system indicates authorized access. Request for opening an exterior door(s) for an event, class, or any other exception to the posted building hours, must be scheduled through Conference Services and listed on the official Campus Calendar Program R25. Requests to open a closed building not listed in R25 will not be honored. VI. Signature Card or Electronic Validation Each SACC, must have a signature card on file with the Access Control Office of the Department of Security and Fire. The card must be approved by the Dean, Vice President, or Director responsible for the area. The signature cards must be signed at the Access Control Office. A valid CSU or governmental photo ID will be required from the person signing the signature card. VII. Obtaining access The department who requests access for an employee, contractor or vendor must submit a completed Access Control Request Form to the Access Control Office. This authorization maybe sent by email upon prior approval of the Access Control Office. The Access Control Office will determine if card access, key access or both are required to fulfill the request. A2
All Access Approvals will have an account on the Automated Access Control System (AACS), even if a card is not issued. Access Cards and keys cannot be obtained through the mail. Cards must be issued at the Viking Card Office in the Main Classroom Building, Room# 272B. Keys are issued at the Key Shop in the Plant Services Building, Room #244. CSU or governmentally issued photo identification will be required to pick up keys/access cards. Students shall not have master keys, exterior door keys or master access issued to them. Hours of operation are available on line at http://www.csuohio.edu/offices/firesecurity/buildinghours/ VIII. Access Transfers Access Cards must be obtained at the Viking Card Office checked out by the person to whom they are issued. All keys must be obtained at the Key Shop by the person to whom they are issued. The transfer of keys directly from one person to another must be completed at the Key Shop. Access Cards or keys cannot be transferred from one individual to another. IX. Access Dispersals All requests for master and submaster keys must be approved by the appropriate SACC and the Executive Director of Public Safety (Master and submaster keys will not be issued to undergraduate or graduate students.) Requests for master and submaster keys may also require a background check. X. Broken/Worn Out Keys Or Access Cards Keys or Access Cards that are broken or worn out must be returned to the location where they issued for replacement by the person to whom they are issued. The broken or worn out keys or access cards must be turned in before new ones will be issued. There will be no charge for broken or worn out keys or Access Cards. XI. Temporary Access Urgent Access-­‐ Individual who requires immediate access may call the Campus Police for opening a door. Upon presentation of positive identification the officer shall query the AACS, if the system indicates approved access, the door may be opened. There shall be a charge of $25.00 for the service. Temporary Access-­‐ the Key Shop may issue a temporary key to a person who has left a key at home, or has locked their key in an office. The person must present a valid CSU ID A3
and leave a Drivers License or other collateral. Upon return of the key the collateral will be returned. Student owned padlocks-­‐ upon presentation of positive ID, and proof of ownership, the Key Shop staff or the Campus Police may, at the responding person’s sole discretion, remove by force a padlock on a student locker. A police officer should always be present for this process. CSU will not be responsible for damage to the lock. Construction Cores-­‐ Departments requesting access for contractors or vendors may have their request fulfilled by the use of construction cores. The cost of the cores, keys and installation shall be bone by the requesting Department. XII. Duplicating Access and Changing Locks 3345.13 Duplication of keys prohibited. No person shall knowingly make or cause to be made any key for any building, laboratory, facility, or room of any college or university which is supported wholly or in part by the state of Ohio, contrary to any regulation respecting duplication of keys adopted by the board of trustees of such college or university. This Access Control Regulation prohibits the removal/installation of locking mechanisms by anyone other than the University Access Control Office. The CSU Lock Shop is the only agent to purchase and issue locks. Door locks may only be removed or changed by the University locksmiths. Departments will be responsible for any cost incurred to resolve unauthorized changes. No CSU official shall sign any contract that allows the use of the CSU core or key codes. Approval to vendors of who may order keys, cores or related codes shall be designated by the Executive Director of Campus Safety. XIII. Returning Keys/Access Cards Before exiting the University or transferring to another department, all students, faculty, and staff must return their University keys to the Key Shop. Each college/department is responsible for advising all exiting or transferring employees of their obligation to return University keys prior to leaving campus. Students and employees who have a deposit on file with the Access Control Office will be given a voucher at the time keys or Access Cards are returned that Students failing to return key(s) before transferring departments, leaving the University, or by the due date listed on the Access Control Request Form will have a hold placed on their transcripts, final paycheck, or registration packets. Deposits are forfeited. If a hold is placed on a final paycheck, transcripts, or registration packet at the A4
University, it can only be removed by returning keys. Lost or stolen keys must be the subject of a police report, and lost key fees will apply. XIV. Lost / Stolen Keys Or Access Cards/Fees All lost or stolen keys or Access Cards must be reported to the concerned college/department, and to the University Police. The University Police will complete a Lost or Stolen Access Control Report. Replacement of keys or Access Cards will not be made until the Lost or Stolen Access Control Report is completed. To replace lost or stolen keys or Access Cards, individuals must complete an Access Control Request Form. A graduated monetary charge is hereby established to cover lost and/or stolen keys: A. Latch (office, desk, file, lab), each $20.00 B. Submaster $500.00 C. Building Master $750.00 D. Grand Master $1000.00 E. Viking Prox Card Current fee as established by Viking Card Office F. Construction Cores & Keys Cost established at time of request The loss or theft of a, Electrical, Mechanical, Submaster, Building Master, or Grand Master key jeopardizes the security and protection of an area (dormitory, laboratory, office complex, or building), and the entire area may need to be re-­‐cored and re-­‐keyed. The department from which the key was lost or stolen will be charged for the total replacement costs. XV. Access Control Records/Inventory Key Shop It is the responsibility the Key Shop Supervisor to keep all records and related to key control filed in the Keystone® database current and accurate. This includes but is not limited to: a. Key issuance b. Core issuance by location c. Lock installation It is the responsibility of the Supervisor of the Key Shop to insure all keys issued are stamped with a unique identifier and the information entered into the Keystone® database current and accurate. It is the responsibility of the Key Shop Supervisor to insure all cores issued are stamped with a unique identifier and the information entered into the Keystone® database current and accurate. A5
It is the responsibility of the Key Shop Supervisor to insure that the Keystone® server shall is protected by a firewall and backed-­‐up weekly. No cores or locks shall be installed that is off of the master key system without the written authorization of the Executive Director of Campus Safety. The Executive Director of Campus Safety shall promulgate the Standard Operating Procedures for the guidance of the CSU Lock Shop. Department of Security and Fire An Access Control Inventory List will be sent to each college/department SACC on a semester basis for reconciliation purposes. This list identifies all the college/department employees who have access rights issued to them. SACCs are responsible to verify that the report is accurate. SACCs should maintain a complete and current list that indicates the following: name of the access holder, date issued, and date to be returned. The college/department’s access list will help when reconciling the Access Control Inventory List sent from the Access Control Office. Discrepancies should be reported to the Access Control Office within thirty (30) days. An amended list will be printed and sent back to the department to ensure that changes have been accurately entered on the access computer system. Since each person or college/department is financially responsible for all keys or access cards issued, accurate information is essential. If a college/department requires an Access Control Inventory List more often than each semester, it is available upon request from the Access Control Office. All Access Control Inventory Lists reconciliations shall be reviewed and approved by the appointing authority. XVI. Prohibited Conduct a. Disabling any University security device, b. Prop open any doors locked by offices for security purpose, c. Allowing any other person the use of a key or card access, d. Duplicating any key or card access device, e. Leave a CSU key unattended; f. Leave a key code book where unauthorized persons may read it; g. Fail to report a missing key to the Campus Police; h. Fail to retrieve a key(s) when a person is transferred, is away for a prolonged period of time (i.e. medical leave), or is in any other way separated from CSU. A6
XVI. Appeal Process In the event that there is a dispute with this regulation a faculty, staff or student who has been adversely affected, may request a review of the decision to the Executive Director Campus Safety. The request must be made in writing and particularly state the nature of complaint and the proposed remedy. The complaint must also contain an address to where the response is to be directed. The Executive Director Campus Safety shall cause an investigation of the complaint and render a decision in writing within 30 days receipt of the request for review. Decisions of the Executive Director Campus Safety may be appealed to the Vice President for Business Affairs & Finance. The appeal must be in writing. XVI. Closed Hour Building unlocking Changes in Building Hours-­‐ Changes in building hours, weekend changes or any special event requiring a change, of lock / unlocking of exterior doors can be accomplished by Authorization of the Vice President for Business Affairs & Finance, SACC or Conference Services with notice to the Department of Fire and Security. Also see the Conference Services Website All requests for facilities, other than academic classes, must be approved by the Department of Conference Services. Events scheduled will appear on the University Calendar to provide support and coordination so every event will become a successful, positive reflection of the University. Please Note: EVENTS NOT LISTED ON THE UNIVERSITY CALENDAR OF EVENTS WILL NOT BE PROVIDED SUPPORT SERVICES. Questions: Call 216/523-­‐7203, or visit http//www.CSUOhio.edu/conferenceservices Changes that occur due to failure to notify the Department of Fire and Security that result in a Campus Police intervention to lock or unlock a building will result in a $25.00 assessment. Changes occurring less that 24hours of the events shall be the subject of a direct personal contact to the Campus Safety Communications Center at 216-­‐687-­‐2020. The Fenn College of Engineering will follow the above procedures with the Department Chair’s approval on the Facilities Reservation Form. XVII. Audits and Usage Historical reviews of either door access or personal history can be made to the Director of Fire & Security. Such requests should be made in writing; email will suffice particularly describing the door, person and the dates of usage required. Such requests should be placed through the building SACC, but may be made directly if the situation requires it. A7
Emergency audits can be made through the Campus Police Department at 216.687.2020. XVII. Past Practice This regulation supersedes and replaces any current policy, procedure, custom or usage as it relates to access on the CSU Campus. It specifically ends the practice of opening buildings without fee for faculty, staff or others on off-­‐hours without change or authorization. The Fenn College of Engineering is following the CSU’s policies for Access Control. Appendix 1 Forms Appendix 2 List of SACCS A8
ACCESS TO THE COLLEGE’S SHARED DRIVES Access to College shared drives is arranged by the Associate Dean of Academic Affairs. To get access, submit a request in writing via email to p.lin@csuohio.edu. The Associate Dean will review the email request with the Dean to determine the legitimacy of the request. If the request is approved, the Associate Dean will contact the necessary IS&T personnel to arrange for access. The Associate Dean will maintain a listing of all approved users. This listing will be reviewed annually (at the beginning of Fall Semester) for accuracy as well as to determine if continued access is required. If continued access is not necessary, the Associate Dean will contact the necessary IS&T personnel to arrange for removal of access. A9
ACCESS TO STUDENT INFORMATION Any faculty, staff or student employee requiring PeopleSoft access, should follow the steps outlined below: In addition to PeopleSoft access, if any faculty or staff have access to hardcopy student files, the CSU Security and Confidentiality Policy for Student Records form need to be completed. This form is not limited to computer access only. http://www.csuohio.edu/ist/peoplesoft.shtml All faculty, staff or student employees requiring access to PeopleSoft Student Financials and/or student information in CampusNet must complete the CSU Security and Confidentiality Policy for Student Records form. The form can be found here: http://www.csuohio.edu/ist/upload/FERPAagreementv3.pdf A copy of this form should be submitted to the Dean’s Office for retention. Additionally, the College will include this form in part-­‐time and full-­‐time hiring packets for completion by new hires. During the fall semester, the Dean’s Office will obtain a current list of faculty, staff and student employees with access to PeopleSoft Student Financials and/or student information in CampusNet. If the CSU Security and Confidentiality Policy for Student Records form is not on-­‐
file in the Dean’s Office, access will be evaluated according to the job description. During the review process, if access is found to be unnecessary and/or the CSU Security and Confidentiality Policy for Student Records form is not returned, access will be removed. A10
AGREEMENTS AND CONTRACTS FOR EXTERNAL SERVICES (EXCLUDES PERSONNEL CONTRACTS) All new and renewed Agreements and Contracts (excluding personnel contracts) must be reviewed and approved by the Office of Legal Affairs by the following procedure: • Request an electronic copy of the contract from the external agency, vendor, etc. • Complete the “Contract for External Services Routing Form.” (See next Page). • Attach a copy of the “Contract for External Services Routing Form” to the contract. • Submit an electronic and a paper copy of the contract and the “Contract for External Services Routing Form” to the Office of Legal Affairs for processing. Agreements and contracts should not be signed prior to the review and approval of the Office of Legal Affairs. A11
College of Engineering Contract for External Services Routing Form The attached contract between Cleveland State University's College of Engineering and ____________________________________________ has been initiated for the purpose of ___________________________________________, for the sum of ____________. The contract is in effect from _______ to _______. The attached Agreement is a: ¨ Standard Contract (previously approved by CSU legal counsel) ¨ Non-­‐Standard Agreement (previously approved by CSU legal counsel) ¨ Non-­‐standard Agreement (that requires approval of CSU legal counsel) Recommendation to Legal Counsel by Program Director/Coordinator: I certify that the above information is accurate, and that I will oversee the related activities to insure compliance with the terms and conditions of the attached contract. Faculty/Chair/Dean Statement Date Legal Counsel I hereby certify that I have reviewed the attached contract and find its legal form and content acceptable. University Legal Counsel Date A12
AWARDS Fenn College of Engineering Kaizen Staff Award Kaizen is a concept of continuous improvement in which all levels of an organization’s employees are encouraged to regularly make suggestions for improvement in any aspect of their workplace; in this instance, taking into consideration the overall performance of the College of Engineering or its departments. It involves looking at procedures as well as results in a non-­‐judgmental fashion in order to eliminate waste and increase productivity. It is a positive problem solving method that enables employees to work smarter by making their jobs easier. Based upon the definition above, criteria for receiving a Kaizen Award are: 1. Active full-­‐ or part-­‐time professional or classified staff members with one (1) year of CSU service (and no longer on probation) are eligible to receive the award. 2. Employee makes a suggestion of a procedural or other change that will save time, energy, or have some other positive effect on the workplace, such as: a. Customer satisfaction (students and colleagues within CSU/Fenn) b. Improved market performance (enrollment and other measures) c. Operational performance (efficiency, budgetary, enrollment) d. Strategic planning (setting organizational direction) e. Knowledge and employee management (suggestions to use, manage, analyze, improve data, information, or personnel support; to improve equipment, quality, or environment) f. Other 3. The suggestion should be easily implementable with little or no financial investment. Professional and classified staff members are urged to submit their suggestions confidentially in writing or email to one of the Deans. They will be reviewed for implementation on a regular basis by the Deans of the College of Engineering. At the end of each Spring Semester, the Deans and one (1) elected (and un-­‐nominated) staff member will review all the suggestions again and select one as the winning Kaizen Staff Award suggestion. The award, a cash gift in the amount of approximately $300 and a plaque, will be presented, and the suggestion will be announced at the annual Kaizen Staff Award Luncheon to be held each July. A13
Fenn College of Engineering Safety Award The Fenn College Safety Award is a new award proposed by the College of Engineering beginning with the 2007-­‐2008 academic year. It will recognize the one (1) most outstanding safety-­‐related preventative action or suggestion. Criteria for receiving a Safety Award are: 1. Faculty, professional, or classified staff members are eligible for this award. Eligible persons must be active full-­‐ or part-­‐time employees with at least one (1) year of CSU service (and no longer on probation). 2. Faculty or Staff member suggests a procedural or other change that will positively impact the safety efforts of the College and prevent personal injury, in locations including, but not limited to: a. Labs (electrical, chemical, fire, environment, structural) b. Classsrooms c. Hallways d. Restrooms e. Elevators f. Parking garage; and in safety areas including, but not limited to: a. Environmental b. Electrical c. Chemical d. Unauthorized visitors e. HVAC f. Threats against person g. Structural problems/construction safety Faculty and/or Staff members are urged to submit their written suggestions confidentially at any time to the Safety Award Committee c/o the Dean’s Office. They will be reviewed for implementation on a regular basis by the Safety Officers of the College of Engineering. At the end of each February, the Safety Officers will review all the suggestions again and select one as the winning Safety Award suggestion. The award, a cash gift in the amount of approximately $300 and a plaque, will be presented and the suggestion will be announced at the annual Steel Ring and Awards Ceremony to be held each April. If in a given year there were no viable suggestions, then no award will be presented in that year. A14
Fenn College of Engineering Support Staff Distinguished Service Award The Fenn College of Engineering Support Staff Distinguished Service Award is a new award for our College beginning with the 2006-­‐2007 academic year. The award will be a check in the amount of approximately $300. The purpose of the award is to recognize the classified or professional support staff person within the College of Engineering who has most positively impacted the College. Any faculty or staff person can nominate one individual, and one award will be presented each year at the April Steel Ring and Awards Ceremony. Self-­‐nominations are also permitted. Nominations must be accompanied by a brief statement detailing the reasons for nomination. Criteria that must be met by an employee to receive the award are: • Employment in a full-­‐ or part-­‐time classified or professional staff support position in the College of Engineering • Employee must be in active status with at least three (3) years of CSU service • Must make outstanding contributions to the College. (Please note that person nominating must include clear examples of these contributions; general statements [such as “nominee has demonstrated outstanding assistance to students and faculty for years”] are unacceptable.) • Employee must demonstrate exceptional team participation A committee of three support staff members has determined the award criteria and has met to review the 2006-­‐2007 nominations and determined the winner based upon the degree of impact upon the College. The 2006-­‐2007 Award committee consisted of James Barker, Pamela Charity, and Carolyn Kasprzak, and this year’s award winner is Agnes Langford from the Mechanical Engineering Department. The award winner shall be the chairperson of the following year’s selection committee. The other two members of the selection committee will be elected by a majority vote of the eligible (those not nominated for the award) staff members. A15
BUDGET DEVELOPMENT CALENDAR – CSU The following represents a general budget development calendar. Specific dates and deadlines are subject to change based on factors both known and unknown by CSU administration. February Chief Enrollment Officer begins the process for developing Budget enrollment projections with the Colleges, the Provost’s Office and University Budget Office by convening the enrollment work group. February A list of eligible, merit-­‐based employees is forwarded to the Provost’s Fiscal Operations Office by the Budget Office to start process for administrative faculty merit increases. February Deadline for the submission of permanent budget transfers to the university Budget Office. February The preliminary Budget assumptions and various scenarios are reviewed with the Planning & Budget Advisory Committee (PBAC). February General ledger budget files are locked. No permanent budget transfers will be processed after this date. Any permanent budget transfers requested after this date will be processed after July 1. March Budget enrollment projections submitted to Provost’s Office Director, Fiscal Operations by the Chief Enrollment Officer. March President’s Budget Message issued. March Final budget enrollment projection due to University Budget Office from the Provost’s Office Director, Fiscal Operations. The Budget Office employs these projections to develop an estimate of Instructional Fee revenue. March Budget enrollment projections and revised budget scenarios are presented to the Planning & Budget Advisory Committee (PBAC). March Salary merit decisions finalized by the President & Provost/Deans. April Budget Office distributes budget spreadsheets and Budget Development Guidelines, and targets to the fiscal officers of all Academic Units (Colleges), Academic Support Units, and Non-­‐academic Support Units. The spreadsheets will include salary allocations (if known and applicable), and miscellaneous changes that have been requested. Fiscal Officers begin the Input of information to the budget building spreadsheets. B1
April April April May May May June June June June Special Faculty Merit due to the Budget Office from the Provost’s Fiscal Operations Office. Fiscal Officer budget-­‐building spreadsheet inputting concludes. PBAC Monthly Meeting. Presentation of further revised Budget scenarios. Tuition Resolution Presented to Board of Trustees for Approval. Draft employee renewal letters provided to CFOs for review. Corrections to employee renewal letters. Budget presented to Board of Trustees for approval. Employee renewal letters mailed, if applicable. Budget Loaded to the General Ledger in PS Financial System Budget Loaded to the Budget tables in PS Human Resources System. B2
BUDGET DEVELOPMENT CALENDAR – FENN COLLEGE OF ENGINEERING The following represents a general budget development calendar for the College of Engineering. As with the CSU budget development calendar, specific dates and deadlines are subject to change. August Chairpersons review current year work plans and anticipate faculty need for following academic year. The Dean reviews and forwards the request to the Provost’s Office. September Faculty hiring requests are approved/denied by the Provost’s Office. Chairpersons submit necessary paperwork to the Dean’s Office. October Chairpersons review miscellaneous fees and submit changes. December Chairpersons and Directors work on academic schedules for the following fiscal year. February Academic schedules are complete. The Dean and Associate Dean for Academic Programs use these schedules to develop the College’s enrollment projections. March Graduate Assistant requests are submitted to the Dean’s Office. March Chairpersons request waivers as necessary for following year. April The College Fiscal Officer inputs information in the budget building spreadsheets. July Dean’s Office makes Graduate Assistant allocations to departments. B3
BY-­‐LAWS OF THE COLLEGE OF ENGINEERING The Cleveland State University By-­‐Laws of the Faculty of Fenn College of Engineering (Last Revised March 2010) These By-­‐Laws are applicable within the authorization established by the By-­‐Laws of the Board of Trustees and of the Faculty Organization of Cleveland State University. PREAMBLE The Faculty of the Fenn College of Engineering, recognizing its responsibility to participate in establishing college educational interests and policy and implementing educational courses and programs of study, sets forth in these By-­‐Laws guidelines to help in discharging these responsibilities. ARTICLE I Section 1 This organization shall be known as the Faculty of Fenn College of Engineering of Cleveland State University. ARTICLE II Objectives Section 2 This faculty shall coordinate the educational policies of its College with those of other colleges of the University for the general welfare of the institution as a whole. ARTICLE III Membership Section 1 The membership of the Fenn College of Engineering shall consist of The President of the University (ex-­‐officio); the Academic Vice President (ex-­‐officio); the Provost (ex-­‐officio); the Dean, Associate Dean(s), and Assistant Dean(s) of the College, all persons assigned to the College who hold full-­‐time academic appointments with the faculty rank of Professor, Associate B1
Professor, Assistant Professor, and Instructor, Research Professor, Associate Research Professor and Assistant Research Professor, and Emeriti Faculty, and such other persons designated by the Faculty of the College. Only members of the College, excluding the ex-­‐officio members, shall be entitled to vote. ARTICLE IV Meetings Section 1 There shall be at least one regular meeting of the Fenn College of Engineering Faculty during each of the Fall and Spring Semesters. The meetings shall be called by the Dean or, in his absence, by his designated representative. Section 2 Special meetings of the College Faculty may be held on call of the Dean of the Fenn College of Engineering or, in his absence, by his designated representative or on request of the College Faculty. The request of the College Faculty shall be by petition signed by members of the College Faculty in a number equal at least to twenty (20) percent of the total voting membership of the College Faculty. The Dean (or his designated -­‐representative) shall have a reasonable time to call and hold such special meeting requests by the College Faculty, but in no event shall such time exceed 10 days after receipt of the faculty petition. The agenda shall be limited to the item(s) for which the meeting is called. Section 3 A majority of the voting membership of the Fenn College of Engineering shall constitute a quorum for the transaction of business. Section 4 All meetings shall be called by written notice to members of the Faculty, not less than 7 days prior to the time set for the meeting. Section 5 An agenda shall be distributed to each faculty member at least 5 days before the Faculty meeting to which the agenda pertains. Section 6 B2
In the absence of special provision in these By-­‐Laws, or in the Constitution of the Faculty Organization of the University, meetings shall be governed by the most recently revised edition of Robert's Rules of Order. Section 7 The order of business at meetings of the College Faculty shall be: a. Call to order b. Approval or modification of the agenda for the meeting c. Reading and approval of Minutes of preceding meeting d. Announcements e. Reports from the departments, divisions, schools, bureaus, and institutes f. Reports of Standing Committees g. Reports of Ad Hoc Committees h. Unfinished legislative business i. New legislative business j. Comments by the Dean, or his designated representative of the College k. Forensic business l. Adjournment Section 8 All faculty, professional employees, and students of the Fenn College of Engineering may attend meetings of the College Faculty except during Executive Sessions, at which time, only members of the Faculty shall attend. An Executive Session may be declared: (1) by the Dean, or his designated representative, by noting on the Agenda that the College Faculty meeting will be an Executive Session, or (2) by majority vote of the Faculty present motion to conduct the rest of the meeting as an Executive Session. Such a motion shall take precedence over any motion then on the floor. Section 9 Anyone not a member of the Fenn College of Engineering faculty may, at the discretion of the Chairman, be granted the privilege of speaking to the Faculty. B3
ARTICLE V Officers Section 1 The Dean of the Fenn College of Engineering is the Chairman of the Faculty of the College of Engineering, and he, or his designated representative, shall preside at meetings of the College Faculty. Section 2 A Secretary shall be elected annually by the Faculty from among its members. This election shall be by ballot at the first meeting of the Spring Semester. The Secretary-­‐elect shall assume office on September 1st following his election. Any vacancy in this office shall be filled by the Nominating Committee (Art. VIII, Section 7). The Secretary shall: keep accurate lists of the members of this faculty; prepare, in consultation with the Dean, the agenda for meetings of the Faculty; notify members of meetings; keep complete minutes of each meeting, provide each member with a copy thereof within ten (10) days following the meeting; and maintain a complete file of the minutes of the meetings of this faculty and the written reports submitted at such meetings; and shall file one copy of the minutes of each meeting with the University Archivist. ARTICLE VI Powers Section 1 Fenn College of Engineering Faculty action shall be taken on issues of educational policy and on amendments to these By-­‐Laws. Section 2 When a report or recommendation is initially presented to this Faculty, it may be adopted, rejected, or referred to an appropriate administrative unit or committee for further consideration. Matters so referred by the Faculty shall in all cases be reported back to it. When a matter has been resubmitted to the College Faculty, the Faculty will take such action as it deems appropriate. Section 3 This faculty shall have the following general powers: B4
A. To adopt, alter, or abolish requirements for admission to the College. B. To adopt, alter, or abolish courses, curricula, and College graduation requirements. C. To adopt or alter grading regulations and criteria for College honors. D. To recommend to appropriate University officials and/or committees the creation and abolition of schools, bureaus, divisions, institutes and departments within the College. E. To recommend to appropriate University officials and/or committees the adoption and abolition of academic degrees administered by the Fenn College of Engineering. F. To recommend to the University Faculty Council candidates for degrees from the Fenn College of Engineering. G. To recommend to the University Curriculum Committee and the Faculty Council any changes in the University subject matter requirements for graduation. H. To provide for the transaction of the business of the College as provided by the established precedents of the College. Section 4 All issues other than amendments to these By-­‐Laws shall be decided by a majority of those present and voting. Voting shall be by voice or show of hands, except that a secret ballot may be taken by approval of a majority of those present and voting. ARTICLE VII Departments, Divisions, Schools, Bureaus, and Institutes Section 1 Departments, Divisions, Schools, Bureaus, and Institutes shall be the administrative units through which the college pursues its goods: program development and maintenance, instruction and instructional improvement, student advising, and interrelating with the University and its colleges, departments, divisions, schools, institutes, and with the Greater Cleveland Community. Section 2 Departments, Divisions, Schools, Bureaus, and Institutes are the administrative units responsible for the professional development and professional services of faculty members assigned to them, in keeping with personnel policies. These administrative units shall make policies and procedures concerning their own operation and inter-­‐unit cooperation, and implement policies of the College and University. B5
Section 3 The administrative units have authority to: A. Establish curriculum requirements leading to the academic degrees. B. Establish standards of academic performance for all courses offered by the administrative units. C. Establish the administrative units' requirements for its students. D. Recommend to the University Financial Aid Committee, awards, recipients for the administrative unit scholarships and awards. E. To do any and all things necessary to transact its business as provided by the established precedents of the College. ARTICLE VIII Committees Section 1 The Dean's Administrative Council shall consist of the Dean of the Fenn College of Engineering, the Associate Dean(s) and Assistant Dean(s) of the Fenn College of Engineering and the chairmen/directors for the various departments, divisions, schools, bureaus or institutes of the Fenn College of Engineering. The Dean, or his designated representative, shall preside at all meetings of the Council. The Council shall study those matters relating to the educational philosophy and policy of the Fenn College of Engineering and shall make recommendations regarding them as appropriate to this Faculty, or to a committee of this Faculty. The Council shall act as an on-­‐going advisory body to the Dean on matters affecting the internal operation of the Fenn College of Engineering. Section 2 The following committees shall be standing committees of the Fenn College of Engineering: A. College Nominating Committee B. Undergraduate Affairs Committee C. Graduate Affairs Committee D. Faculty Affairs Committee E. Faculty Committee on Academic Standards F. Peer Review Committee (PRC) for Promotion and Tenure B6
(This committee shall constitute the College Peer Review Committee for promotion and tenure shall be determined only when said committee is constituted as a PRC in compliance with the Agreement between Cleveland State University and American Association of University Professors, CSU Chapter) G. Undergraduate Petitions Committee H. Engineering Computing Committee Section 3 The Chairman of each Standing Committee shall submit an annual written report to the Faculty no later than April 15. The reports shall consist of current academic year’s accomplishments, and recommendations for next year to improve the college. Section 4 The terms of office of all standing committees shall be for a term of two years for all faculty members and for a term of one year for all student members. Each term shall be begin on September 1 and shall end on August 31. No appointed or elected member shall serve on the given standing committee for more than two consecutive terms. Provisions shall be made for staggering the terms of membership so that continuity is provided. In staggering membership terms, the original appointment or election for less than a full term shall count as one term of the two-­‐term consecutive limit. Some Standing Committees have, in their description, stipulations which conflict with the above. When there is conflict, the stipulation in the description of the individual Standing Committees shall take precedence. Section 5 All committees, other than the Faculty Steering Committee, may appoint subcommittees or special committees from its own membership to assist with the performance of its responsibilities and duties. Section 6 The College Nominating Committee, early in the Fall Semester, shall request the Joint Engineering Council of the Fenn College of Engineering to recommend student voting members to standing committees and ad hoc committees of the Fenn College of Engineering authorized to have student members, and it shall appoint students to appropriate committees there from. For all standing committees except the Graduate Affairs Committee such undergraduate students shall have earned 45 credit hours and shall have a GPA of at least 2.50 for all credit hours earned. Students appointed to the Graduate Affairs Committee shall be classified as Regular Graduate Students, have earned 12 graduate credit hours, and have a GPA of at least 3.00 for all graduate credit hours earned. B7
Section 7 College Nominating Committee -­‐ The College Nominating Committee shall consist of one member appointed or elected by the faculty of each Department and/or Division of the Fenn College of Engineering. This Committee shall nominate at least two candidates for all elective positions on the various standing committees of the Faculty.* Additional nominations may also be made by the Faculty at the time of any election. This Committee, in consultation with the Dean, shall appoint all non-­‐elected members of the Standing Committees of the Faculty except as otherwise provided in the By-­‐Laws. Also, in consultation with the Dean, it shall appoint members to Ad Hoc Committees of the Faculty and College. Lists of nominees for standing committees shall be published and distributed to the Faculty at least ten (10) days prior to an election. This Committee shall keep an accurate list of all Standing Committee members and their terms of office. Section 8 Undergraduate Affairs Committee -­‐ The Undergraduate Affairs Committee shall consist of the Faculty representatives of this College to the University Curriculum Committee and the University Admissions and Standards Committee, both of whom shall serve as ex-­‐officio (non-­‐
voting) members, a Faculty member elected from each undergraduate teaching unit, a representative from the Office of the Dean of Engineering (ex-­‐officio), and two students enrolled full-­‐time in this College. The representative from the Office of the Dean shall not serve as the chairperson of the committee. The functions of the Committee are: A. To make recommendations to this Faculty concerning the establishment, alteration, and abolition of: 1) all courses and curricula offered by the undergraduate College; (2) all degrees and certificates conferred under the authority of the undergraduate College; and (3) Departments, Divisions, Schools, Bureaus, and Institutes of the undergraduate College. B. To conduct such investigations and appoint such committees as are reasonably necessary to carry out its responsibilities under these By-­‐Laws. C. To appoint a subcommittee for each of the ESC courses consisting of one faculty from each department whose curriculum incorporates said course and to monitor and ensure that the subcommittees review the course content and instructional materials on an annual basis. D. To appoint a subcommittee of three members to serve as the Cooperative Education Committee for the Faculty. This subcommittee shall be responsible for studying the B8
University defined Cooperative Education Programs of the Fenn College of Engineering and shall present to the Undergraduate Affairs Committee recommendations for the development and improvement of such programs. E. To make recommendations on behalf of the College to the Admissions and Standards Committee of the University Faculty Council for changes in the academic regulations of the University. F. To make an annual review of the admissions policies of the College for all programs and recommend changes or continuance of such policies. G. To make an annual review of the College’s ESC courses and recommend to the College changes, continuance or additions, as appropriate. Section 9 Graduate Affairs Committee -­‐ The Graduate Affairs Committee shall consist of a faculty member elected from each department offering graduate degrees, a representative from the Office of the Dean of Engineering, and two graduate students. The representative from the Office of the Dean shall not serve as the Chairperson of the Committee. The functions of the Committee are: A. To make recommendations to this faculty concerning the establishment and abolition of : 1. All graduate courses and curricula offered by the College. 2. All graduate degrees and certificates offered by the College. 3. All Departments, Divisions, Schools, Bureaus, and Institutes of the College offering graduate programs. B. To be the Graduate Program Committee of the College's Doctor of Engineering Program. C. To conduct such investigations and appoint such committees as are reasonably necessary to carry out its responsibilities under these By-­‐Laws. D. To make recommendations on behalf of the College to the University Graduate Council for changes in the graduate academic regulations of the University. E. To make an annual review of the admission and graduation policies of each of the graduate programs offered by the College and recommend changes or continuance of such policies. Section 10 Faculty Affairs Committee -­‐ The Faculty Affairs Committee shall consist of a faculty member elected from each department. The functions of the Committee are: A. To review and evaluate tenure and promotion regulations and make recommendations for modifying them, when appropriate. B9
B. To study and evaluate all personnel policies relating to the faculty and to make recommendations for modifying them when appropriate. Illustrative areas are promotion, leaves, outside work for pay, military service, academic freedom, insurance and other fringe benefits, parking, teacher rating scales, and retirement. C. To serve as a body for the on-­‐going evaluation of these By-­‐Laws and make recommendations when appropriate to this Faculty for modifying them. This Committee shall receive by reference all proposed amendments to the By-­‐Laws. It shall publish the By-­‐Laws, keep them up-­‐to-­‐date, and republish them at appropriate intervals, as may be deemed necessary. It shall advise the Dean and Faculty on the functions of the committees established under these By-­‐Laws. D. To study, evaluate, and recommend teaching loads and committee service policies. E. To study, evaluate, and recommend faculty merit guidelines. F. To review any grievance or concern presented by a faculty member and make recommendations to proper University personnel. G. Suggest and provide ways and means for effective communication in both directions between engineering administrators and individual members of the faculty. Section 11 Peer Review Committee for Promotion and Tenure -­‐ This Committee shall constitute the College-­‐wide Peer Review Committee (PRC) for Promotion and Tenure through which questions of promotion and tenure shall be determined in compliance with the Agreement between Cleveland State University and American Association of University Professors CSU Chapter. The PRC shall consist of one tenured faculty member from each department, division, school, bureau, or institution (which shall hereafter be referred to as unit) of the College. A majority of the committee must hold the rank of Full Professor, and the Committee shall elect its own Chair. Full-­‐time members of the bargaining unit in each academic department shall elect two nominees for that department's representative to the PRC. These nominees must be members of the bargaining unit and tenured faculty members of that department. The department's representative to the PRC will then be elected from these two nominees by members of the engineering college bargaining unit either by mail ballot or at a College meeting. The nominee with a simple majority of those voting will become the department's PRC representative. If a department does not have two tenured faculty members eligible to serve on the PRC, it shall nominate only one tenured faculty member. If a department has no tenured faculty members eligible to serve on the PRC it shall nominate two untenured faculty members. Each faculty member shall serve on said committee for a period of two years, except that, at the inception of said committee, the members of the first four units alphabetically ordered shall serve for a period of two years and the remaining three unit members shall serve for a period of one year. During the inception of said committee, the first term of service on said committee shall be determined to end retroactively on February 28. Thereafter, each two-­‐year term of service shall begin on March 1, and end on February 28 (or February 29 in the case of a leap year) of the appropriate year. B10
Faculty members up for promotion and/or tenure shall not be eligible to serve during the year of their action for promotion and/or tenure. FUNCTION The function of the College-­‐wide Peer Review Committee for Promotion and Tenure shall be to review faculty promotions and tenures within the Fenn College of Engineering and make recommendations to the Head of the appropriate unit in compliance with the Article Subsection 12.11 of the Agreement Between Cleveland State University and American Association of University Professors CSU Chapter (Effective May 18, 1995 through October 1, 1997). A. TEACHING: To this heading faculty shall be reviewed for their teaching ability in the following respects: Classroom teaching in programs leading to academic degrees; teaching in continuing education and professional programs; directing undergraduate or graduate courses or projects including thesis and dissertations that carry academic credit; working with students outside the classroom on course materials, and counseling students on course selection, career choices and related matters of student concern; serving as a member of a committee advising a student on a thesis, dissertation, or honors paper; developing a course, sequence of courses, curriculum changes, or new and effective techniques of instruction for academic programs, university-­‐related continuing education programs, and educational programs of professional organizations; publications or the presentation of papers or seminars on teaching. B. RESEARCH: Experimental and Theoretical Research which: Creates or validates ideas and theories, either descriptive or normative; expands, analyzes or creatively synthesizes ideas and theories; innovates applying knowledge within the professional field. C. PUBLICATIONS: Publications in referred journals; publications in non-­‐referred journals; monographs; books; pamphlets, unpublished papers; papers delivered at colloquia, symposiums, academic meetings, or meetings of professional groups. D. SERVICE: Making a distinguished contribution as a chairperson, administrator, or facilitator for any academic group organized at faculty, division, school, college, or university levels appointed or elected; serving as a leader or member of task forces or committees providing service to any academic group; contributing to student welfare through service on student -­‐faculty committees and as advisor to student B11
organizations; serving as an officer of an academic or professional association appointed or elected; serving as a speaker or presenter at non-­‐university meetings in areas of professional competence; serving as an organizer of workshops, panels or meetings in areas of professional competence; serving as a leader or member of a task force or committee providing service to local, state, regional, national or international communities, serving as a consultant to public or private organizations. The above criteria are meant to be suggested areas of evaluation and are not meant to be all inclusive. Section 12 Undergraduate Petitions Committee -­‐ The Undergraduate Petitions Committee shall consist of a representative from the Dean's Office appointed by the Dean who shall chair this committee and two elected faculty members. The Dean's Office may solicit and appoint members to serve over the summer semester if necessary. The two elected faculty members shall serve on said committee for a period of two academic years. The duties and responsibilities of this committee shall be: A. To review and act on all petitions for exception to the College baccalaureate requirements. B. To review and act on all petitions for readmission to the College. C. To review and act on all petitions for exception to the academic regulations of the University where authority to act has been delegated to the College by the appropriate University body. D. To review and act on grade disputes. This committee shall have the right and duty to examine and review the facts of grade disputes, observing procedural due process, and to make a recommendation on each grade dispute to the University Admissions and Standards Committee. The following procedural steps are mandated for the Petitions Committee pertaining to disputes with regard to items A through D: 1. A student who feels he has received an improper final decision may request the Petitions Committee to reconsider their action. 2. If the Petitions Committee declines to change its decision, then the student may request the Undergraduate Affairs Committee of the College to review the committee's action. 3. The decision of the Undergraduate Affairs Committee shall be final. B12
The following procedural steps are mandated for the Petitions Committee pertaining to grade disputes: 1. A student who feels he/she has received an improper final grade in a course may request the instructor to reconsider his/her action. 2. If the instructor declines to change the grade, the student may request a meeting with the instructor's department chairman and/or other administrator of similar responsibility. Ordinarily, the conference on the grade will involve the faculty member, his superior, and the student. Initial action in the form of a notice of the intention to appeal must be taken prior to the end of the next semester after the disputed grade is given. In all procedures of this nature, the burden of proof falls on the student to demonstrate that an error has been made or that non-­‐uniform standards have been applied. 1. If an agreement cannot be reached, a further step will be to refer the dispute to the Petitions Committee concerning grade disputes. After investigation, the Committee shall recommend one of the following to the Admissions and Standards Committee of the University Faculty Council. (a) The disputed grade should stand. (b) The student should be withdrawn from the course and a grade of "W" recorded. (c) The disputed grade should be replaced with a different letter grade such as A, B, C, D, F, or S/U. In such cases, notation on the record will indicate that the change was made with the authorization of the Admissions and Standards Committee. The decision of the Admissions and Standards Committee of the University Council shall be final. Section 13 Faculty Committee on Academic Standards -­‐ The committee shall consist of the Dean of the Fenn College of Engineering and the Associate Dean for Undergraduate Affairs or their designated representatives. The duties and responsibilities of this committee shall be to review and make decisions on all probation and dismissal actions. Section 14 Engineering Computing Committee -­‐ The Engineering Computing Committee shall consist of one member elected from each department of the College of Engineering, and one member appointed by the Engineering Dean. B13
The functions of the Committee are: A. Promote efficient and optimal use of computing resources within the College of Engineering and Cleveland State University to further the instructional, research, and industrial support missions of the College and the University. B. Recommend to the Dean of the College of Engineering, or his representative, on matters of computing policy and planning. C. Identify the current and future computing needs of the students, faculty, and staff of the College of Engineering. D. Make recommendations and provide feedback to the appropriate administrative personnel regarding operation procedures. E. Provide a means of collecting and disseminating information between faculty, staff and students regarding computing facilities and software services. Section 15 The first named Faculty member on the Secretary's list of members elected and/or appointed to Standing or Ad Hoc Committee shall call a meeting of the members of that committee. At this first meeting, the members of that committee shall elect a chairman from among themselves. This section does not apply to standing committees having appointed chairperson. ARTICLE IX Amendment Section 1 Amendments to these laws may be made at a regular or special meeting or by mail ballot. Section 2 A proposed amendment to be voted upon must be presented in writing to the Faculty at a preceding regular or special meeting. Section 3 To be adopted, a proposed amendment must be approved by two thirds of those who vote, provided the number of ballots cast is no less than the number constituting a quorum. B14
CSU CENTER GUIDELINES The following document was developed through the Provost’s office -­‐ October 10, 2007 Definition of a Center A Cleveland State University Center is an organizational unit within the University that is formed to: (1) promote research, (2) take advantage of funding initiatives and opportunities, (3) target audiences external to the University, (4) foster interdisciplinary studies, projects or initiatives, or (5) engage in public service or community outreach. Centers often are created based on external funding opportunities or interests of faculty, senior research staff, or professional staff. Centers should encourage participation by graduate and undergraduate students and offer opportunities for internships. Types of Centers Although there may be a great diversity among Centers, they can be grouped into the following four types. The larger Centers require greater institutional investment; therefore, are subject to the most thorough review for establishment and continuation. Center types 1 and 2 generally are too small to require detailed attention but do require some coordination and review, especially at the level of the college. Type 1 Centers in a single academic college or administrative unit that require no internal resources. This provides identity to a single investigator or group of investigators within a single college or administrative unit. This may be for the purposes of fund raising (grants, foundation or private donations), program recognition by constituencies served, or attraction of other faculty collaborators. No internal CSU resources are committed to a Type 1 Center beyond the current salary for faculty and no particular administrative or formal governance structures are required beyond the naming of a Director and review and approval by the appropriate Chairs and Deans. Approval to use a particular name is required to avoid duplication of names that would lead to confusion internally or externally. Approval by the Chair/Director and the academic college Dean is required. If the Center’s activities range across two or more departments/schools, approval by all pertinent Chairs/Directors and the academic college Dean is required. Type 2 Centers in a single academic college or administrative unit that require a minimal level of resources. This provides identity to a single investigator or group of investigators within a single college or administrative unit but requires minimal resources. This may be for the purposes of fund raising, program recognition by constituencies served, or attraction of other faculty collaborators. Minimal internal CSU resources committed to a Type 2 Center may include, for example, a course release for a Director, office supplies, and office space. Policies for naming the Director and governance structures are required. Approval to use a particular name is required to avoid duplication of names that would lead to confusion internally or externally. Approval by the Chair/Director and the academic college Dean is required. If the Center’s activities range across two or more C1
departments/schools, approval by all pertinent Chairs/Directors and the academic college Dean is required. Type 3 Centers across one or more academic colleges or administrative units requiring minimal resources. This provides coordination of the efforts of a group of faculty representing a particular field and crossing boundaries of colleges or administrative units. It could provide for communication among the group (e-­‐mail lists, web page, newsletters, seminar series, retreats), serve as a voice for the group (e.g., requests for shared equipment or resources, input into recruitment of faculty in the represented area, etc.), as a vehicle for enhancing recognition of the field (both internally and externally), as an entry point for companies with interests in the field, and as a fund raising vehicle. Institutional resources committed to the Center would be small (for example, a course release for a Director, or funding typically less than $50,000/year, which might be for things such as seminars and administrative support). Administration might consist of a Director and a faculty advisory group. The governance structure and process for naming a Director must be approved by the appropriate Chairs/Directors, Deans and the Provost. Type 4 Centers requiring institutional support. This provides the infrastructure support functions needed by a group of faculty with shared education, research or service/clinical interests. A Type 4 Center would have space assigned to it, and a formalized administrative mechanism (including a Director with administrative responsibility appointed or confirmed by the Provost). Institutional resources committed to the Center would be small to moderate (typically ranging from $50,000 and up), and might be used to provide for clerical support and shared equipment needs of the group of investigators in addition to those functions supported in Type 1, 2, 3 programs. The governance structure and process for naming a Director must be approved by the appropriate Chairs/Directors, Deans and the Provost. If the purpose of the Center focuses on research and external contacts, the process of approval should include the Vice President for Research. Proposal 1 (for Types 1-­‐2-­‐3) A document prepared to describe the purpose and goals of a Center; it includes information on faculty biographies, funding sources and requests for resources as appropriate, selection processes for internships, and involvement by undergraduate and graduate students. Proposals are approved by the appropriate Chairs/Directors and Deans, as necessary. Proposal 2 (for Type 4) A document prepared to describe the mission of a Type 4; it includes detailed information on organization, administration and governance structures, budgets, plans for measured results, selection processes for internships, and involvement by undergraduate and graduate students. Full proposals are approved by the Provost following recommendations by the academic college Deans, and the Vice President for Research. Review Processes All Centers shall be reviewed every 3 years. At the end of each review period, a Center shall be closed unless a continuation is approved. The Center Director shall submit a C2
report -­‐-­‐ detailing the Center’s activities, achievements, challenges, and financial arrangements over the three-­‐year review period and future plans-­‐-­‐to his/her immediate supervisor (department Chair/school Director, or Dean(s)). If a decision is made to not continue a Center, the Center Director may appeal the decision (to the Dean if the decision to close the Center is made by a department Chair/school Director; to the Provost if the decision to close the Center is made by a Dean); when Centers are joint ventures of two or more colleges, the Deans shall collaborate in arriving at a decision. RESPONSIBILITIES Provost The Provost approves creation and plans of Type 3 + 4 Centers; appoints or confirms Directors of Type 4 Centers; and approves continuance of Type 3 + 4 Centers. Vice President for Research The Vice President for Research reviews Type 4 Center proposals as needed and advises the Provost on continuance of Type 3 and 4 Centers as appropriate. Deans Deans review and approve plans of Type 1-­‐4 Centers; approve the creation of Type 1-­‐3 Centers; recommend approval of continuance of Type 4 Centers. For Centers that report directly to the Dean, the Dean oversees the activity of Centers and approves operating guidelines, allocates resources to the Center, initiates Center reviews, decides to continue or suspend activity of Center. Department Chairs/ School Directors Depart Chairs/School Directors review and approve plans of Type 1 and 2 Centers; approve the creation of Centers; recommend approval for continuance of Type 1-­‐3 Centers; appoint Directors of Type 1 and 2 Centers. For Centers that report to the department Chair/school Director, department Chairs/school Directors oversee the activity of Centers and approve operating guidelines, allocate resources to the Center, initiate Center reviews, decide to continue or suspend activity of Center. Faculty Faculty prepare documents for creating Centers and submit pre-­‐proposals to Chairs. Center Directors Center Directors follow operating guidelines for Centers, identify an advisory group, and have fiduciary responsibility for Center budget. Adapted from University of Minnesota Center Policy. C3
CHEMICAL STORAGE AND CHEMICAL PROCUREMENT The policies and practices for proper chemical storage is provided on the webpages of the Department of Environmental Health and Safety, specifically at: http://www.csuohio.edu/offices/ehs/pp/pp08a.pdf The following is the Hazardous Chemical Procurement Authorization form to be filled and submitted for approval when ordering chemicals. C4
DEPARTMENT OF _____________________________________________
FENN COLLEGE OF ENGINEERING
CLEVELAND STATE UNIVERSITY
HAZARDOUS CHEMICAL PROCUREMENT AUTHORIZATION FORM
Chemical Name: _________________________ CAS Number:___________________
Unit Size: _______________________ Quantity: ______________________________
Requestor: _______________________________ Date: ________________________
Department: ___________________________________________________________
For Use in Building/Room Number: ____________ SOF/PO Number: ______________
Regulatory Issues per “Exhibit A” Chemical Procurement Program:
□ Chemical is considered a Chemical of Interest by the DHS (once acquired, requires
notifying CSU’s EHS within 60 days if amount on hand changes)
□ Chemical is considered Acutely Hazardous by the EPA (P-List)
□ Chemical is considered a Listed Hazardous Compound by the EPA (U-List)
□ Chemical is considered Toxic by the EPA (D-List)
□ Chemical is considered a Hazardous Substance by the EPA
□ Chemical is considered Ignitable
□ Chemical is considered Corrosive
□ Chemical is considered Reactive
□ Chemical is considered Water-Reactive
□ Chemical is considered a Known Carcinogen by the IARC
All listed chemicals require tracking of quantities and disposal; chemicals on DHS List require
reporting any changes in the amount on hand within 60 days. Take care to follow applicable
laboratory safety storage and handling guidelines.
The requested purchase is:
___ Approved, and the order may be placed
___ Denied, pending further information
Comments: ________________________________________________________
Required signatures and stamps:
____________________________ Date: _______
Chemical Procurement
Authorized Individual
_____________________________ Date: _______
EHS Authorized Individual
C5
COMPUTER SECURITY POLICY AND CRITICAL DATA Engineering Instructional Computer Lab Policies Fenn College of Engineering department pledges to provide an atmosphere conducive to instructional, study, reading, and the legitimate use of materials, equipment, and services. To foster this environment, it is necessary that all users act in a manner that is considerate of others. Any behavior or condition that disrupts the orderly use of the Instructional Computer Labs, that could constitute harassment, or that affects the staff's ability to provide service, is prohibited and will be handled by the appropriate enforcement authority. The College of Engineering Instructional Computing Labs is for the expressed purpose of Engineering CSU students. They are restricted to student use. The University reserves the right to ask Lab users to provide a student I.D. or other identification. Refusal to provide this identification may result in a referral to the Campus police. Upon hiring, all Engineering Lab Monitors are trained in the rules of the Instructional Computer Lab Policies. The Lab Monitors have the right to request students to leave the Labs if they are not following the policies. • The computer labs in SH125, SH128, and SH133 are for engineering students use only. • Internet access is prohibited. • No food and open containers of drinks are allowed at the computer desks or in the labs. • No student other than monitors has the right to make system configuration changes to printers and the software on the computers in labs. • Students should save all their data on their own media rather than the computer hard drives. • The Lab is not responsible for lost or stolen personal articles. Belongings should not be left unattended. • Disruptive behaviors, such as loitering, blocking access, making disruptive noises, using abusive language, and threatening or harassing others are prohibited. • Failure to comply with these policies will result in computer privileges being taken away. • Any questions or concerns please talk with the lab monitors. Departmental Computer Lab Policy • The computers in the lab are for projects and/or experiments only, not for personal use. • No food or open container of drinks is allowed at the computer desks – or in the lab. • No illegal downloads are allowed. • No students are allowed to install software or change the system configuration to printers. • Students should save all their data on their own media such as flash drive, rather than on the computer hard drives. • The Lab is not responsible for lost or stolen personal articles. Belongings should not be left unattended. C6
•
•
Disruptive behaviors, such as loitering, blocking access, making disruptive noises, using abusive language, and threatening or harassing others are prohibited. Failure to comply with these policies will result in computer privileges taken away. Critical data Critical data is defined as any information that is vital to the continued mission and operation of the College of Engineering. This would include information as follows (for the College of Engineering Dean’s Office). General Administration Data 1. ABET reports and responses 2. List of college Standing Committees 3. List of College Visiting Committee 4. List of Fenn Academy members 5. List of Co-­‐op program sponsors (companies) 6. College meeting minutes Student Data 1. Probation Letters 2. Dismissal Letters Faculty Data 1. Faculty summer contracts 2. Annual workload assignments 3. Gifts and in-­‐kind gifts tracking files 4. Technology transfer tracking files 5. Patent tracking files Staff Data 1. New appointments or promotions of staff 2. Updated job description This would include information as follows (for each department): General Administration Data 1. Departmental ABET reports and responses Student Data 1. Declaration or Change of Major forms 2. Credit-­‐transfer forms (the blue forms) 3. Graduate admission letters 4. Students in the 5 yr. accreditation MS Program C7
Faculty Data 1. New appointments or promotions of faculty 2. Annual workload assignments Staff Data 1. New appointments or promotions of staff 2. Updated job description In addition to the above, any other documentation that may create a history for the College or Department should be saved on the secured drive. This would include: Department meeting minutes, etc. In order for the University’s Business Continuity Plan to be fully effective, all faculty and staff will store all critical College related data on secure servers (the share folder is identified as \\VIKE\Engineering\ with subfolders for each department) that are behind the CSU firewall and get backed up on a regular basis. Chairpersons and Directors will be responsible for ensuring all faculty and staff adhere to this policy. Faculty and staff failing to meet this policy risk losing access to University resources. C8
CONTRACT PROCEDURES All contract procedures can be found on the CSU Human Resources Development and Labor Relation’s Website at: http://www.csuohio.edu/HRD/forms.html This website provides guidelines (in Word and pdf formats) for the following contract situations: • Employment Contract (Professional Non-­‐Bargaining) o Interim Assignment/Temporary Transfer (Non-­‐Bargaining) • Letters of Appointment (SEIU) o FT Salaried Professional (SEIU) o PT Salaried Professional (SEIU) o PT Hourly Professional (SEIU) o Temporary Transfer (SEIU) • Full-­‐Time Faculty o Overload Appointment o Summer Contract • Part-­‐Time Single Term Special Status Faculty o PT Single Term Instructional Contract o PT Single Term Non-­‐Instructional Contract C9
COOPERATIVE EDUCATION PROGRAM The Engineering Cooperative Education (Co-­‐Op) program is a structured, academic program that integrates classroom studies with paid, productive, real-­‐life work experiences. Students complete a minimum of three (3) semesters of co-­‐op often resulting in employment with government agencies, industry, consulting firms and other private engineering enterprises. The program is accredited by the Canadian Association for Co-­‐operative Education (CAFCE). Procedures for Participation and Completion of the Engineering Co-­‐Op Program In order to complete the College of Engineering Cooperative Education (Co-­‐Op) program, record the experience in the transcript and receive the Fenn Co-­‐Op certificate upon graduation, engineering students must follow the procedures outlined below. It is crucial to keep in contact with the Co-­‐Op Office (SH 130B) in order to obtain information and avoid uncertainties. Fenn Co-­‐Op follows an alternating work/study sequence which normally begins in the summer after the sophomore year. Co-­‐op work semesters must alternate with study semesters (one semester of full-­‐time co-­‐op followed by one semester of full-­‐time course-­‐work, and so on). If students wish to deviate from the alternating work/study sequence, they must submit a petition to the College of Engineering, through the Co-­‐Op Office. Petition forms are available in the Co-­‐Op Office and online at http://www.csuohio.edu/engineering/coop/. Application and Approval First, students need to apply to the Engineering Co-­‐Op program. They may apply as soon as they are accepted into the College of Engineering. They will receive a letter indicating their acceptance status. The application is available on line at: http://www.csuohio.edu/engineering/coop/ or in the Fenn Co-­‐Op office. Students should continue with their studies following the co-­‐op version of the curriculum sheet of their engineering major, maintaining a GPA of at least 2.2 and staying in good academic standing. Eligibility To become eligible to perform the first co-­‐op assignment, students must first complete all of the coursework of the first two years (freshman and sophomore) of study, including the Engineering Co-­‐
Op Education course. If, after registering for the spring semester of the sophomore year, students realize that they will not have completed some of the courses of the first two years of study, they may submit a petition to the College of Engineering, through the engineering Co-­‐Op office, requesting to be allowed to begin their co-­‐
op without completing those courses. Petition forms are available in the Co-­‐Op Office (SH 130B) and online at http://www.csuohio.edu/engineering/coop/. C10
Students must have an approved resume. They should contact the Co-­‐Op office for assistance in resume preparation. Co-­‐Op Assignments (minimum of 3 successful co-­‐op semesters are necessary to receive a certificate) Students should contact the Co-­‐Op office to begin their job search by the 3rd week of the semester prior to the co-­‐op semester. When a student accepts a co-­‐op position with a company/organization, he/she must: 1. Register for either ESC 300 or ESC 400 for the semester of the co-­‐op assignment. 2. Notify the Co-­‐Op office of the assignment by filling out the “Co-­‐Op Placement Information Form” available at http://www.csuohio.edu/engineering/coop/ 3. Meet with the departmental co-­‐op advisor and follow the assignments in the ESC 300/400 course syllabus to achieve a satisfactory grade (S). Assignments include: a. Developing objectives, recording them in the “Co-­‐Op Learning Objectives” form (http://www.csuohio.edu/engineering/coop/) and submitting them to the co-­‐op advisor and to the Co-­‐Op office. b. Writing a final report summarizing the experience; the report must first be reviewed and approved by the company supervisor; then, submit the report to the departmental co-­‐op advisor for grading and to the Co-­‐Op office. c. Completing the “Student Evaluation” (http://www.csuohio.edu/engineering/coop/) and requesting the supervisor to complete the “Employer’s Evaluation” (http://www.csuohio.edu/engineering/coop/); both forms should be submitted to the Co-­‐Op office. 4. Follow the instructions on submitting forms and be sure copies are sent to the Co-­‐Op office. 5. A Co-­‐Op representative will visit the student and the supervisor once during each co-­‐op semester. C11
COUNSELING REFERRAL GUIDELINES FOR FACULTY & STAFF CSU Counseling and Testing Center 216-­‐687-­‐2277 As a faculty or staff member, you may directly interact with students and may be the first person to become aware that a student has a personal problem for which he or she needs counseling. Signs of a Student in Emotional Distress: 1. Frequently missing or arriving late for class. 2. Marked shifts in quality of performance on academic tasks. 3. Complaints of inability to concentrate, difficulty remembering material. 4. Apathy, chronic fatigue, falling asleep in class. 5. Drastic changes in personal appearance/hygiene. 6. Social behavior changes (e.g., stammering, withdrawal, inability to sit still, emotional outbursts). 7. Somatic complaints (e.g., muscle aches, stomach aches, headaches), frequent illness. 8. References to death, suicidal statements or allusions. 9. Report of a life crisis (e.g., death in family, relationship break-­‐up, legal problem, loss of job, injury or serious illness). Approaching a Student in Distress: 1. You may not want to wait for a student to ask for help when he or she is obviously in trouble. You might decide to actively make contact by asking the student to drop by your office or stay after class. 2. Once you are together in a private place with the student, comment on what you have observed and express your concern. 3. If a student discloses a problem, try to allow him or her to discuss it openly. You can convey your support by listening in a calm, accepting, and non-­‐judgmental manner. 4. Sometimes a student will not want to discuss a problem. In this case, simply express your concern and tell the student that he or she can get help at the CSU Counseling Center by calling 216-­‐687-­‐2277. Remember that you cannot help someone who is not ready to be helped. When to Refer a Student to Counseling: There are many times when listening and providing your support are all that a student needs. There are also times when it is appropriate to encourage a student to seek help from a mental health professional. If you are unsure about how to respond to a student, you may want to consult with a Counseling Center staff member by calling 687-­‐2277. In general, it is a good idea to refer a student to counseling when: 1. The student is exhibiting several of the distress signs mentioned above. C12
2. The student is using an ineffective, self-­‐destructive strategy to cope with problems (e.g., excessive use of alcohol or other drugs, withdrawing from others, suicidal thoughts). 3. The problem the student is experiencing has existed for an extended period of time and the student’s attempts to solve it have been unsuccessful. 4. The student seems stuck in an overwhelming or panicked state. 5. Support from yourself and the student’s friends does not seem adequate to alleviate the problem. Referring a Student to Counseling: All CSU students are eligible for free personal, vocational and academic counseling from the Counseling Center. Appointments can be made by calling 216-­‐687-­‐2277 or by stopping by our office located in RT 1235. Daytime and evening appointments are available. Refer by: 1. Reminding the student that counseling is confidential. 2. Reassuring the student that recognizing a problem and reaching out for help are signs of strength, not weaknesses. 3. Allowing the student to use your phone and staying with the student while they make the initial contact with the Counseling Center, or offering them the option of making the call privately. 4. Offering to walk over to the Counseling Center with the student. 5. Communicating your positive feelings about the student’s decision to seek counseling. 6. Reassuring the student that you will not tell others about their seeking counseling. THANK YOU FOR YOUR ATTENTION TO THESE GUIDELINES. IF YOU HAVE QUESTIONS ABOU THE ABOVE INFORAMTION, PLEASE CALL THE COUNSELING CENTER AT 216-­‐687-­‐2277. C13
COURSE BUY-­‐OUTS FROM GRANTS GUIDELINES The following is from documentation dated April 10, 2003: Cleveland State University is a comprehensive university with a strong commitment to research. “Our mission is to encourage the development of human and humane knowledge in the arts, sciences, humanities and professions through scholarship, creative activity, and research while providing an accessible and contemporary education to all individuals.” To this end, the University encourages the inclusion of course buy-­‐outs in grant proposals; however, every faculty member is expected to teach at least one 3-­‐credit or 4-­‐credit course a year. A faculty member should not seek a 100% course buy-­‐out on a grant except in unusual circumstances as indicated below. 1. For purposes of calculating course buy-­‐outs in grant proposals, the standard workload of a research-­‐active faculty member is 24 units a year (16 units for teaching, 8 units for research activity and service). 2. The University’s standard buy-­‐out formula for teaching is as follows: each teaching credit is assessed at 1/24th of the faculty member’s annual academic year salary plus fringe benefits. Thus a 3-­‐credit course will be assessed at 3/24th of annual salary + fringe benefits; a 4-­‐credit course will be assessed at 4/24th of annual salary + fringe benefits, and so on up to a maximum of 21 credits. 3. In grants submitted to agencies that do not allow for full salary replacement, faculty PIs should request grant funding for part-­‐time replacement costs, including fringe benefits. 4. In grant proposals where faculty salary is cited as part of “matching” funds, the department and/or College must provide for course replacement costs. Course releases provided on this basis must be approved in writing by the College Dean before hey can be included in a grant proposal. 5. Some research projects may justify a 100% course buy-­‐out. For example, a project may require a year long off-­‐campus commitment, or a large team project may require extensive administrative responsibility during its first year. Under exceptional circumstances such as these, a 100% buy-­‐out may be permitted on a temporary basis, for one year only, upon advance recommendation of the College Dean and written approval of the Provost. A 100% course buy-­‐out must be funded at 100% of the faculty member’s academic year salary plus fringe benefits. C14
COURSE EVALUATION INSTRUCTIONS Procedure for the Administration of the STUDENT EVALUATION OF INSTRUCTION in the College of Engineering 1. The evaluation form should be administered in the 12th week of classes with the faculty member out of the room. (In summer, the form should be administered two weeks before the end of the 6, 8, 10, or 12 week term.) In the case of interactive video distance learning (IVDL) classes, the faculty member will leave the originating site room while the evaluation is administered. Procedures for evaluation of online courses should be clarified with Betzi Bateman (RT 944, ext. 9207). 2. A colleague or graduate student will administer the evaluation form. If this is not possible, the faculty member should ask a student volunteer to administer the form. If the class has off-­‐site locations via distance learning media, then a colleague or student should administer the form at each site. 3. The person administering the form should read the following to the students before the form is distributed: I AM GOING TO DISTRIBUTE THE FORM USED TO EVALUATE THE INSTRUCTION AND THE INSTRUCTOR IN COURSES OFFERED BY THE COLLEGE OF ENGINEERING. THE EVALUATIONS ARE IMPORTANT FOR PROVIDING FEEDBACK TO THE INSTRUCTOR AND FOR HELPING THE COLLEGE MAINTAIN THE HIGHEST QUALITY OF INSTRUCTION IN ITS COURSES. PLEASE CONSIDER EACH QUESTION CAREFULLY AND ANSWER IT HONESTLY ACCORDING TO THE DIRECTIONS ON THE FORM. WHEN YOU HAVE FINISHED THE FORM, PUT IT DIRECTLY INTO THIS ENVELOPE. I WILL SEAL THE ENVELOPE AND DELIVER IT TO THE DEPARTMENT OFFICE. YOUR INSTRUCTOR WILL NOT SEE THE RESULTS OF THE EVALUATION UNTIL AFTER FINAL GRADES FOR THE COURSE HAVE BEEN SUBMITTED. YOUR ANONYMITY WILL THEREFORE BE PROTECTED. 4. Completed evaluation forms are to be placed in a sealed envelope along with a SCANNER REQUEST FORM which has been filled in by the instructor. The person who administered the form should then sign his or her name across the sealed flap of the envelope. 5. The person who administers the evaluation or another volunteer should take the sealed envelope to the departmental office of the instructor’s home department. Forms collected at off-­‐campus distance learning sites may be mailed to the departmental office in an appropriate envelope. They may also be placed in the box outside SH104 if after office hours. Evaluation results will be provided for instructors after final grades have been submitted. C15
CREDIT CARD SECURITY POLICY The following policy came from an Inter-­‐Office Memorandum from Veronica Herschbach, Director, Treasury Services date July 20, 2009. “Many departments on campus process credit card transactions, some in the course of daily business, and other infrequently. It is mandatory that we protect the privacy of our students and customers by maintaining compliance with the Graham Leach Bliley (GLBA)1 and the Payment Card Industry Standards (PCI)2. If your department transacts business using credit cards or wishes to, please contact the Office of Treasury Services (216-­‐687-­‐4869) to coordinate account set-­‐up and banking arrangements. If you have already been approved to accept credit card payments, please follow the guidelines described below for the processing of credit card transactions. Adhering to the following procedures will help insure the integrity and security of all credit card transactions. Please note, if you do not follow the approved procedures, you will no longer be permitted to accept credit card payments for your department. • Credit card transactions must be in person, by telephone, by mail, or via a secure university approved internet or firewall-­‐protected and encrypted database application (ShopNet and SmartPay are available providers of this service – contact the Cashier’s Office for more information). Do not accept credit card information via email, or send such information to another department via email. The recommended method of receiving credit card transactions is through ShopNet. • All printed customer receipts that are distributed outside the department must show only the last four digits of the credit card number. • All copies of credit card information must be forwarded to the Cashier’s Office for secure handling. Do not store paper records containing credit card numbers within your department. Do not store credit card information in a customer database or electronic spreadsheet. Paper records must be stored in a locked room or cabinet, to which only authorized employees are permitted access. Since the University could face penalties for failing to comply with the PCI credit card industry standards to protect cardholder data, you must begin following the procedures above immediately. Failure to do so may result in your department being asked to discontinue the practice of accepting credit cards. If you feel that credit card records may have been compromised in any way, whether through malicious intent or due to a weakness in the handling and processing of credit card transactions, please notify the Office of Treasury Services (216-­‐687-­‐3610) immediately. __________ 1
Graham-­‐Leach-­‐Bliley Act may be viewed online at: http://www.ftc.gov/privacy/glbact/ 2
Payment Card Industry Standards may be viewed online at: C16
http://usa.visa.com/download/business/accepting_visa/ops_risk_management/cisp_PCI_Data_
Security_Standard.pdf?id=search C17
EMERGENCY PREPAREDNESS AND MANAGEMENT REPORT ALL EMERGENCIES BY CALLING 9-­‐1-­‐1! IF USING A CELL PHONE, CALL 9-­‐1-­‐1 AND ASK FOR CLEVELAND STATE UNIVERSITY POLICE. Cleveland State University is committed to providing a safe and secure environment for its students, employees and surrounding campus community. The most efficient and effective way to realize these goals is for individuals to be prepared before an emergency actually arises. CSU’s emergency preparedness programs are designed to maximize human safety, minimize danger, preserve property and restore normal operations of the University in the event of a major emergency incident. For more information, visit http://www.csuohio.edu/offices/ehs/emergencypreparedness/ Emergency Plans The University has developed an overall Emergency Operations Plan (EOP) for the campus. This plan has been created in accordance with principles and strategies set for by the National Incident Management System (NIMS), promulgated by the Federal Emergency Management Agency (FEMA). Incorporated into the plan are specific written programs that address general evacuation procedures, critical incidents, hazardous and radioactive materials, pandemic planning and workplace violence. Contents of the Emergency Operations Plan have been designed and are geared towards first responders and other emergency personnel. Download the Emergency Operation Plan at http://www.csuohio.edu/offices/ehs/eop/eop.pdf Emergency Procedure Guidelines for Employees, Students and Visitors This is a guidance document that is intended for CSU students, employees and visitors on what they should do in the event of a particular type of emergency. Download the Emergency Procedure Guidelines for Employees, Students and Visitors at http://www.csuohio.edu/offices/ehs/pp/pp27.pdf E1
ENGINEERING FEES Engineering Fees is the general term used for all fees collected by the College or departments. These are the fees collected from students for taking a certain course and are typically for costs associated with maintenance of undergraduate and graduate instructional labs. Fees can only be used for the purpose for which they were first approved. These fees appear on the Transaction Register and the Statement of Operations. During Fall Semester, the Dean and Chairpersons review all fees for reasonableness and accuracy; changes are made as appropriate. The pending policy is still the same as the old “Tech Fee”, but each department is assigned a separate account. This will help each department manage and monitor the budget and expenses. The format of the new engineering fee account is the department’s operating account PLUS a grant ID: ENGR_FEE. To be specific: Dean: 0010-­‐0601-­‐30-­‐ENGR_FEE Eng. Tech: 0010-­‐0610-­‐01-­‐ENGR_FEE CHE: 0010-­‐0620-­‐01-­‐ENGR_FEE CVE: 0010-­‐0625-­‐01-­‐ENGR_FEE ECE: 0010-­‐0630-­‐01-­‐ENGR_FEE MCE: 0010-­‐0660-­‐01-­‐ENGR_FEE E2
EXCHANGE VISITOR GUIDELINES Cleveland State University (CSU) Fenn College of Engineering faculty and staff have the opportunity to collaborate with colleagues from other countries. A CSU faculty or staff member is required to serve as a sponsor of an invited exchange visitor. The Center for International Services and Programs (CISP) provides comprehensive information to assist departments in encouraging exchange visitor collaborations. The Center for International Services and Programs (CISP) will assist the sponsor and the exchange visitor in U.S. federal immigration regulations and university policies in conjunction with the invitation of an exchange visitor. Generally, the exchange visitor enters the U.S.A. on a J-­‐1 (exchange visitor) visa as a visiting scholar or visiting faculty. The sponsoring faculty member at CSU completes a special form called a DS 2019 Request Form (Exchange Visitor Request form). If the exchange visitor is coming to CSU on his/her own funds, he/she will need to provide the CSU Faculty member with documentation showing his/her source of funding which shows how much money is available for the duration of the stay. This information is required by federal regulations. The form is then approved by the Department Chairperson and the Dean of Engineering. Once all of the approvals have been obtained, CSU’s Center for International Services and Programs (CISP) will prepare the necessary visa documents for mailing to the exchange visitor. Step-­‐by step instructions associated with the completion of this paperwork along with the Exchange Visitor Request form can be found at following link: http://www.csuohio.edu/internat/prgm-­‐exchange-­‐form.html If you have any questions, contact Monica Plunkett, at (216) 687-­‐3910 or by email at m.plunkett@csuohio.edu. E3
FACULTY RECRUITING GUIDELINES 1. Travel, lodging, and preparations of small order forms (SOF) are the responsibility of the host department. 2. Dean’s Office will cover expenses. All requests for expenses must be submitted to the Dean for review and approval. Requests should be made as far in advance as possible. 3. Campus visits should be scheduled before the New Year break or immediately after return to campus for spring semester. Pre-­‐approval must be received from the Dean before inviting any candidate to campus. Ideally, two candidates may be invited to campus for interviews. The maximum that may be invited to campus is three. 4. LODGING: Suggested lodging arrangements are listed below. The SOF for lodging must state NO ALCOHOLIC BEVERAGES, NO LONG DISTANCE PHONE CALLS, and NO FOOD. It should also state TAX-­‐EXEMPT. Submit the completed SOF to the Dean’s Office. Once the Dean has signed, it will be returned to the department for processing. The hotel should forward the bill to the host department once the candidate has checked out. Initial the original invoice acknowledging that the invoice is correct and payment should be made. Send the original invoice with one copy and the SOF to the Dean’s Office for final processing. 5. AIRLINE TICKETS: CSU must make travel arrangements for the candidate. Airline tickets can be prepaid through AAA Travel (216-­‐606-­‐6500 or 800-­‐999-­‐0038) using a SOF. The host department must call the travel agency, reserve a ticket for the candidate and give them the candidate’s address as to where the ticket should be mailed. Send the completed SOF form to the Dean’s Office. Once the Dean has signed, it will be returned to the department for processing. The travel agency should send the invoice to the host department. The original and one copy of the invoice, along with the SOF, should be forwarded to the Dean’s Office for final processing. Initial the original invoice acknowledging the invoice is correct and payment should be made. While cost should be considered when purchasing airline tickets, candidates should not be inconvenienced by unnecessary layovers or too early/late departures/arrivals. 6. OUT OF POCKET EXPENSES PAID BY THE CANDIDATE: Reimbursement can be made to the candidate for any incidental expenses incurred during the interview process (e.g., cab fare, food, mileage, etc.). Except for mileage reimbursement, original receipts are required. In addition the candidate’s name and address, social security number and date of birth are needed. Please complete a SOF and forward the original and one copy of the receipts to the Dean’s Office for payment. Receipts must be itemized. 7. OFF-­‐CAMPUS MEAL MEETINGS: Meal meetings are to be limited to the candidate and one or two others to be reimbursed on a SOF. The cost of additional attendees is the responsibility of the host department. Proper documentation must accompany each F1
8. 9. 10. SOF to obtain reimbursement. Proper documentation must contain an itemized receipt stating “no alcohol” along with a written record of the time, place, business purpose and attendees at the meal. Credit card receipts are not acceptable as itemized receipts; reimbursement will not be processed with only a credit card receipt. The completed form with original receipts and one copy should be sent to the Dean’s Office for payment. ON-­‐CAMPUS MEAL MEETINGS: On-­‐Campus meal meetings are discouraged and should be held only in the event of extraordinary circumstances and with prior approval from the Dean’s Office. If approved, on-­‐campus meal meetings are limited to the candidate and one or two others. The cost of additional attendees is the responsibility of the host department. It is expected that all candidates will make a presentation to Faculty and the Engineering Administration and the search committee. Candidates for the rank of Assistant Professor need to be interviewed by the Dean (towards the end preferably), one of the Associate Deans, search committee, department chairperson, and appropriate representative faculty and staff. Candidate vitae and an approved candidate rating should be provided to all interviewing the candidate. All correspondence regarding any offer to a candidate must be approved by the Dean of the College and the Provost. Please forward all correspondence to the Dean’s office for the Dean’s approval. The Dean will forward to the Provost’s office for approval. You will be advised regarding the correspondence. F2
FACULTY RECRUITING GUIDELINES – SUGGESTED LODGING Ask for the Sales Department/Sales Manager when making reservations. Rates may vary depending on date, but should fall within the rates listed. Hampton Inn Crowne Plaza 1460 East 9th Street 777 St. Clair Avenue Cleveland, Ohio 44114 Cleveland, Ohio 44114 216-­‐241-­‐6600 216-­‐771-­‐7600 Rate: $69.00-­‐$79.00 Rate: $89.00 Hilton Garden Inn DoubleTree Hotel (formerly Holiday Inn) 1022 Carnegie Avenue 1111 Lakeside Avenue Cleveland, Ohio 44115 Cleveland, Ohio 44114 216-­‐658-­‐6400 216-­‐241-­‐5100 Rate: $89.00 Rate: $79.00 Holiday Inn Express Embassy Suites 629 Euclid Avenue 1701 East 12th Street Cleveland, Ohio 44114 Cleveland, Ohio 44114 216-­‐443-­‐1000 216-­‐523-­‐8000 Rate: $79.00 Rate: $90.00-­‐$110.00 Wyndham** Radisson 1260 Euclid Avenue 651 Huron Road Cleveland, Ohio 44115 Cleveland, Ohio 44115 216-­‐615-­‐7500 216-­‐377-­‐9000 Rate: $79.00-­‐$91.00 Rate: $89.00 Comfort Inn Days Inn Lakewood 1800 Euclid Avenue 12019 Lake Avenue Cleveland, OH 44115 Lakewood, Ohio 44107 216-­‐861-­‐0001 216-­‐226-­‐4800 **Engineering Preferred F3
FERPA REGULATIONS The following guidelines were received from the Office of the General Counsel, September 15, 2009. FERPA for Faculty and Staff: What is FERPA? FERPA, the Family Educational Rights and Privacy Act, as amended, is a federal law passed in 1974 and codified at 20 U.S.C. § 1232g. It is also commonly known as the Buckley Amendment. The law protects the privacy of student educational records and provides rights to students for access to and amendment of those records. FERPA applies to any higher education institution receiving federal funds administered by the U.S. Department of Education (DOE). Who is protected under FERPA? The rights under FERPA apply primarily to eligible students. An eligible student is an individual who is or has been in attendance at the University. Be aware that a student under the age of 18 or 21 is an eligible student under FERPA if he or she is attending or has attended the University. Applicants are not technically students covered under FERPA, but because they may attend the University, CSU treats their applications confidentially. The records of deceased students cease to become educational records under FERPA, but the University typically keeps those records confidential pending the administration of an estate pursuant to which personal representatives exercise the rights of a student. What are student’s rights? There are primarily seven rights granted to students under FERPA. These are the right: 1) to be informed about their educational records; 2) to inspect them; 3) to request an amendment to them; 4) to challenge the accuracy of those records; 5) to prevent unauthorized disclosure of their records; 6) to complain to DOE about a violation of FERPA; and 7) to waive these rights in writing. A student wishing to see his or her records may do so in the Office of the University Registrar, Keith Building, Room 1414. When and how does CSU provide annual notification of FERPA rights? The required annual notification is posted at different locations on campus, but the primary notification is at the Registrar’s website: (http://www.csuohio.edu/enrollmentservices/registrar/privacy/ferpa.html). Students and others also can review these policies in the Office of the University Registrar, Keith Building, Room 1409. What are education records? An educational record is defined as any record that is directly related to the student and that is kept by the University. Education records can exist in any medium including the following: F4
handwritten, typed, computer generated, videotape, audiotape, film, microfilm, microfiche, e-­‐
mail, and other mediums. What isn’t an educational record? FERPA has a number of key exceptions to the definition of educational records. One exception is sole possession of records, such as faculty or staff records that are not revealed to or shared with other parties. This includes personal grade books or a draft exam. Similarly, documents such as test questions and scoring keys are also exempt from disclosure under the Public Records Act. Even though a student may not have a FERPA right of access to the personal grade book, due process may require such access to the student’s own grade in such a situation if there were a grade appeal. The student’s transcript is an educational record, however. Other specific examples include records of law enforcement units, certain medical treatment records, and employment records unless employment is a result of student status, such as work study. While some records like medical treatment records may not be educational records under FERPA, they may be considered confidential under other provisions of law or professional ethics requirements. The law enforcement record exception has sparked a number of lawsuits. There is no blanket exception and each case must be considered on its own merits. Records created by law enforcement for disciplinary purposes or that are shared with and maintained by another University office, such as Student Affairs, are not subject to the law enforcement exception and thus continue to be educational records. Thus, a record created within one of the exceptions may become an education record if a copy is delivered to an office or department of the University other than the one that created it. For example, a law enforcement record in the possession of the University Police Department would not be an education record, but a copy of the same document filed in the office of Student Affairs would be an education record subject to all elements of FERPA. Recent FERPA amendments provide additional examples of what should not be considered an education record. First grades on peer reviewed papers are not considered education records before they are collected and recorded by a teacher. This amendment reflects the outcome of the Supreme Course case, Owasso Independent School District v. Falvo, 534 U.S. 426 (2002). The second FERPA amendment made clear that student records not directly related to the student’s attendance after a student is no longer in attendance at the University are not considered educational records. Examples of this may include alumni information such as donation history and address. Do parents have any rights? FERPA does allow the University to disclose educational records to parents of dependent students just as they would to the student. Dependent means a dependant pursuant to the definition under the IRS code. Therefore, there must be proof that a parent claims a student as a dependant under the federal tax laws. The University Registrar requires a copy of the first page of the parent’s 1040 Form. F5
There is a designation in the computer network indicating this dependent status. Faculty and staff need to be careful when a parent or third party calls and asks about an educational record or information about a student. If there is no waiver or the student is not a dependent, disclosure to even a parent can be unlawful. In these situations faculty and staff should obtain assistance from the Registrar’s Office and then from Office of the General Counsel as needed. There are some exceptions when dealing with emergency situations. Please contact the Office of the General Counsel with any questions at Parker Hannifin Administrative Center, Suite 327, 2300 Euclid Avenue, phone: (216) 687-­‐3543. May information from a student’s record be disclosed to protect health or safety? Yes. FERPA permits the disclosure of information from student records to appropriate parties, including parents of an eligible student, in connection with an emergency if knowledge of the information is necessary to protect the health or safety of the student or other individuals. A health or safety emergency requires an “articulable and significant” threat. For example, if a student sends an email to his resident assistant saying he has been diagnosed with a highly contagious disease such as measles, the institution could alert the student’s roommate and perhaps others with whom the student comes in close contact to urge them to seek medical care. When education records are released for a health or safety emergency, the University must record the articulable and significant threat to the health or safety of the student(s) and to whom the information was disclosed. This exception does not authorize knee-­‐jerk disclosure, but does authorize a limited disclosure to a limited number of people, made on the basis of a good faith determination in light of the “totality of the circumstances” and whether or not there is an “articulable and significant threat” that would warrant such disclosure. Any decision must be made on a rational basis with the information available at the time. In general, and when reasonably possible, the initial disclosure should be made to professionals trained to evaluate and handle such emergencies. Such disclosures should not be made without first contacting the office of the General Counsel at (216) 687-­‐3543. What is directory information? FERPA specifies that an institution can specifically define some education record information as directly information that is not confidential under FERPA. This is information which is generally not considered harmful or an invasion of privacy if disclosed. Student name, participation in officially recognized activities and sports, height and weight of members of athletic teams, dates of attendance, and degrees and awards (honors) earned are listed as directly information at Cleveland State University. Directory information is one of the most critical and important concepts under FERPA as it is the first consideration in whether access to a students’ education record information is permissible without a release or applicable FERPA exception. F6
Directory information cannot include a students’ SSN or student ID number except if the ID number cannot be used to gain access to education records unless used with other factors known only by the student (PIN number, password, etc.). Can a Student refuse to allow directory information to be released? Yes. The University must allow a student to opt out or preclude directory information from being disclosed. Some students may be concerned about this information and want to opt out. For example, they may have been pursued by a stalker or an ex-­‐spouse and do not want this information available publicly. Once a student is no longer attending the University, the University must continue to honor valid requests to opt of out directory information disclosure made while the student was in attendance at the school. A student can opt out within a certain amount of time after the annual notice is published. Students who wish to restrict the release of the foregoing information can do so through CampusNet or by submitting the Directory Information Restriction Request form to Campus 411, located in the Main Classroom Building, Room 116. Faculty and staff need to be careful about simply assuming that because an item is directory information it can be freely disclosed. Faculty and staff need to check first with the Registrar’s Office to see if the student opted out. Any directory information based on SSN must have written consent before disclosure. How does a student give specific consent for release of educational records? The student can provide a written release giving specific consent to the disclosure of his or her education records. The release needs to be dated and must describe the records, the purpose for the release, and a list to whom the records can be given. The job reference is one area where faculty and staff typically forget to obtain a release. Are electronic signatures in consents valid under FERPA? They will soon be considered valid. DOE has published a proposed regulation change to the Code of Federal Regulations (34 CFR 99.30) recognizing electronic signatures if the university follows certain steps to authenticate the signature, attribute it to the consent, ensure the transmission is secure, and document the transaction. This makes practical sense because electronic signatures are now recognized in federal and state law. Electronic signatures are recognized under federal student loan programs as well. When should I get a written consent from a student? In addition to the above, the general rule is that when no FERPA exception applies and the faculty or staff member will be disclosing or referring to an educational record, the faculty or staff member should get written consent. Here are some examples of information as to which written consent should be obtained before release – Student Identification Number, Grades/Exam Scores, Grade Point Average, Social Security Number, Parent Address/Phone, Detail of Registration Information (i.e., courses, times), Race , Ethnicity, or Nationality, Gender, Date of Birth, Total Credits, Number of Credits Enrolled in a Quarter, and Emergency Contact. F7
When is written consent not necessary? FERPA provides many specific exceptions when faculty and staff may disclose education records without specific student consent. Many of these exceptions are provided in the regulations to allow for the reasonable and practical workings of an educational institution. One of the key exceptions is when the disclosure is to other school officials within the University who have “legitimate educational interests.” Specifically, this includes faculty who have a need to review the educational record in order to fulfill their responsibilities. For example, finding out grade information from all of a student’s classes when the faculty member is an advisor is a legitimate educational interest. A faculty member may sit on a committee, such as a grade appeals board, and then also have a legitimate interest. School officials include parties outsourced to perform University services. The outsourced parties must be under the direct control of the University and perform services that would otherwise be done by the University. Outsourced parties are subject to redisclosure requirements. Legitimate education interest does not, however, include simply having a curiosity about the academic record or disciplinary proceedings with regard to a student without some legitimate academic reason. Thus, all records of all students are not open to all faculty or staff at the University. University offices with students’ education records must maintain a record listing the names of all parties, other than University officials with a legitimate educational interest, who have requested or obtained access to and/or copies of student records. This record must be shown to students requesting such information regarding their own records. Other exceptions include disclosure to other schools where the student intends to enroll, disclosure to certain federal officials in connection with financial aid, and disclosures in compliance with lawful subpoenas. The University may return an education record to the source of the education record without notice. In the event of a transfer, application, or suspected fraud, an education record may be returned to its source to verify its authenticity. As previously mentioned, exceptions also include disclosure to parents of dependent students, directory information and emergencies. Are student disciplinary records covered under FERPA? Yes. There have been inconsistent results in litigation around the country on this issue. FERPA does allow disclosure to parties other than the disciplined in certain situations. For example, the results of a disciplinary proceeding must be disclosed to the victim of a sex offense. Recent changes in the law allow, but do not require, disclosure to the parents of students who are under the age of 21, and in relation to students convicted of drug, violent crime or nonforcible sex offenses. Disciplinary records can be disclosed to parents of dependent students. Further information regarding such disclosure to parents can be found in the Student Conduct Code. Is student email on the Campus webmail system a record? Yes. Student record includes electronic records. The email address is not include as directory information and CSU considers emails to and from a student to be protected under FERPA. F8
How about information on a student who is a registered sex offender? The Campus Sex Crimes Prevention Act amended FERPA to allow campuses to give out information on registered sex offenders as defined in the Campus Sex Crimes Prevention Act. Sex offenders must identify where they are attending school or plan to attend. The University must also notify the campus of where this information can be found. The University Police provide this notification on their website. What about giving information to the INS? The University has the authority and responsibility to turn over information on its foreign students to the Immigration and Naturalization Services to determine non-­‐immigrant status. Foreign students are required to sign a form I-­‐20 consenting to such disclosure. In addition, there is a special exception to FERPA in 8 USC § 1372 allowing the U.S. Attorney General to collect data on foreign students from specified countries identified as terrorism risks. An automated system called SEVIS has been implemented, which requires electronic reporting on the status of such students. Should I be careful how I post grades? Definitely! This is one area where FERPA is often violated. Faculty should not identify the grade to a name or social security number. The social security numbers are protected under FERPA. Social security numbers are also specifically protected under the Federal Privacy Act and state law. Therefore, faculty needs to have a system of separate numbers or other alternatives when posting grades. In addition, do not leave a stack of graded exams with names on them on a table to be picked up. This has happened from time to time. It is also poor practice to leave graded exams, even if posted with the alternate numbers, on a table or in collection areas where students can see other students’ exams as they may be able to identify who wrote the exam. Also, do not disclose to students another student’s grades in class, (for example, on a paper or test) without consent, as that is disclosing a “record”. In situations where students are required to see and discuss other students’ work in class, for example in groups, it is best practice to get consent at the beginning of the class and explain this in the syllabus. As previously stated, recent FERPA changes clarified that grades on peer reviewed papers are not considered education records before they are collected and recorded by a teacher. What standard security practices must I follow? All staff must utilize reasonable measures to preserve the confidentiality, security and integrity of CSU information systems and the information contained therein. All CSU staff should practice appropriate security measures: never disclose, share or loan your username(s) and password(s) to anyone (e.g., another employee, faculty member, supervisor, student assistant, etc.) and never use generic/group IDs when accessing confidential academic record information. In addition, staff should take reasonable measures to restrict unauthorized F9
persons from viewing confidential academic record information. For example, you should: never leave your computer workstation unattended while signed on without appropriate screen locking (e.g., a password-­‐protected screen saver), never leave personal logon information (e.g., username, password, network mapping, etc.) in view of unauthorized persons and never program (or ‘hot-­‐key’) automatic access to confidential academic record systems. What about terrorism and Federal government? After 9/11, various institutions were contacted by the FBI for information on students. DOE eventually published guidance on the applicability of the emergency exception and subpoenas. The USA PATRIOT Act of 2001 authorized the U.S. Attorney General to obtain court orders authorizing release of information on students without notice to the student. Handling of subpoenas and determining when information can be turned over to law enforcement authorities is a complicated area. If faculty or staff were to ever be approached by law enforcement for records they should contact the Office of the General Counsel immediately. May I discuss a student with other faculty, TA’s or student workers? If the other party has a “legitimate educational interest” then the answer is “yes”. The question assumes that something from a “record” is being disclosed, either directly or indirectly. Discussion that is not based on a “record” is not prohibited under FERPA, for example, giving an opinion about a student generally. The issue, then, is more a matter of professional ethics. Always be aware that conversations about a student might be overheard by others. FERPA considers Teaching Assistants to be an extension of the faculty member. Faculty members may even share their sole-­‐possession records with their TAs. However, if other faculty and department members can inspect those notes, they are no longer sole possession and become education records. Students have the right to inspect and review records that pertain to them. FERPA allows student workers with a “legitimate educational interest” to have access to other student’s educational records and confidential information. It’s strongly advisable for student workers to be trained on FERPA just as if they were faculty or staff. Why are student-­‐athlete GPA’s publicized? Student athletes sign a special consent form with the Athletic Department agreeing to such publication. There are a number of reasons for this including public relations and community interest as well as academic awards. In many situations, a student may specifically want their grades or specific achievements publicized, such as being named on dean’s lists. How is military recruiting on campus affected by FERPA? Many universities or colleges within universities, particularly law schools, have restricted access by military officials to information on students even when such information may have been given to other employers. This has been based on the position that the military discriminates against homosexuals. The Federal Government enacted a special law, called the Solomon Amendment, which provides a process for restricting Department of Defense funding to F10
institutions, generally through the grant process, if military recruiters are not given equal access to the campus or directory information. There are some exceptions. For example, if a university did not provide directory information to any employers, it would not have to provide it to the military. Does FERPA apply to information and documents relating to the disability of a student? Yes. This is information or records which relate to a student and relate to their attendance at the institution and, therefore, must be handled with the same confidentiality as other education records. In some situations, these records may have a dual status as both an educational record and a medical record. However, the records are treated with confidentiality under FERPA, in any event. How does FERPA relate to the Open Records Act and Open Meetings Act? As a public institution, the University is subject to the State Open Records and Open Meetings Act and, therefore, absent an exception, records in the possession of University faculty or staff are subject to the Open Records Law. FERPA is an exception to the Open Records Law as it is a federal law providing for confidentiality. There have been a number of cases around the country exploring the relationship between the Open Records Act and FERPA. Some of these cases have tried to limit the definition of education record to only those records dealing with academics. It is also possible that certain meetings at the University, which might otherwise be open, could be closed in part when discussing confidential student educational records. However, if the meeting is otherwise open, only so much of the meeting can be closed that discusses the confidential records unless there is other legal authority to further close the meeting. Examples of meetings which would be closed to discuss confidential student records would be the grade appeals board meetings and disciplinary proceedings. What are the sanctions or liability risks for a FERPA violation? FERPA provides for a complaint procedure to the United States Department of Education with an ultimate sanction of withholding federal funding from the educational institution that made the unlawful disclosure of student record information. It is extremely rare for cases to get to the point where the federal government would threaten to withhold funding. There has been some litigation where plaintiffs have been allowed to sue under civil rights statutes for FERPA violations. However, in 2002 the United States Supreme Court, in Gonzaga University v. Doe, determined there was not a private cause of action in federal court for a violation of FERPA. At CSU, any breach of confidentiality could lead to disciplinary action. Faculty and staff need to take the privacy obligations under FERPA very seriously. How can a student file a complaint for a violation of this policy? F11
Students have the right to file a complaint with the Department of Education concerning any belief that he or she has that the University has failed to comply with a provision of FERPA. Written complaints should be directed to The Family Policy Compliance Office, US Department of Education, 600 Independence Avenue, SW, Washington, DC 20202-­‐4604. Phone: (202) 260-­‐
3887, Fax: (202) 260-­‐9001. Who can I talk to if I have further questions about FERPA? Good resources on campus are the Office of the General Counsel and the Office of the Registrar. Each faculty and staff member, at a minimum, should read the annual notice on the Registrar’s website as a starting point: (http://www.csuohio.edu/enrollmentservices/registrar/privacy/ferpa.html). This outline was largely adapted from Rich Johnson’s “FERPA for Faculty”, Office of General Counsel, North Dakota State University. (9-­‐15/09) F12
FERPA AMENDMENTS: The following information was provided to the Campus community by the Office of the General Counsel in a memo dated September 15, 2009. Effective January 8, 2009, FERPA regulations (the “regulations”) were amended by the Secretary of the Office of Planning, Evaluation, and Policy Development of the Department of Education (DOE) to clarify the appropriate scenarios for education record disclosure. New requirements, clarifications and other significant changes are listed below. Please share his document with members of your office or department to ensure compliance with the amended law. Significant Changes Definitions “Personally Identifiable Information” is amended by adding “biometric record” (see below) to the list of personal identifiers and any information requested by any person that CSU reasonably believes knows the identity of the student to whom the education record relates. Other indirect identifiers like date and place of birth and mother’s maiden name were also added to the list of personally identifiable information. “Education Records” is amended to: 1. Clearly exclude peer graded assignments that have not been collected and recorded by a teacher or professor. Peer reviewed paper before collected and recorded by a teacher or professor will not be subject to consent and disclosure requirements; 2. Clarify that, with respect to former students, the term educational records excludes records created or received after an individual is no longer a student in attendance and are not directly related to the individual’s attendance as a student. An example of a record excluded from the definition would be alumni activities. “Disclosure” is amended to exclude the act of returning an education record to the source of the education record. This is significant because FERPA regulates when and to whom education records may be disclosed. “Directory information” is amended by stating that directory information may not include a student’s Social Security Number (SSN) or student ID number. Directory information may include a student’s user ID number or other unique identifier used by the student to access or communicate in electronic systems, but only if the electronic identifier cannot be used to gain access to education records except when used with other factors known only by the student (PIN number, password, etc.). F13
“Attendance” is amended to clarify that FERPA applies to the records of students receiving instruction by means that do not require physical presence in the classroom, including online study via videoconference, internet, satellite, or other electronic information and telecommunications technology. “Biometric record” as used in the definition of “personally identifiable information” is a record of one or more measureable biological characteristics used in automated recognition (fingerprints, DNA, handwriting, etc.). When is prior written consent not necessary to release education records containing personally identifiable information? 1. Prior written consent is not necessary to disclose education records to “school officials” that have a “legitimate educational interest”. Reasonable methods to limit access to education records must be used to ensure that school officials only have access to records of legitimate educational interest. Schools that do not use physical or technological barriers must ensure their administrative methods comply with the “legitimate interest” requirements. • The regulations expand the school officials’ exception to include contractors, consultants, volunteers and other outside parties to whom CSU has outsourced to perform CSU services. The outsourced parties performing CSU activities must be under the direct control of CSU and perform services that would otherwise be done by CSU. Any outsourced party is subject to redisclosure requirements. 2. Prior written consent is not necessary if the disclosure is to another school system but must be related to the student’s enrollment or transfer to the school system. • This was implemented in the wake of the Virginia Tech tragedy. The purpose is to clarify that all education records, including health and disciplinary records, may be disclosed in an attempt to facilitate good information sharing. 3. Prior written consent is not necessary before disclosing education records related to educational research; however, the organization conducting the study must agree in writing to: a. describes the scope, purpose, duration, etc. of the study; b. use the personally identifiable information only for purposes stated in the written agreement; c. not allow any parent or student to be identified by anyone other than representatives of the study with legitimate interests; and d. destroy or return all personally identifiable information to CSU. 4. Prior written consent is not necessary and CSU is not required to make a reasonable effort to notify student/parent where CSU is being requested to disclose educational records to the Attorney General in response to an ex parte court order as part of an investigation or prosecution related pertaining to terrorism. F14
5. Prior written consent is not necessary to conform to the requirements of the Campus Sex Crimes Prevention Act to release information CSU receives from a state community notification program about a student registered as a sex offender in the State. 6. CSU may release any disclosed records without consent once all personally identifiable information is removed. Parties releasing de-­‐identified information must make a reasonable determination that the student’s identity is not identifiable, even after multiple releases. 7. CSU may release education records for education research by attaching a code to each record that allows the recipient to match the information from the source. The code must only be used to identify a de-­‐identified research record. The code must not be based on a SSN or student ID number. CSU must not disclose how the codes are generated or the method of code assignment. CSU must use reasonable methods to authenticate the identity of parties to whom educational records are disclosed, such as a secret pin or password, but not a SSN or date of birth. 8. Prior consent is not required to disclose personally identifiable information within educational records to state auditors. 9. Prior written consent is not required to disclose educational records to the student’s parents if the student is a dependent for Federal Income Tax purposes. The parents should provide a copy of the IRS Form 1040 to prove the student is dependent. Redisclosure of education records and Record keeping by State and local authorities and Federal officials and agencies Redisclosure CSU is required to keep records of parties who request access to personally identifiable information. The record must include the names and legitimate education interests of state and local educational authorities and federal official and agencies that may make further disclosures of personally identifiable information without student consent. • State and local educational authorities and federal officials that receive education records (US comptroller, US Attorney General, Secretary of Education, state/local education authorities “hereinafter ‘Government Officials’”) are permitted to redisclose education records on behalf of CSU in accordance with redisclosure requirements in order to facilitate statewide data sharing systems and ease administrative burdens. Recordation Requirements CSU is required to obtain and make available to parents or students a copy of the record of further disclosures maintained by Government Officials upon request. F15
When education records are released for a health/safety emergency, CSU must record the articulable and significant threat to the health/safety of the student(s) and to whom the information was disclosed. Any Government Officials making further disclosures on behalf of CSU must record the names and legitimate interests of the parties to which information was disclosed if the information was received from an educational institution/state/federal authority that has not recorded the disclosure. This amendment to FERPA provides clarity as to where the duty to record parties and legitimate interests falls when further disclosures of personally identifiable information are made by a party acting on behalf of CSU. • For Example, the party (State Authority) disclosing the information must make a record of the names/interest of the party receiving the information (Federal Authority) IF the information was received from a party (CSU) that has not recorded the disclosure. Any Government Officials recording further disclosures may maintain the record through means other than the student’s name (class, district, etc. or any other appropriate measure). Government Officials must provide a copy of any further disclosures to CUS within a reasonable time (not to exceed 30 days) upon request. Redisclosure limitations The party receiving a subpoena to disclose an education record has the duty to notify the student/parents before complying with the subpoena. If the DOE determines that the third party failed to notify the students or parent in the event of a subpoena or improperly redisclosed personally identifiable information, CSU may not disclose any education record to that third party for at least five years. • For example, X is conducting a study for CSU and needs access to education records containing personally identifiable information to complete the study. If the DOE determines X improperly redisclosed personally identifiable information or failed to notify a student about a subpoena, CSU must cut off X’s access to the education records for at least five years. CSU may disclose personally identifiable information with the understanding that (1) the party receiving the information may make further disclosures on behalf of CSU, (2) disclosure requirements are met and (3) the party receiving the information (Government Officials) has complied with the recordation requirements. Sixteen (16) scenarios where consent is not needed to disclose education records containing personally identifiable information. • Disclosure of directory information. F16
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Disclosure to school officials. Disclosure to another educational institute where the student intends to enroll. Disclosure to the student. Disclosure to the parent of a student who is considered a tax dependant. Disclosure in the event of a health or safety emergency. Disclosures in compliance with a subpoena. Disclosure of relevant information in the context of a lawsuit between the student and CSU. Disclosure to the parents of a student who is under 21 and has violated drug or alcohol policies. Disclosure of the final results of a disciplinary proceeding against a student that CSU has determined violated a CSU rule in connection with alleged acts that would, if proven, constitute a crime of violence or non-­‐forcible sex act. Disclosures of the final results of disciplinary proceedings to the victim concerning a violent crime or non-­‐forcible sex act. Disclosure in connection with financial aid that the student has applied for or received. Disclosure to authorized representatives in connection with an audit of federal or state supported education programs. Disclosure to accrediting organizations. Disclosure to organizations conducting studies. Disclosure concerning sex offenders required under the Wetterling Act. CSU must inform any party to whom disclosures are made of the duty not to make any further disclosures without prior student consent, subject to the eight exceptions listed immediately below: 1. Disclosure to parents of a dependent student as defined by IRS regulations; 2. Disclosure as a result of judicial orders/subpoenas/lawsuit; 3. Release of directory information; 4. Disclosure to parents of non-­‐eligible students; 5. Disclosure of the results of a CSU disciplinary proceeding if the student is an alleged perpetrator of a crime of violence or non-­‐forcible sex offense; 6. Disclosure to a parent of a student violation related to the use or possession f alcohol or any controlled substance; 7. Disclosure of individuals required to register as sex offenders; and 8. Disclosure under the Cleary Act (disclosure to the accused and accuser regarding the outcome of any campus disciplinary proceeding alleging a sexual offense. Information disclosure for Federal or State program purposes The authority of US comptroller, US Attorney General, Secretary of Education, state/local education authorities to conduct an audit, evaluation, or compliance must be established under F17
State, Federal, or local authority. FERPA does not grant these agencies authority to conduct such activities. Disclosures for health/safety emergency Personally identifiable information may be disclosed to appropriate parties, including parents of an eligible student (one attending an institution of higher education), if necessary to protect the health and safety of the student or others. If disclosing education records without consent due to an emergency situation, the “totality of the circumstances” may be taken into account when determining whether or not there is an “articulable and significant threat” that would warrant such disclosure. If CSU determines that there is an “articulable and significance threat” to the health or safety of a student or other individuals, it may disclose information from education records to third parties whose knowledge of the information is necessary to protect them. Directory disclosure CSU must continue to honor valid request to opt out of directory information disclosure made while the student was in attendance at the school even when the individual is no longer a student. The right to opt out of directory disclosure does not apply in the classroom setting. While enrolled in a class, students may not refuse to disclose their name, email address, etc. to the professor during the course of the class under the right to opt out of the directory disclosure. Any directory information based on SSN must have written consent before disclosure. What must CSU submit to the DOE when a violation is alleged to have occurred? CSU may be required to submit reports, information on policies and procedures, annual notifications, training materials, and other information necessary to carry out enforcement responsibilities. What you should know about a DOE investigation • Complaint/Investigation Procedure It is sufficient for a compliant to allege that CUS violated a FERPA requirement. The complaint need not allege the violation is the result of a policy or practice of the school The DOE may investigate on its own initiative, such as when a parent/student has withdrawn the complaint or even when no complaint has been filed. The DOE also has the right to determine whether or not CSU failed to comply with FERPA requirements and if so, whether the violation was based on CSU practice or polity. • Content of notice issued by DOE F18
The notice from the DOE will direct CSU to submit a written response within a specified time period. The response should include any relevant information, including information about its policies and practices regarding education records. •
Responsibilities of the DOE The DOE may find the failure to comply with FERPA requirements was based on a policy or practice. •
How are decisions enforced? The Secretary of Education may take any legally available action to enforce DOE decisions in instances of non-­‐compliance. Please contact the Office of General Counsel (216-­‐687-­‐3542) with any questions that you may have regarding FEPA or its amendments. F19
FILING GUIDELINES The following documents will be filed in the College of Engineering Dean’s Office, but not limited to: • Personnel Information o Contracts o Tenure/Promotion Letters o Course Evaluations o Annual Evaluations • Other Miscellaneous documents related to: o College Faculty Meetings o Visiting Committee Meetings o Fenn Academy Meetings o FAAR’s o PLOA’s o Retirement Projection o Faculty Workloads o Provost documentation o SOF’s o Special Payment Forms o Student Employment Forms o Pre-­‐Engineering and Engineering Student Files § Petition Forms § Start up Forms (Including first-­‐time advising forms) § Probation and/or Dismissal Letters Departmental Files will consist of, but not limited to: • Departmental Student Files o Advising records o Petition forms o Probation and/or Dismissal Letters • Student Employment Forms • Graduate Assistantship/Tuition Assistantship Forms • Small Order Forms • Purchase Requisitions • Special Payment Forms F20
Training is available at any time if there are questions. 1. Categorizing A filing system is should have a Main category or a Sub-­‐category. For example, a main category might be FINANCIAL. Some sub-­‐categories within Financial, may be: -­‐-­‐Savings Account -­‐-­‐Checking Account -­‐-­‐Money Market Account The main categories should always be hanging file folders with a labeled tab. Your sub-­‐
categories should be labeled manila file folders inside the appropriate main category hanging folder. 2. Basic Filing Systems For the most part, people choose to use one, or a combination of, these basic filing systems: A. Alphabetical (A, B, C, D, etc.) B. Numerical (1, 2, 3, 4, etc.) C. Chronological (Jan, Feb, Mar, Apr, etc.) The one you choose, depends on what you're using it for. For example, if you need to keep files for all of your customers (or associates, friends, etc.), alphabetical by last name usually will work best. For sequential case numbers or projects that are numbered, a numerical system would probably work best. If it is necessary for you to find things by date, then chronological may be your best choice. Some people get really creative and use a combination of these systems. For example, you may want your main categories to be chronological, but the sub-­‐categories inside to be alphabetical. 3. Labeling If a file isn't labeled properly, it's not going to be quick and easy to find: • Always write your subject on the tab of the file folder, close to the top of the tab, so you can easily see it when you're looking through your files. • Use a medium point, black marker to label your files. Print; don't use script. • Use as few words as possible on the tab. The guidelines on this page (F5) were found on the following website: http://www.businessknowhow.com/growth/fileguide.htm F21
FIRE SAFETY REPORT FIRE EMERGENCIES IMMEDIATELY – CALL 9-­‐1-­‐1! WHEN FIRE ALARM IS ACTIVATED, ALL OCCUPANTS SHOULD IMMEDIATELY LEAVE THE BUILDING! The Department of Environmental Health and Safety is responsible for overall fire safety and prevention on campus. EHS facilitates fire and life safety inspections of University facilities, fire safety education and training, fire and evacuation drills, the testing and inspection of fire safety systems, management of the portable fire extinguisher maintenance program, routine inspections of fire extinguishers and exit lighting, and plan review for renovation and construction projects involving life safety systems. For non-­‐emergency assistance with fire safety and prevention issues, contact EHS fire personnel by calling extension 3842. For more information visit http://www.csuohio.edu/offices/ehs/firesafety/ G1
GIFT & PLEDGE ACKNOWLEDGMENT POLICIES & PROCEDURES (From the Advancement Office) Gifts/Pledge Payments All gifts and pledge payments, regardless of amount, receive a tax receipt from the Gift Processing office indicating face value along with value of goods and services, if applicable. 1) $5,000+ (a) Gift Processing copies check, correspondence and accompanying documentation and forwards to Assistant Director of Donor Relations; (b) Secretary, Office of Advancement Services, prepares from templates, appropriate thank you letter for President’s signature on President’s letterhead and forwards to Assistant Director of Donor Relations; (c) Assistant Director of Donor Relations reviews for content, seeks input from the appropriate Directors of College Development and Alumni Relations or development staff member involved with the gift, and edits as appropriate; forwards to the Administrative Coordinator in the Office of the President to acquire President’s signature; (d) The Administrative Coordinator in the Office of the President mails the letter and forwards copy to the Assistant Director of Donor Relations; (e) Assistant Director of Donor relations submits all gift documentation to Central Files. 2) $1,000+ (a) Gift Processing copies check, correspondence and accompanying documentation and forwards to Central Files; enters gift/pledge payment in Millennium for inclusion in the Weekly Gift Report; (b) Coordinator, Donor Records provides Deans, Directors, Major Gift Officers and Administrative Assistants the Weekly Gift Report electronically via email; (c) Deans are responsible for acknowledging gifts/pledge payments of $1,000 or more to their College. It is the Director of College Development’s responsibility to follow-­‐up on this process, with the Assistant Director of Donor Relations, assuring that this step in the acknowledgment process is followed. Copy of the acknowledgment will be provided to the Assistant Director of Donor Relations who will forward to Central Files. A specific College or unit is free to acknowledge gifts/pledges at all levels but it is important to systematize the process for gifts of $1,000 and above. G2
3) $500+ (d) General University gifts/pledge payments will be acknowledged by the Vice President, University Advancement. The Advancement Writer will work with the Assistant Director of Donor Relations to prepare appropriate templates. The Secretary, Office of Advancement Services, will generate the letter. Copy of the acknowledgment will be provided to Central Files. (a) Coordinator, Donor Records, will generate a weekly list of gifts/pledge payments of $500 or more by assigned prospects and distribute to the assigned manager for acknowledgment as appropriate. This is to ensure that Prospect Managers are aware of gifts/pledge payments made by their assigned prospects to funds not under the auspices of their respective colleges. 4) Donor Advised Funds & Foundations (a) Coordinator, Donor Records, will generate a weekly list of gifts/pledge payments from Donor Advised Funds and Foundations for which there is a credit to individual(s) and provide this list to the Assistant Director of Donor Relations, who will review for appropriate acknowledgment to the individual(s) involved in the distribution/grant to the University (the individual(s) receiving credit). The Assistant Director of Donor Relations will advise the Coordinator, Donor Records as to appropriate credit(s) for Foundations and Corporate Foundations. The Assistant Director of Donor Relations will generate the acknowledgments for signature of appropriate person. (b) Gift Processing will generate a receipt of gift to the Donor Advised Fund, Foundation and Corporate Foundations with cc’s to individual(s) credited with gift/pledge payment. This receipt contains no tax deductibility language. Pledges 1) Non-­‐Phone Center (a) Assistant Director of Donor Relations will receive a list of non-­‐phone center, non-­‐law and non-­‐payroll deduction pledges from the Coordinator, Donor Records, in the Fall and Spring. The Assistant Director of Donor Relations will generate a pledge reminder letter for signature of appropriate person. (b) Assistant Director of Donor Relations will generate an acknowledgement letter for general pledges of $1,000 or more. (c) Coordinator, Donor Records, provides Law pledge reminders monthly to the Development Officer, Law. G3
1) Phone Center (a) The Office of Annual Giving will send out pledge reminders. (b) Directors of Development of the Dean’s Office will acknowledge pledges of $500 or more. G4
GIFTS TRACKING PROCEDURES The Administrative Coordinator and Secretary receive a weekly report (from the University Advancement Office) on gifts donated to Engineering regardless of the dollar amount. We save all of the reports in the Dean’s Office (Administrative Coordinator). The Secretary was asked by the Dean to record ALL gifts no matter how small last year. She has a spreadsheet for small gifts (under $500) and another for large gifts (more than $500). In her spreadsheets, she will list the donor name, gift designation (i.e. faculty, dept., etc.), gift description, amount and receiving date. The Administrative Coordinator prepares thank-­‐you letters for all the donors for the Dean to sign. If monetary gifts come directly to the Dean’s office, the Administrative Coordinator fills out the Gift Transmittal Deposit Form. The Gift Transmittal Deposit Form can be found on the College of Engineering’s website. It is also shown on page G3. The form is completely filled out in order for the Office of Gift Processing to correctly process the gift. Also attached to the form is a copy of any corresponding gift documentation that came with the gift. If no supporting documentation came, the Administrative Coordinator should include correspondence that led up to the gift. The original postmarked outside envelope containing the gift must be attached to the Gift Transmittal Deposit Form. Copies are made of all the documents for the Dean’s office files. This form is then forwarded along with all documentation to the Development Office. These instructions are documented on the Gift Transmittal Deposit Form. Gifts submitted to the Office of Gift Processing by the Dean’s Office will be reconciled quarterly by the Administrative Coordinator using the Gift Report provided by the University Advancement Office. G5
GIFT TRANSMITTAL DEPOSIT FORM (Gifts should be forwarded with this form immediately upon receipt) Department: Today’s Date: (MM/DD/YY) Prepared by: Phone: Receipt Section Donor Name: Contact if different: Address: City, State, Zip: Issue Soft Credit to: In Memory of: In Honor of: GIFT TENDER SECTION o Type of Tender (check o Check o Cash o Credit Card Stocks/Bonds one) Amount Tax Deductible amount if : different: DISTRIBUTION SECTION Type of Gift Transaction (check o Gift o Pledge o Grants o In-­‐Kind one) Payment Account Name: Acct. No. (if known): ‘Campaign’ to be used: ‘Solicitation’ to be used: SUPPORT SECTION The form should be completely filled out in order for the Office of Gift Processing to correctly process the gift. You should also attach a copy of the corresponding gift documentation that accompanied this gift. If none came with the gift, then copies of the correspondence that led up to the gift should be attached. In both cases, the original postmarked outside envelope containing the gift must be attached to the Gift Transmittal Deposit Form. For additional information, call campus extension 7291 G6
GRADUATE CREDIT HOUR OPTIONS FOR UNDERGRADUATES Policy Approved by Faculty Senate: • #1 below can be combined with #2 below, to a limit of 12 hours of double-­‐counted graduate credits. • #1 and/or #2 cannot be combined with #3. Here is the exact language from the Faculty Senate minutes (May 2, 2007 meeting): Prof. Meiksins: The UCC also set limits on how many courses the discount can amount to. UCC settled on 12 hours which is actually even more than currently is allowed under the university regulations but all of these programs asked for more than that and UCC thought that was reasonable. The UCC actually codified these guidelines and the UCC approved them yesterday (May 1, 2007). 1. 4+1 Students • May take up to 12 semester hours of 500-­‐level graduate courses and double-­‐
count these courses toward both the bachelor’s and master’s degrees. • 4+1 students pay undergraduate tuition for graduate courses. • 4+1 students must apply and be accepted into a graduate program as juniors. • They are designated by a unique program and plan code in PeopleSoft. • They do not need to use a permission form to enroll in graduate classes which are part of the 4+1 curriculum. • Upon completion of their bachelor’s degrees, they are admitted to full graduate standing and must enroll as graduate students in the next regular term. (Spring graduates must enroll no later than Fall.) 2. Honors Students • Graduate courses (up to nine hours) may be taken to fulfill upper-­‐division Honors requirements toward the bachelor’s degree only. • Honors students may also enroll in 4+1 programs and may then count up to 12 credits of graduate courses toward the Honors requirements and the master’s degree. 3. “Banking” (Graduate Courses Applied to a Subsequent CSU Master’s Program) G7
•
Undergraduate students who meet the hours earned and grade point average requirements of the College of Graduate Studies can “bank” up to 9 hours of 500-­‐level graduate courses. •
They must obtain permission of their advisor, the course instructor, and chair of the department in which the courses are taught before registering in 500-­‐level classes. •
Regular Graduate College transfer rules apply: the course(s) banked MUST be in excess of the requirements and the total hours for the bachelor’s degree. •
Nine is the maximum number of graduate credits that can be taken as an undergraduate and applied to a future CSU graduate degree. •
Students not enrolled in a 4+1 program cannot double-­‐count graduate courses toward both an undergraduate and graduate degree at CSU. 4. Undergraduates Applying Graduate Credit Towards an Undergraduate Degree •
Undergraduates may take a maximum of 9 credits, which can be applied to the bachelor’s degree only. •
Undergraduates must have an overall grade point average of 2.75 or better and be within 30 hours of completion of the bachelor’s degree to qualify for graduate courses. •
They must obtain permission of their advisor, the course instructor, and chair of the department in which the courses are taught before registering in 500-­‐level classes. G8
HAZARDOUS MATERIALS PROCEDURES Hazardous materials are only used in research activities. When the proposals are being processed, the Associate Dean and Dean make sure that if there are any hazardous materials to be used during the project that the appropriate places are identified on the Proposal Transmittal Form. Before the proposal is signed by the Dean, when hazardous materials are involved, the Associate Dean contacts the Director, Environmental Health & Safety. If the proposal/grant is funded, it is the primary responsibility of the grant Principal Investigator to contact the Director, Environmental Health & Safety to let the Director know of the purchase and the delivery status of the hazardous material. The Department of Environmental Health & Safety has a Hazardous Waste Contingency Plan. The link to the document is: www.csuohio.edu/offices/ehs/pp/pp06.pdf Another link important to chemical safety is to ChemWatch. This is a database for the campus to use as a laboratory/chemical safety tool in providing access to information for thousands of Material Safety Data Sheets (MSDS) for chemicals. The link is: www.csuohio.edu/offices/ehs/chemwatch/ When disposing of Hazardous Waste, please use the “Hazardous Waste Inventory” form found at: www.csuohio.edu/offices/ehs/fpp/hazardous_waste_inventory.pdf The Chemical Hygiene Plan can be found at: www.csuohio.edu/offices/ehs/pp/pp08.pdf Practices for Proper Chemical Storage: www.csuohio.edu/offices/ehs/pp/pp08a.pdf and Chemical Fume Hoods: www.csuohio.edu/offices/ehs/pp/pp08b.pdf OSHA’s definition of Hazardous Materials can be found at: http://www.osha.gov/SLTC/hazardoustoxicsubstances/index.html These and more links regarding Environmental Health & Safety can be found at: www.csuohio.edu/offices/ehs/ H1
HEALTH AND SAFETY POLICY Policy Statement: Cleveland State University is committed to the health and safety of its employees and students. The University will promote the development and maintenance of programs to prevent safety hazards and promotes health on our campus. The programs developed shall be compliant with, but not limited to, all federal, state and local regulations applicable to safety, health and the environment. All University-­‐related facilities, activities, and programs shall be designed, conducted, and operated in a manner which reasonably protects human health and safety. Responsibilities • The Department of Environmental Health and Safety (DEHS) has the responsibility of developing and implementing appropriate environmental, health and safety programs, and activities associated with those programs. • The Department of Environmental Health and Safety (DEHS), in conjunction and consultation with the Office of University's Legal Counsel, is also responsible for ensuring the University maintains compliance with federal, state and local legislation that affects the campus environment, and the safety and health of all students, faculty, staff and visitors. • Employees and students are responsible for knowing and adhering to health and safety policies and practices applicable to the instruction, research and work environment in which they participate. Procedures 1. In cooperation with other campus departments, the Department of Environmental Health and Safety will dispense information on all University Safety and Health Programs. 2. The Department of Environmental Health and Safety will periodically conduct training programs, seminars, and or workshops relating to safety, health and environmental concerns. 3. University employees, students and visitors are expected to follow all applicable safety, health, and environmental programs. Authorized by: University Administration The CSU Employee Health and Safety Handbook can be found at: http://www.csuohio.edu/offices/ehs/csu_employeeHSH.pdf H2
HIRING FACULTY/PROFESSIONAL STAFF – OVERVIEW OF STEPS 1. Provide a Job Description to Compensation Analyst in Human Resources. Salary grade, job title, bargaining unit status, and FLSA status is determined and an email will be sent to the Dean’s office. 2. New Positions: Position Number Request form (located on the HR website) must be filled out and submitted to the Budget Officer before the Vacancy Form can be submitted. 3. Create Search Committee. a. Choose minimum of three members – one member must be a union member of current negotiation union. b. Appoint a chair. c. Appoint a contact person, if desired, to handle paperwork and scheduling (usually done in the Dean’s office). d. If a member of the Search Committee has not received Affirmative Action Search Committee Training, schedule training with Associate Director of Affirmative Action. 4. Complete Faculty or Professional Staff Vacancy Form. The Vacancy form should indicate that the candidate should submit hard copy application materials. a. Function statement from the Job Description should be used exactly as written in the area marked Duties on the form. b. The minimum and preferred qualifications as listed on the description should be listed exactly as written on the vacancy form. c. For "Salary Range", please indicate the minimum and maximum salary range amounts along with the term: "commensurate with experience”. However, if there is a specific budgetary constraint, then list the minimum of the salary range along with the maximum amount budgeted for the position. 5. During a Hiring Freeze: positions must be approved by the President before Human Resources can approve the vacancy form (100% grant funded positions are excluded from this process). a. Complete a Position Search Approval Form (PSAF) b. Attach the Position Search Approval Form to the Vacancy Form. 6. Fill out the Request for Advertising form and attach ad copy to it. The ad copy must match exactly to the Vacancy form. 7. Submit the PSAF, Vacancy Form (prepared from approved salary grade, etc.) and Request for Advertising (prepared by Department) will be submitted to the Provost’s Office. 8. Once the position is approved, the position will be posted and the Search Committee will begin receiving materials from candidates. a. Document name, address, phone, email, and date received. If candidate mails in resume, attach envelope to candidate materials as a record of the postmark date. b. The policy over the last 2-­‐3 years in Engineering has been that no emailed application materials are acceptable. Applicant must be advised to resubmit hard copy if email application materials were received. H3
c. Create a binder to hold everything received from all candidates and a copy of everything that you send out. Send a copy of all application materials to each search committee member. d. Send acknowledgement letters with the chair’s signature and the AAO voluntary identification form. Make a copy of signed acknowledgement letter and put with candidate’s paperwork. e. Check to make sure applications are complete. If they are not, it is up to the committee to determine whether or not to seek out missing pieces. f. If resumes are submitted after the submittal deadline, you do not need to process the resume. However, keep the submitted information unopened with the materials for the search. (If the search is reopened or deadline extended, the late resumes would then be able to be considered.) Send a letter to the candidate indicating that the material was received after the deadline. 9. Provide a copy of the job description to the candidates and to the union, if they request it. 10. Committee creates rating instrument based on the minimum and preferred requirements listed in the ad; this must be submitted to the Affirmative Action Office for approval. 11. Chair or contact person makes copies of the approved rating instrument and resumes and distributes a set to each committee member. 12. Verify with the Affirmative Action Office that the candidate pool meets the Affirmative Action Diversity Criteria. If it does not, the Affirmative Action Office will advise as to the specific steps. 13. Committee individually reviews the applications to see if they meet the qualifications; rating instruments are filled out by each member and returned to the chair or the contact person to record on the AAO Screening Report (available electronically from the Affirmative Action Office). 14. Chair or contact person of Search Committee submits the AAO Screening Report to the Affirmative Action Office for approval. 15. When approved, committee individually reviews the applications that have met the minimum against the preferred qualifications. They score each applicant. 16. Chair or contact person collects the review forms, records the rankings on the AAO Screening Report and submits it to the Affirmative Action Office for approval. 17. Complete Part A of AAO Form (from the Affirmative Action Office) by listing finalists (i.e. top scorers). 18. Submit AAO Form and Screening Report to the Affirmative Action Office. 19. Create a list of interview questions based on job description. a. Submit for approval to the Affirmative Action Office. 20. If all approved, schedule interviews a. Check for availability for committee b. Schedule a room c. Invite each candidates individually 21. Interview candidates. 22. Committee chooses candidates 23. Complete Part B Final Review of AAO Form. 24. Submit AAO Form to the Affirmative Action Office for approval. H4
25. When approved, send the candidate the Homeland Security Form prior to making an offer. Once the Homeland Security Form has been returned, make offer to selected candidate. 26. Send rejection letters to finalists. 27. Archive all files and documents. Keep for 6 years. 28. If a suitable candidate was found, the search is complete. If not, you can reopen the search or close it. 29. When a candidate has selected a position, notify the Dean’s Office; the Dean’s Office will initiate the employment contract. H5
IN-­‐KIND GIFTS TRACKING PROCEDURE The Dean’s office does not receive any report on in-­‐kind gifts. The only source is from the faculty. Therefore, we need the faculty who expects to receive in-­‐kind gifts to submit a form to the Dean’s office. The In-­‐Kind Gift Acceptance Form can be found on the College of Engineering’s website. It is also shown on page I5. The form needs to be filled out in its entirety. The faculty member will get the Department Chair to review and approve the form. After the Department Chair approves the form, it is then taken to the Engineering Dean’s office for the Dean’s approval. After the Dean approves the form, the form will be forwarded to the Vice President, University Relations and Development & Foundation Executive Director with all the supporting documentation. The Engineering Dean’s office will also keep copies of all the necessary materials. On the University’s In-­‐kind Gift Acceptance Form, it asks for the estimated value and the source of estimate, but it does not touch the issue of how the value is estimated. The in-­‐kind gifts that we will likely receive are depreciable assets such as equipments, products or systems. If the asset is brand new, then the value is the same as the purchase price. If the asset has been used, we will estimate its depreciation. In general, there are two depreciation reduction methods: General Depreciation System (GDS) and Alternative Depreciation System (ADS) [1]. The GDS is commonly used in industries from the tax exempt purpose. Its depreciation mimics an exponentially decaying function. The ADS, on the other hand, provides a longer recovery period and uses only a simple linear depreciation scale. Property that is placed in any tax-­‐exempt use and property used predominantly outside the United States are examples of assets that must be depreciated under ADS. I1
Table I shows a list of class life (expected life span) and the recovery period using the two methods. TABLE I I2
To calculate the depreciation year after year using the GDS, we can use Table II which shows the GDS recovery rates for six classes (i.e. 3, 5, 7, 10, 15 and 20 years). TABLE II I3
Example of Value Estimation A typical computer has class life of six years as indicated in Table I, but, the recovery period of the GDS is only five years. This does create a problem in calculating the depreciation. As we take a close look at Table II, we will find that the number of recovery period is actually listed as six years because we count ½ year in the first year, and another ½ year in the last year. This is known as half-­‐year convention. If an asset was placed in service during the year, ½ year of depreciation is allowed. Likewise, if the asset is disposed before the full recovery period, only half the normal depreciation can be taken for that year. The remaining value of an asset is the deprecation deducted from its purchasing price. For instance, a PC was purchased in August 2005 for $2000, and it is donated to our college in May 2007. Using Table I (Asset Class 00.12) and Table II (5-­‐year recovery period), the depreciation is calculated and listed as follows: Calendar Year Depreciation Note 2005 0.1000 = 0.2000/2 2006 0.3200 2007 0.0960 = 0.1920/2 TOTAL 0.516 As a result, the remaining value of the PC is estimated as $2000 x (1-­‐0.516) = $968. Recommendation It is recommended that we use the aforementioned procedure based on the GDS system to estimate the depreciation which leads to the remaining value. Reference 1. W. G. Sullivan, E. M. Wicks and J. T. Luxjoj, Engineering Economy, 13th Edition, Prentice-­‐Hall, 2006. pp. 310-­‐313. I4
Fenn College of Engineering IN-­‐KIND GIFT ACCEPTANCE FORM The purpose of this form is to request university acceptance of an in-­‐kind gift. This form should be completed and returned to the Office of University Advancement along with any additional documentation regarding the gift. DONOR NAME: ______________________________________________________________________ COMPANY: _________________________________________________________________________ ADDRESS: _________________________________________________________________________ PHONE: __________________________________________________ DESCRIPTION OF GIFT: ______________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ORIGINAL PURCHASE PRICE: _____________________ YEAR OF PURCHASE: _______________ ESTIMATED VALUE: __________________________________________________ SOURCE OF ESTIMATE: _____Donor _____Independent Appraiser (attached) ____College appraisal method (http://www.csuohio.edu/engineering/academics/college_forms.html) ANTICIPATED CAMPUS LOCATION: BUILDING _______________ ROOM: ___________________ Property control number: __________________________________ Center, department, or unit requesting acceptance: __________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ Faculty/staff Contact: __________________________________________________________________ Extension REQUIRED APPROVAL: DEPARTMENT/COLLEGE (Dean & Dept. Head): ___________________________________________ Dept. Chair Date ___________________________________________ Dean Date VICE PRESIDENT, UNIVERSITY RELATIONS AND DEVELOPMENT & FOUNDATION EXECUTIVE DIRECTOR: __________________________________ Signature Date Please send completed form to the Office of University Advancement, MM 105. If you have any questions, please call Gift Processing at ext. 7291. I5
INVENTORY The following is from the CSU Property Control webpage: “Cleveland State University depends on a wide variety of equipment to support its mission of providing a quality education for students. As of June 30, 1992, the movable equipment (i.e. non-­‐fixed items valued at $500.00 or greater) totaled 14,500 items with a value in excess of 37 million dollars. The task of recording and accounting for this property is the responsibility of the Property Control Department. This task, however, requires the on-­‐going cooperation of all University departments to ensure accuracy. Inventory sheets should include all In-­‐Kind Gift forms. Property Control's primary mission is to provide a systematic accounting of all movable equipment at the University. This is necessary to: • Ensure compliance with University policies and federal and state regulations. • Identify and monitor all major acquisition and provide a property database for management purposes. • Provide a control while safeguarding the assets of the University. Disposal of Obsolete Property: The University encourages the disposal of worn-­‐out or obsolete equipment. Whenever possible, Property Control tries to sell by competitive bid, any items of value. Receipts of these sales are deposited in the University's general fund account. The Engineering College will request, on an annual basis, the College’s inventory list sorted by Department. It will be the responsibility of each Chairman to make sure the inventory lists are up-­‐to-­‐date. If there are items missing, it must be noted and Property Control must be notified. If the items need to be disposed, please follow the procedures on the Disposal of Obsolete Property form. The Disposal of Obsolete Property form can be found at: http://www.csuohio.edu/controllers/disposal_form.pdf Gifts In-­‐Kind submitted to the Office of University Advancement and Property Control by the Dean’s Office will be reconciled annually by the Department Chairs using the Inventory Listing provided by Property Control. I6
JOB DESCRIPTION REVIEW Job descriptions will be reviewed at the time of the annual performance reviews. Any job description changes will be coordinated with the University’s Human Resources department (http://www.csuohio.edu/offices/hrd/). Computer access will also be reviewed at this time. J1
KEEPING STAFF INFORMED Support personnel are a highly valued resource. In order to efficiently use this resource, Chairpersons are encouraged to meet at least once per month with staff to share ideas and gain insight. Another way the Engineering Dean’s office keeps faculty and staff informed is by sending out emails as “Message from the Dean’s Office -­‐ XXXX” (including the topic in the subject line). K1
LAB POLICIES Research Laboratory Policy Poster This research laboratory (lab) of the College of Engineering at Cleveland State University (CSU) exists to provide facilities for the performance of research approved by the lab supervisor. All research activities must comply with federal and state of ohio policies and regulations. All necessary actions must be taken to protect human life. • The supervisor of this lab is _______________________________ (phone: _________________ ). • Handle all lab computers, equipment and supplies with extreme caution and care to protect human life. • Be extremely careful when using any electrical device to avoid electric shock or electrocution. • Be extremely careful when storing or using chemicals and biohazard materials. • No food or drinks are allowed in this lab. No ovens or refrigerators are allowed (unless approved by the Dept. of Environmental Health and Safety) in this lab. • During experiments, place warning signs on the lab doors. If biohazard work is being performed, biohazard signs must be posted on the lab doors. • All chemical containers must be labeled with identity and hazard information. • Water and other liquids cannot be used within 6 feet of an electrical receptacle/outlet, unless it is a ground fault circuit interrupter (GFCI) receptacle/outlet. • Never use extension cords as a substitute for permanent wiring needs (greater than 90 days) and never run extension cords above ceilings or through walls. • Electrical wall outlets and panels must be accessible. The area around must be clear of obstructions at least 3 feet from the outlet/panel. • Provide clear access paths to fire extinguishers and fire alarm pull stations. • Remove all waste materials from the lab each evening. • Computers, equipment and supplies are for research only, not for personal use. • Students may not install software or change hardware/software in lab computers. No illegal internet downloads are allowed. • Always backup your computer files in your own media. • Do not leave your belongings unattended. CSU and the College of Engineering are not responsible for lost or stolen items. • Disruptive behaviors (loitering, blocking access, making disruptive noises, using abusive language, threatening or harassing others, etc.) are prohibited. For more information, visit CSU’s Department of Environmental Health and Safety website at http://www.csuohio.edu/offices/ehs In case of an emergency, call 911 L1
Instructional Laboratory Policy Poster This instructional laboratory (lab) of the College of Engineering at Cleveland State University (CSU) exists to provide facilities to engineering CSU students for their education/training. All activities must comply with federal and State of Ohio policies and regulations. All necessary actions must be taken to protect human life. CSU reserves the right to ask laboratory users to provide a student I.D. or other identification. Refusal to provide this identification may result in a referral to the campus police. • No food or drinks are allowed in this lab. • Handle all lab computers, equipment and supplies with extreme caution and care to protect human life. • Be extremely careful when using any electrical device to avoid electric shock or electrocution. • Be extremely careful when storing or using chemicals and biohazard materials. • All chemical containers must be labeled with identity and hazard information. • Water and other liquids cannot be used within 6 feet of an electrical receptacle/outlet, unless it is a ground fault circuit interrupter (GFCI) receptacle/outlet. • Never use extension cords as a substitute for permanent wiring needs (greater than 90 days) and never run extension cords above ceilings or through walls. • Electrical wall outlets and panels must be accessible. The area around must be clear of obstructions at least 3 feet from the outlet/panel. • Provide clear access paths to fire extinguishers and fire alarm pull stations. • Remove all waste materials from the lab each evening. • Computers, equipment and supplies are for education only, not for personal use. • Students may not install software or change hardware/software in lab computers. No illegal internet downloads are allowed. • Save files in your own media rather than the lab computer hard disks. • Do not leave your belongings unattended. CSU and the College of Engineering are not responsible for lost or stolen items. • Disruptive behaviors (loitering, blocking access, making disruptive noises, using abusive language, threatening or harassing others, etc.) are prohibited. For more information, visit CSU’s Department of Environmental Health and Safety website at http://www.csuohio.edu/offices/ehs In case of an emergency, call 911 L2
MARKETING POLICY If and when the Engineering Dean’s office needs to develop new brochures or flyers, we contact the Marketing and Public Affairs office. All internal marketing efforts (e.g., flyers distributed to students and/or posted on bulletin boards, etc.) will be reviewed by the Chair. The Chair will maintain a folder of all internal marketing efforts. At the end of each academic year, the Chair will review all internal marketing efforts and purge those that are dated or otherwise no longer accurate. All external marketing efforts (e.g., flyers, brochures, billboards, television ads, etc.) will be reviewed by the Associate Dean for Academic Programs and/or his/her designee. All external marketing will be forwarded to the department of Marketing and Public Affairs for their review prior to publication. Please see the following Marketing and Public Affairs link for additional information: http://www.csuohio.edu/advancement/marketing-­‐pr/ M1
NEW EMPLOYEE ORIENTATION PROGRAM & PAPERWORK PROCESSING Below please find details regarding the New Employee Orientation Program as well as the procedures for new employee paperwork completion. Please share this information with your HR liaison or department personnel as appropriate. New Employee Orientation: Registration and Notification Process Registration – Human Resources will automatically register new staff into orientation as notification is received regarding their start date. New employee start dates should coincide with the scheduled orientation dates. A full schedule of orientation dates is located on the HRD website. Notification – Human Resources will not be sending any communication directly to new staff. It is important for the hiring department to communicate with their new staff to inform them of their start date. Hiring departments should coordinate new staff start dates with New Employee Orientation sessions. The department is to inform new employees of the following: 1. They that they are to arrive at 8:30 a.m. in Human Resources in the Administration Center, AC 113, on their first day. 2. The Orientation Program begins promptly at 8:30 a.m. and will last until 4:30 p.m. 3. The new employee is to park in the CSU lot directly behind the administration building, off of Prospect, and, upon entering, indicate to the parking attendant that they are here for orientation. A one day parking tag will be provided to the new employee in the HR department. 4. The new employee will be asked to provide original documents verifying identity and work eligibility as required by the US Department of Homeland Security via the completion of an I-­‐9 form. If a department representative, such as the new supervisor, chooses to escort the new employee to the orientation or greet them in the Administration Center as they arrive for the 8:30 program that would be acceptable as well. If the new employee's first day of employment is a non-­‐orientation date, the employee must still come into HR for paperwork completion. Please note that, in this case, the department must comply with federal requirements for the proper and timely completion of the I-­‐9 form. The employee will also be automatically registered to attend the next available orientation date. Supervisor Resources-­‐ Once a new employee is hired their assigned supervisor will receive an email containing links to a supervisor video and checklists to assist in effectively orienting new N1
employees to the University and their specific department. All of the resources are located on the Human Resources (HRD) website. New Hire Paperwork Human Resources will now handle all first-­‐day new employee related paperwork for Professional and Classified employees (paperwork for full-­‐time Faculty and part-­‐time lecturers should still be handled within the department or college). This includes the I-­‐9 form, payroll and tax forms (such as the W-­‐2, W-­‐4) as well as the social security forms. The Ohio Ethics policy will be reviewed during the orientation program, but the new employee will submit the acknowledgement form back to their department (as is currently done). Identity and employment eligibility (I-­‐9) -­‐ Please be advised that, on their first day, if the new employee does not bring the needed documents for completion of the I-­‐9 form for identity and work eligibility, they must return to Human Resources within three days to complete that paperwork. Since Human Resources will be handling this paperwork, all new Classified and Professional employees must report to Human Resources on their first day of employment. Standard Procedures Classified staff -­‐ There is no change in procedures for Classified Staff new hires. All processing will continue to be handled within Human Resources. New Classified employees will be scheduled for the all-­‐day orientation session on their hire date. Start dates for Classified employees will coincide with scheduled orientation dates. Professional staff -­‐ For Professional Staff new hires, please continue to work closely with your area’s HR Liaison. A list of current HR Liaisons appointments is attached. It is important to submit authorized new hire documents to your assigned HR Liaison as early as possible so that she/he may begin the processing and submit required documents to Human Resources. When the Department of Human Resources receives and processes the required documents, the new staff member will be recognized electronically in the administrative system and HR staff will register the new staff member for orientation. The minimal required documents for a new Professional Staff hire are: 1. Authorized contract or Letter of Appointment (processed through all standard authorization processes) 2. Affirmative Action authorization for selection or waiver 3. Compensation authorization for salary (subsequent to receipt of DMA form) 4. PAW -­‐ Personnel Action Worksheet (green form) 5. PDW -­‐ Personal Data Worksheet (yellow form) • PDW completed in its entirety by the new employee OR N2
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Preliminary PDW completed by departmental staff or HR Liaison with minimal identifying information: proper name, SSN, birthdate, signed by person completing form. (Signed by: so-­‐and-­‐so for xxxx,xxxx ‘name of new hire’) Personal Data -­‐ The name, birthdate and social security number of the new hire is especially important in order for Human Resources to generate an ID number and as a first step in processing the hiring paperwork. Contract delay? If, for some reason, there will be a delay in contact preparation, please provide your HR Liaison with minimal identifying information needed (preliminary PDW and preliminary PAW with name, hiring department, and start date) so that she/he may submit preliminary documents to HR per standard procedures so that an ID# may be assigned. Upon receipt of the authorized contract, the staff member can be processed as a hire and registered for orientation. N3
OFF-­‐CAMPUS EQUIPMENT The College recognizes that it is necessary for faculty and staff to take University owned resources off-­‐campus. To be eligible, faculty and staff must be currently employed by the College. In addition to being familiar with the Interim Statement on Responsible Use of University Resources, faculty/staff must also complete the appropriate Equipment Loan Form and return it to the faculty member’s Department Chair for approval. The Department will send a copy of the approved form to the Engineering Dean’s office. The Administrative Coordinator will enter the information onto the “Long and Short Term Equipment Loan Spreadsheet” located on the Engineering “F” drive. The “Equipment Loan Form” will document the name of the faculty/staff as well as the serial number of the equipment being loaned. This form is intended for loans made for a period of one semester (renewable as needed). The “Short Term Equipment Loan Form” is similar but is intended for loans made for a period of one week or less. The Departments will keep the original forms in the Department with a copy of the form sent to the Dean’s office. At the end of each Academic Year, this list will be reviewed by the Department and faculty/staff are contacted regarding their intent with off-­‐campus equipment. Long Term Equipment Loan Form Link: http://www.csuohio.edu/engineering/2005Downloads/academic_information/FORM%20108%
20_BG_Long_Term_Equipment_Loan_Form.doc Short Term Equipment Loan Form Link: http://www.csuohio.edu/engineering/2005Downloads/academic_information/FORM%20109_
BG_Short_Term_Equipment_Loan_Form.xls O1
OUTSIDE CONSULTING All faculty and administrators will be required to have prior approval before engaging in any form of outside employment. They are required to submit a memo for approval to the Department Chair and Dean. Once approved by the Dean, copies will be distributed accordingly: -­‐ a copy will be placed in the faculty personnel file, -­‐ the original will be filed in the “Outside Consulting” file -­‐ a copy will be sent to the Chair, -­‐ a copy will be sent to the faculty member. All faculty and administrators are required to complete this process each year. According to the new CSU-­‐AAUP agreement, the prior written approval of the Chair and Dean will be required for all outside employment activities other than those “having a minimal impact on the faculty member’s university or professional obligations, e.g. keynote speeches, paid reviews of research articles, books or creative works, and tenure reviews for other universities. The Administrative Coordinator will record all approved Outside Consulting Memos on a spreadsheet entitled: “Outside Consulting Memo Spreadsheet”. This document can be found on the Engineering’s “F” drive. O2
PETTY CASH FORM A Petty Cash Form is intended for reimbursement for small purchases and local travel on behalf of the University up to a limit of $150.00. Reimbursement is made only to CSU faculty, staff or students. Specific instructions for completing the Petty Cash Form can be found on the back of the form. Individuals requesting reimbursement must bring a completed Petty Cash Request Form and their valid CSU ID to the Cashier’s counter in the Office of Treasury Services, University Center 460. Purchases and expenses must be in accordance with University policy. All reimbursements are subject to University audit. There is a limit of $150.00 per person per day allowable for reimbursement. Information regarding reimbursement for expenditures over $150.00 can be obtained through the Controller’s Office. Failure to follow University petty cash policies and procedures may result in revocation of authority to obtain reimbursements via petty cash. P1
PEOPLESOFT TRAINING Procedures for training on PeopleSoft can be found at: http://www.csuohio.edu/ist/peoplesoft.shtml 1. The requestor fills out the request form (http://www.csuohio.edu/ist/upload/PSrequest.pdf), obtains the Supervisor and the Department Vice-­‐President/Provost signatures. 2. The Supervisor sends the completed request form to the Data Custodian (See website for breakdown). 3. The Data Custodian will review the request to determine if it should be approved. If no, the Data Custodian contacts the supervisor and they discuss the reason(s) for rejection If yes, the Data Custodian identifies exercises/training needed and approves request. 4. If the request if for Query Access, the Data Custodian forward the request to the IS&T Director for approval. Once it is approved by the IS&T Director, the request is forwarded to the Security area. If the request is NOT for Query Access, then the form gets forwarded to the Security area. 5. Security will advise Training Contact regarding the exercises required. 6. Training Contact will contact the client to discuss training the exercise options. 7. The client can either take training with the Training Contact or the client can do a “self study” course. 8. Once the client fulfills the training requirement, the client will be contacted by Security with a password for access. P2
PHONE VERIFICATION The Engineering Dean’s office receives a monthly report from Telecommunications identifying all the phones being charged to the College of Engineering. On a monthly basis, this report will be reviewed and any unused or unnecessary phones will be removed by contacting Telecommunications. P3
POLICE The following is from the University Police’s webpages. Please visit http://www.csuohio.edu/offices/police/ for more details including information about Safety Programs & Services. Emergencies To report any campus emergency (police, fire, medical, hazardous materials) dial 9-­‐1-­‐1 or 8-­‐9-­‐1-­‐
1 from any campus telephone. Most CSU phones have been upgraded with a dedicated "911" button near the upper right corner of the phone. This button provides direct contact with a CSU Police Dispatcher. Cell phone users should dial 9-­‐1-­‐1 and tell the operator to connect them with CSU Police. Weather related closings and other emergency alerts are announced across the top of all CSU web pages. Emergency announcements are also available by calling 687-­‐2000. To report threatening or potentially violent activity, (216) 5BE-­‐SAFE (523-­‐7233). Safety Escorts The CSU Police Department provides safety escorts to or from any location on or near campus 24 hours a day, 7 days a week, 365 days a year. Safety Escorts are provided by Police Officers, Security Officers, and Student Campus Safety Officers (CSO's). Don't walk alone -­‐ use the Safety Escorts! Call (216) 687-­‐2020 to request an escort. Police Reports To file a police report for an incident occurring on the CSU campus or to request a copy of a CSU Police Report, contact the CSU Police Department at (216) 687-­‐2020. P4
PRINCIPLE INVESTIGATOR (PI) TRAINING The mission of the Office of Sponsored Programs and Research is to promote and advance research, scholarship and creative activity of faculty, staff, students and the community and assist in securing necessary resources through institutes, facilities and partnership programs. The Grants Policy and Procedures Manual can be found at: http://www.csuohio.edu/uored/FUNDING/grants_policy_manual.pdf Other important information on the Office of Sponsored Programs and Research website can be found at the following link: http://www.csuohio.edu/uored/PolProc.html Items include: • Affirmative Action Policy • Ohio Code of Ethics Law • CSU Conflict of Interest Policy • Institutional Description • Invention Disclosure Form • IRB Human Subjects Policy • CSU Purchasing Policy • Release Time Form • Scientific Misconduct Policy • Start-­‐up & Recruitment Program • Travel Policy • IACUC Laboratory Animals Policy • Contact the Director of OSPR The Office of Sponsored Programs and Research (OSPR) offers to new and returning faculty and staff a new training workshop. In an effort to help the community identify grant resources, and to work easily and efficiently with the staff, OSPR will offer a workshop overview of the office, its functions and services. This is a one-­‐hour program. It will discuss: • pre-­‐award services that they offer, • assistance with budget and grant narrative development, • completing internal forms such as the Proposal Transmittal Form (PTF), • post award services such as helping researchers deal with compliance issues, • contract and subcontract issues, • an initial introduction to Grants.gov. More detailed workshops in PTF instruction, budget development, working with Grants.gov, and other grants related issues are planned during the academic year. P5
PURCHASE REQUISITION The Purchasing policy can be found in its entirety here: http://www.csuohio.edu/controllers/purchasing_policy.html Purchase Requisitions are for payments to vendors that exceed $1,000. Purchase orders issued for $50,000 or less require the approval of the Director of Purchasing Services; purchase orders between $50,001 and $100,000 require the approval of the Controller; purchase orders between $100,001 and $349,999 require the approval of the Vice President for Finance and Administration; purchase orders between $350,000 and $499,999 require the approval of the President; and purchase orders issued for $500,000 or more require the approval of the Board of Trustees. Purchasing is charged with locating the best vendor at the best price. No individual outside of Purchasing has the authority to enter into purchase contracts, or in any way to obligate CSU. You may indicate a preferred vendor on the Purchase Requisition; however, Purchasing will confirm or uncover alternate solutions. In the event that an item or service is considered a sole source by the requisitioning department, a written explanation must accompany the requisition stating the reasons for considering this a sole source item. Also, to be given consideration, a statement shall be included listing vendors who have been contacted in an effort to find a compatible item or service. All Purchase Requisitions must be submitted to the Dean’s Office for review and signature. The Dean’s Office will forward to Purchasing for processing. In most cases, Purchasing will issue a Purchase Order and order the goods. A Purchase Order encumbers funds on an account. When payment is made to the vendor, the encumbrance is released and the funds expensed. When a Purchase Requisition is submitted with an invoice to pay, Purchasing gets very upset as this does not allow them to do their job and is in direct violation of CSU policy. Every attempt should be made to submit the Purchase Requisition with sufficient lead time to allow Purchasing to identify the best vendor. In the event a department orders goods or services without going through Purchasing, a letter must be submitted explaining the specific reasons why procedures were not followed; this type of negotiation is considered an unauthorized purchase and the individual could be personally liable for the purchase in accordance with Section 3.12 of the Ohio Revised Code. P6
RECONCILING ACCOUNTS Why is reconciling important? Reconciliation is an important part of cash control procedures. It is the only way you can be assured there are no errors or irregularities; it is the only way you can verify what is in your department budget, your fac_devel budget as well as your lab_fees budget. What is reconciliation? Reconciliation is the process by which you take your department balance and match it to the balance on your statement of operations. Reconciliation is a two pronged process: 1.
Reviewing the things you have recorded in your departmental books but that have not cleared the transaction register (such as outstanding Small Order Forms, Purchase Requisitions, Budget Transfer Requests, etc.), and 2.
Reviewing the things that have cleared the transaction register but that have not been recorded in your departmental books (Plant Service Requests, Long-­‐Distance charges, etc.) Department books will likely never agree with the balance shown on the statement of operations because of the delay in checks and deposits clearing PeopleSoft, automatic charges and credits you haven’t recorded, and errors that may have been made. Goals to accomplish when you reconcile: • Verify that all transactions belong to your department • Verify what is available in your department budget Preparing reconciliation: 1.
The Department Secretaries will be responsible for reconciling the Department Operational Budget. The Budget Manager will provide any necessary training. The PIs are responsible for any Grants in their name. The Budget Manager will provide any necessary training. The Budget Manager reconciles the Tech Fee Budget, as well as, the Faculty Development Budget. 2.
When the month closes, run a transaction register and a statement of operations. 3.
Using the transaction register, compare the current month’s activity to your outstanding Small Order Forms, Purchase Requisitions, Journal Entries, Budget R1
4.
Transfer Requests, etc. Note all differences in the dollar amounts. Items that have not cleared remain outstanding for the following month. Items that are outstanding for two consecutive months are issues that require additional follow-­‐up for resolution. Review items on the transaction register that you were not previously aware of. Confirm with Accounts Payable and/or Purchasing if necessary that these charges belong to your department. 5.
File all backup documentation for items that have hit the statement of activity. Keep outstanding items in a separate file. 6.
Using the statement of operations, review budgets to ensure that are sufficient. If necessary, forward a Budget Transfer Request to the Dean’s Office for processing. This should be done monthly for all accounts between 0300 and 0999. R2
REFRESHMENTS The Refreshment Policy can be found here: http://www.csuohio.edu/controllers/policy_refreshments.html It applies to only when University funds will be used to purchase food and/or non alcoholic beverages and does not replace the Meals and Incidentals expenses that travelers may be reimbursed when traveling on University related business. With appropriate approvals, refreshments may be paid for by University funds for: • Meetings between University employees and outside parties where the primary purpose of the meeting is to conduct University business. • Occasional gatherings of employees if there is a valid public purpose, such as a seminar, retreat, workshop, orientation or other University function. • Events intended to recognize the employee contributions (e.g., holiday or retirement celebrations). Refreshments may NOT be paid for by University funds for: • Events which are of a personal nature (e.g., birthdays, weddings, baby showers, etc.). • Alcoholic beverages. Before ordering or purchasing refreshments for a meeting, the following must be submitted to the Dean via the Dean’s Office Administrative Coordinator (email is preferred since it can quickly be reviewed and forwarded/returned as necessary): Date of event Name of event Purpose of event Approximate number of employees in attendance Approximate number of outside parties in attendance Cost estimate Source of funds The Dean/Administrative Coordinator will review the request, obtain additional approvals and notify the Chairperson or requestor once the approvals have been obtained. Approvals are not automatic or guaranteed and approvals sought after the fact may be denied and the employee may forfeit potential reimbursement. Blanket approvals may be granted for specified periods in the case of standing meetings (e.g., faculty meetings, lecture series, etc.). R3
Payments to vendors and reimbursement requests should be submitted on a Small Order Form or Purchase Requisition and must include a copy of the approvals AND the original, itemized, paid receipt (a credit card receipt is not sufficient). R4
RESEARCH POLICIES For a detailed view of the policies and regulations of the University related to the conduct of research, please visit the website of the University’s Office of Research at http://www.csuohio.edu/research/ College of Engineering Proposal Submission Policy Faculty must discuss their research proposal with both the University’s Office of Sponsored Programs & Research (OSPR) and with the Dean of the College of Engineering as early as possible in the proposal preparation process. If the proposal includes cost-­‐sharing from the Office of the Dean of the College of Engineering, the principal investigator (PI) must discuss this with the Dean as early as possible, but definitely no later than three (3) weeks before the submission deadline. An electronic draft of the proposal transmittal form (PTF) must be emailed both to the Associate Dean of Operations and to OSPR as early as possible, but definitely no later than one week before the proposal submission deadline. After this initial review, comments will be provided to the PI, if necessary, to update the PTF. The final signed hard copy of the PTF, including the budget justification and a draft of the proposal, should arrive at the Dean’s Office at least three (3) business days before the proposal submission deadline. R5
RESPONSIBLE USE OF UNIVERSITY RESOURCES AND DOWNLOADING INFORMATION FROM THE INTERNET The CSU Interim Statement on Responsible Use of University Resources states: The use of university computing resources, like the use of any other university-­‐provided resource and like any other university-­‐related activity, is subject to the normal requirements of legal and ethical behavior within the university community. Thus, legitimate use of a computer, computer system, or network does not extend to whatever is technically possible. In addition, all users of University computing resources must comply with all Federal, Ohio, and other applicable laws; all generally applicable university rules and policies; and all applicable contracts and licenses. Occasionally, it may be necessary to use a program, file, music or movie that exists on the internet. However, these may prove harmful to University computer equipment or be copyrighted. In an effort to limit the University’s exposure, all College faculty, staff and students will adhere to the following regarding the use of University computing resources and copyright information: Interim Policy on Responsible Use of University Computing Resources http://www.csuohio.edu/ist/computingpolicy.htm Article 28.31 of the Faculty Senate Policies and Procedures http://www.csuohio.edu/faculty_senate/patcop.html Copyright Law of the United States and Related Laws Contained in Title 17 of the United States Code http://www.copyright.gov/title17/ Users who violate this policy may be denied access to university computing resources and may be subject to other penalties and disciplinary action, both within and outside of the university. R6
RUNNING REPORTS AND DOWNLOADING TRANSACTION REGISTER TO EXCEL Running Reports CLICK CSU Finance Menu >> Campus Reports >> Select Report ENTER Existing Run Control ID or Add a New Value R7
ENTER Chartfield information CLICK RUN CHECK Server Name=PSUNX, Type=WEB, Format=PDF CLICK OK. PeopleSoft will return to the previous page and will display a “Process Instance” number. CLICK Process Monitor to check the status of your report. When your report is ready to be viewed, Run Status=Success, Distribution Status=Posted. CLICK Details. R8
CLICK View Log/Trace. CLICK the generated PDF file from the File List. Your report will open in a separate window. Sometimes, a PDF file does not exist; this means the report was unsuccessful. R9
All reports are generated from an input screen. If a financial report is unsuccessful, likely, it is due to the way the information was entered. Four typical reasons why a report is unsuccessful: 1.
Account, Fund, Dept, Program, Class or Grant is set to Specific, but Thru value is missing. 2.
“Current Month Only” selected, but there were no transactions that month. 3.
Account is None or is Specific with no values. 4.
Date is missing. Downloading Transaction Register to Excel After you CLICK Run for the Transaction Register, you have the option to change the format to a CSV (Comma Separated) file. When your report is ready to be viewed, Run Status=Success, Distribution Status=Posted. CLICK Details. R10
CLICK View Log/Trace. CLICK the generated CSF file from the File List. You will get a dialog box, asking if you want to open or save the file. CLICKing Open will open the file in a separate window. CLICKing Save will prompt you to identify where you want the file saved. R11
SINGLE-­‐TERM CONTRACT APPROVALS Before you issue a contract and obtain approvals, you must first know if the employee is staff, lecturer or faculty. To do this, look at the “Job Information” panel in Job Data. (Note: Make sure you are looking at the person’s primary job.) If Job Indicator=Primary Job AND Empl Class=Profsnl St, then employee is staff. If Job Indicator=Primary Job AND Empl Class=Classified, then employee is staff. If Job Indicator=Primary Job AND Empl Class=Lecturer, then employee is lecturer. S1
If Job Indicator=Primary Job AND Empl Class=Faculty, then employee is faculty. If Job Indicator does not =Primary Job, you cannot rely on the panel to determine if the employee is staff, lecturer or faculty, regardless of the Empl Class. In these cases, contact Kelly Snow for assistance. Staff Approvals All Part-­‐Time Single Term Instructional and Non-­‐Instructional Contracts issued to Staff must be approved by the Chairperson, the Staff’s Supervisor, Compensation and the Dean. To expedite the process, the approvals should be obtained via email. The email can be printed and attached to the contract. Issuing a Staff Contract 1. Chairperson or his/her designee contacts Staff regarding work assignment including proposed salary. 2. Staff (or Department on behalf of Staff) forwards work assignment and requests permission for his/her supervisor to do the work. 3. Supervisor approves. 4. Staff (or Department on behalf of Staff) forwards the response to Compensation (Maria Krasniansky/Jean McCafferty) along with the following information: a. Normal work schedule without additional work assignment (Ex: M-­‐F, 8-­‐5). b. Explanation as to how any time missed from normal work schedule will be made up (i.e., flex time, vacation, etc.). (Ex: Will take :30 vacation on days scheduled for additional work assignment.) 5. Compensation replies to Staff, Supervisor and Department. 6. Department issues contract. S2
7. Chairperson signs contract. 8. Department submits the contract with approvals to the Dean’s Office for review and signature. 9. Dean reviews contract, signs and returns to Department. 10. Department obtains signature of Staff and returns contract to Dean’s Office. 11. Dean’s Office forwards contract along with all approvals to Human Resources. Lecturer Approvals – All Part-­‐Time Single Term Instructional and Non-­‐Instructional Contracts issued to Lecturers must be approved by the Chairperson and the Dean. Issuing a Lecturer Contract 1.
Department issues contract. 2.
Chairperson signs contract. 3.
Department submits the contract to the Dean’s Office for review and signature. 4.
Dean reviews, signs and returns contract to Department. 5.
Department obtains signature of Lecturer and returns contract to Dean’s Office 6.
Dean’s Office forwards contract to Human Services. Faculty Approvals – ALL Overload Instructional and all fall and spring Part-­‐Time Single Term Non-­‐Instructional Contracts issued to Faculty must be approved by the Dean, Provost and, in some cases, the Office of Sponsored Research. Before issuing a contract, the Chairperson should request approval from the Dean. All other approvals, as necessary, will be obtained by the Dean’s Office. Issuing a Faculty Contract 1.
Chairperson requests Dean’s approval via email with the following information: a. Type of additional assignment (Ex: EDT 301, Facilitator for XYZ, etc.) b. Time period (Ex: Fall semester, April 3-­‐6, etc.) c. Salary d. Source of Funds 2.
Dean’s Office reviews, approves and obtains additional approvals if necessary. 3.
Dean replies to Chairperson. 4.
Department issues contract. 5.
Chairperson signs contract. 6.
Department submits contract to the Dean’s Office for review and signature. 7.
Dean signs and returns to the Department. 8.
Department obtains signature of Faculty and returns contract to Dean’s Office. 9.
Dean’s Office forwards contract along with approvals to the Provost’s Office and/or Human Resources. S3
SMALL ORDER FORM The Purchasing Policy can be found in its entirety here: http://www.csuohio.edu/controllers/purchasing_policy.html Specific instructions for completing the SOFs can be found on the back of the form. The Small Order Form (SOF) is a vehicle for departments to issue payments to vendors. The dollar limit of the SOF is $1,000, regardless of the source of funds. The practice of grouping SOFs to the same vendor for which the total sum exceeds $1,000 in an effort to get around the $1,000 limit is expressly prohibited. Anytime a department uses a SOF to reimburse or pay for refreshments, the necessary approvals must be attached. Departments may submit SOFs directly to Accounts Payable for processing, except when the SOF is to reimburse a Chairperson or Director. In these cases, the SOF should be submitted to the Dean’s Office for a counter signature. S4
SPACE ALLOCATION Space in Stilwell Hall is in high demand and the college must make its best effort to accommodate all needs. With new faculty, along with the upcoming renovation, there is need to: • make sure that faculty can conduct their research and that there is adequate teaching space • be open-­‐minded, collaborate and share facilities • move away from the thinking of “departmental space” towards “college space” The following are guidelines on how the college will distribute office space, listed in priority: 4. Tenure/tenure track faculty and full time lecturer should have individual offices 5. Staff in shared or individual offices depending on duties 6. Full time supported research assistants in shared offices 7. Part time faculty in shared offices 8. Teaching assistants in shared offices 9. Student organizations in shared offices/cubicles 10. Emeritus/retired faculty in shared office space (non-­‐active) Other guiding principles are: • No permanent office space for graduate students will be allocated in the basement • Teaching assistants are under NO circumstances to meet with students in research labs. S5
SPECIAL PAYMENT FORM The Special Payment Form can be found here: http://www.csuohio.edu/HRD/Forms/Internal/Special%20Pmt%20Form.pdf The purpose of the form is: 1. Processing one-­‐time payments when the amount is small and the period of time over which services are performed is short. 2. Payments exceeding $500, and multiple payments made to the same person within one calendar quarter will be reviewed by Human Resources. 3. Completion of the form does not make the individual eligible for electronic services such as email, web access, etc. Departments should carefully review their use of this form; when making multiple payments to the same individual or when the time period is not short, a Single-­‐Term Non-­‐Instructional Contract may be more appropriate. Completed forms should be routed through the Dean’s Office for review and approval. S6
TECHNOLOGY EQUIPMENT PURCHASE AND INVENTORY PROCEDURE Purchase 1. All technology equipment orders/purchases funded by Engineering Fees, University Tech Fees, House Bill Money, or the Fenn College of Engineering Dean’s Operating Funds are to be made in consultation with the Dean of Engineering. 2. All Purchase Orders and Small Order Forms for technology equipment orders/purchases funded by Engineering Fees, University Tech Fees, House Bill Money, or the Fenn College of Engineering Dean’s Office are to be sent to the Engineering Budget Manager, who will maintain a record of all such orders and process them in accordance with University procedures. 3. All technology equipment ordered/purchased in the Fenn College of Engineering is to be delivered to the ordering Departments. Inventory 1. The Budget Manager will maintain an inventory of all technology equipment purchased under Engineering Fees, University Tech Fees, University House Bill or Fenn College of Engineering Dean’s Operating Funds. 2. The college inventory of technology equipment will be maintained on a secure server. Records of all other equipment purchases made by individual departments either grant or operating dollars, are approved by the Dean and copies housed in the individual Departments. T1
TECHNOLOGY FEES (UNIVERSITY) Information Technology Advisory Committee (ITAC) Effective FY 2013 The Technology Fee charged by the University is used for the acquisition, upgrading and maintenance of technology that supports students, to include lab computers, software licensing, printers, network infrastructure, and technology support. The fee is also used to provide or enhance student access to technology. The Technology Fee is assessed per credit hour and applies to undergraduates, graduates and law school students. Each year, the fee is recommended to and approved by the Board of Trustees. Please refer to the current academic year Tuition and Fees Schedule for the current rate per credit hour. These funds are allocated to Information Services and Technology Department for University support, and the Office of the Provost for distribution to academic colleges and support units. POLICY ON USE OF TECHNOLOGY FEE FUNDS Eligible Expenditures Technology Fees are paid by students and are therefore used to directly or indirectly benefit students’ experiences and instruction. Fees can be used to support the acquisition of both goods and services for use by students. In general, eligible goods include computers and associates peripherals, infrastructure, software, supplies and services. Eligible services include costs associated with maintaining the above goods. I. Information Services and Technology The primary use of funds allocated to Information Services & Technology is for computer equipment, software, printer paper, furniture, and staffing for the general computer labs, Mobile Campus and the Campus Connection Lounges. II. Academic Priorities Technology Fees for use by academic colleges and support units will be allocated by the Office of the Provost on an annual basis; proposals are generally solicited each fall. Proposals submitted will be prioritized and recommended for funding based on the following criteria: 1. Alignment with university, college and/or department strategic goals. 2. The priority of the need that will be met by the proposed acquisition or implementation. T2
3. The value that the requested technology or services will bring to the institution and its students. 4. The specific need that will be met: • Who will directly and indirectly benefit • How many students will be affected and in what way • How many courses, sections, and/or labs will utilize the proposed technology or service • Proposals for Technology Fee funding should provide detailed, specific information related to these criteria. • Preference will be given to expenditures that promise benefits to the largest number of students, with specific attention to the acquisition of knowledge. • Technologies proposed should be of proven effectiveness and utility rather than emerging or experimental. • New information-­‐technology acquisitions must be compatible with and complementary to existing and planned parts of the overall system; proposals will be reviewed by IS&T as needed to ensure compatibility. • All classroom instructional technology must be reviewed and approved by IMS prior to purchase and implementation to ensure support and maintenance compatibility. Annual Review The Office of the Provost and the Information Services & Technology Department will review this policy on an annual basis. T3
TRAVEL APPROVAL AND EXPENSE REPORT Pre Travel Approval All forms must be an original, red numbered form provided by CSU typed or legibly printed. Attach to the travel form a copy of the “request to present” or Workshop/Conference information (location, times, dates, hotel availability, topics, etc.) This can generally be obtained from the sponsor’s website. Attach the prior approval email/letter from the Department Chair/Dean for a rental car to the travel form. In addition, if traveling locally, the traveler must obtain approval from Risk Management to rent a vehicle. Copies of emails or letters from individuals (Dean, Department Chair, etc.) who are financially supporting the travel should also be attached. Block 1: Name (alpha) a. Must be a CSU employee or student b. Typed or legibly printed Block 2: CSU ID Number (numeric) Block 3: Department Name (alpha) Block 4: Destination: (alpha) a. City and State b. Use the city where the conference, workshops, and/or meetings are being held. c. May contain more than one location if staying overnight in both locations Block 5: Purpose (alpha) a. Give Name of event and purpose of your attendance i.e., attend or present at and give the name of conference, workshop or organization holding the event, Mileage for Site visits or Student Supervision, etc. b. Insufficient purposes are: Meeting, Present at Conference, Mileage, or Professional Development. Block 6: Per Diem Rate (alpha) a. This block is used for the Meal and Incidentals rate only. b. Use the city where the conference, workshop or meeting is being held unless the traveler is in multiple locations during the day. Then use the city where the hotel is located. If staying at two different hotels at different times list the per diem rates for both locations. T4
c. The meal rates link for both domestic and foreign travel is located on the Controller’s Travel Policy web page. d. In instances where the Incidental rate is listed separately, add it to the meal rate. e. The foreign meal rate changes more frequently than the domestic rate. Please use the rate that applies to the period in which the travel will occur as well as checking upon return to make sure it hasn’t changed. Block 7: Estimated Expenses (numeric) a. Provide a reasonable estimate total of expenses. b. Do not itemize your estimate on this form. Use a separate sheet of paper if itemization is necessary. Block 8: Portion to be Paid by CSU (alpha or numeric) a. If all the expenses are to be paid by CSU, either 100% or “All” is appropriate in this box. b. If only a portion of the expenses are to be paid by CSU, use that amount. Block 9: Dates of Travel (numeric) a. Provide the dates of the conference. b. If necessary the addition of one day before and after the conference for travel time is permitted. Block 10: Requested Prepayments (numeric) a. Do not use this section for estimating travel expenses. Use a separate sheet of paper for itemizing the estimate. b. Airfare and registration are generally the only prepayments CSU will approve. A purchase requisition or small order form can be requested from the Department office after approval for travel has been obtained. A copy of the approved travel form must accompany the prepayment SOF and/or Purchase Requisition. c. If the traveler prefers to use their credit card, the travel form will be the method of reimbursement. It is not a CSU prepayment. In almost all instances, reimbursement for personal payment of travel expenses will be made after the travel has been completed. Block 11: Approval (alpha) a. Prior approval and authorization for travel must be obtained from your Supervisor/Department Chair, Dean, and PI (if the travel is grant funded). This includes travel forms for local mileage reimbursement. b. The Provost must approve all foreign travel prior to the trip taking place. T5
Block 12: Account(s) to be Charged (numeric) a. Provide all of the accounts to be charged for the travel. If the account to be charged is another College or Department (including the Dean’s Office), attach a copy of the email or letter authorizing the expense and amount to be charged b. If an explanation of the accounts to be charged is needed, attach it to the travel form. Do not write in an account description if the account number or GrantID is not known. A note on a separate piece of paper should be sufficient to determine what account is to be charged. While Traveling Retain all receipts for reimbursement including those items prepaid. A. Include all receipts even if the amount to be reimbursed is less than the expenses. The traveler may be eligible to claim the un-­‐reimbursed business expense portion on their Federal Income Tax Return. (Consult with a tax person before claiming.) B. Airline (including CSU prepaid tickets) • Airfare receipt showing the amount paid for the ticket. This should include o The booking receipt from Travel Agency or o The printed internet confirmation of ticket purchase showing cost and method used for payment when using such websites as Orbitz, Continental, etc. • All Seating tickets. • It is not necessary to include the envelope(s) given out at the airport. C. Rental car receipt. D. Hotel receipt. E. Airport parking receipt. F. Conference/worksheet registration receipt. G. Taxi, train, trolley or shuttle bus receipts H. Conference schedule I. No meal receipts are necessary as CSU uses per diem for reimbursement (please also refer to Block 20 for pre-­‐approved business lunches). T6
J. If driving to and from the conference, workshop or meeting, a print out of Map Quest. • If leaving from home, show mileage to/from destination and mileage from your home to CSU • If leaving from CSU, show mileage to/from destination. If in doubt, keep the receipt. Completing the Travel Form The cleaner the travel form, the faster it can be reviewed and sent for reimbursement. The travel form must be submitted after completion of travel unless prepayment of registration by CSU is the only expense incurred. The Travel form should be completed and filed with the appropriate supervisor within two weeks of the travel completion date. Receipts should be attached securely to the back of the travel form in such a manner that they can easily be read by the reviewer or auditor. Preferably, they should all face the same direction with numerous small receipts taped to blank pieces of paper (mounted in the same direction) and attached to the back of the travel form. Note: CSU will reimburse business expenses only. Block 10: Requested Prepayments (Numeric) a. Enter in the Common Carrier line the dollar amount of the prepayment. To the left of the line indicate the SOF or Purchase Requisition number drawing an arrow to the related prepayment. b. Follow the above procedure for prepaid registration. c. These amounts will be totaled and carried to the “Less Prepayments” line in Block 26. Block 13: Date (Date) a. Each day of travel in date format should be listed on a separate line in consecutive order. b. If necessary lines can be split horizontally to allow for additional space for additional days of travel. Block 14: Time Depart/Return (Numeric) a. Times are important as they regulate the meal per diem. b. Record time started and arrived at location i.e., left home/office, arrived home/office. c. Reasonableness is required. T7
Block 15: Travel Point (Alpha) a. The first day of travel (first line) would normally be From Cleveland To (name of destination.) Unless the travel is overnight, On the last travel date line state the place of departure to Cleveland. b. If you are staying overnight in another city or destination, on the date lines please indicate from and to on both dates of travel. Example: 7/31/06 From Cleveland to Phoenix 8/3/06 From Phoenix to Santa Fe 8/5/06 From Santa Fe to Phoenix 8/8/06 From Phoenix to Cleveland Block 16: Transportation/Common Carrier/Explanation a. On the first line, first day of travel, under Common Carrier enter the total amount of the airfare, bus fare (if long distance), or train fare. In the Transportation/Explanation column, same line, state whether it is airfare, bus fare or train fare. b. This column is not for mileage or cab fare. Block 17: Transportation/Amount/Explanation a. The dollar amount being claimed for personal auto mileage or rental car expense is recorded in the Transportation/Amount Column. b. The personal auto mileage to and from the travel destination should line up with the date(s) in Block 13 and travel point in Block 15. c. In the Transportation/Explanation, Block 18 column, insert the number of miles driven on that day and the mileage rate used to determine the reimbursement amount in Block 17. Block 17: Transportation/Amount/Explanation a. The rental car expense and explanation should be listed on the day the car is returned and the invoice is paid. b. Rental Car expense is to be recorded in the Transportation/Amount and the description “Rental Car” in the Transportation/Explanation column. The approval for the rental car must be attached to the back of the form. c. Mileage will be reimbursed for personal auto in lieu of airfare when the airfare of all persons traveling in the car is greater than the mileage. If the combined airfare is less than the mileage, the airfare amount will be reimbursed. d. Per the Controller’s Travel Policy “Mileage while commuting to and from work will not be reimbursed. Mileage while commuting from home to an off-­‐
campus location may be reimbursed, but only to the extent that it exceeds mileage from the employee's home to CSU's campus.” e. The current mileage rate is located within the Controller’s Policy web pages. T8
Block 19: Lodging (Numeric) a. An itemized, paid hotel bill is needed. b. When calculating the amount spent on lodgings list only the daily room charge and associated tax. c. List each daily charge on each of the appropriate “date” lines. Do not record the lump sum total for all days. d. Do not request reimbursement from CSU for room service, in-­‐room meals, the spa, gym, etc. e. When sharing a room and sharing the hotel bill with non CSU person, note this in Block 28 i.e. “shared room with non CSU person(s)” and indicate how the hotel bill was split in Block 28. f. If the hotel room and bill is split between you and a CSU employee(s), please list the other CSU travel form number(s) and how the expense split was determined in Block 28. g. If you have paid for another CSU traveler’s room, include the entire amount of the hotel charge on your travel form and indicate the other person’s Name and Travel Form Number. h. If someone else pays for your lodging, indicate such in Block 28 include their name and travel form number. Block 20: Meals a. The traveler will be reimbursed for meals and incidental expenses according to the Federal Standard Meal Allowance (FSMA) then in effect. b. Allowable reimbursements vary by city. Rates for most major cities can be accessed from the University’s web site. c. Generally, there will be no reimbursement for meals unless the traveler is away from home over night. However, with supervisory approval, when the traveler is away from home for more than 12 hours and lunch is not provided, the traveler may be reimbursed for the lunch portion of the applicable FSMA (indicate times of departure and return on the Travel Approval and Expense Report). d. Reimbursement for the day of departure and the day of return is equal to 75% of the FSMA. e. If the travel is to more than one location in one day, use the FSMA for the city where the traveler has overnight accommodations. f. There will be no reimbursement for alcoholic beverages. g. Tips and gratuities are included in the FSMA. h. Actual and reasonable expenses for a qualified business meal may be claimed for the traveler and non-­‐university guest(s). The traveler must submit an original itemized receipt along with an explanation of the business purpose of the expense. An overnight stay is not required. i. Do not include meal receipts with your travel form unless: 1) You have taken others to a business lunch or dinner and T9
2) You have written prior approval for the expenditure. The written prior approval must be attached to the travel form. 3) The receipt must be itemized to ascertain that no alcohol has been served. Block 21: Miscellaneous Amount (numeric) a. Enter amounts for business expenses not listed elsewhere for which you have receipts. b. This can include business (not personal) telephone calls, internet access, parking fees, conference registration, and cab fare. Block 22: Miscellaneous Explanation (alpha) a. Enter description of expenses listed in Block 21. b. Enter meals provided by conference or others. Block 23: Total all columns (numeric) Block 24: Total across all column totals to a grand total. Block 25: Total to be Paid by CSU a. This includes all items that are to be paid by CSU including the prepaid items. b. This is to be the total CSU is reimbursing you and may not be the total of your expenses. Example: Total expenses = $1,500. Your travel allowance $1,000. Enter $1,000. Block 26: This is the total amount of your prepayments. Include your prepaid registration and airfare as they have been recorded on your travel form and thus in your total expenses and should be deducted. Block 27: This is the balance to be reimbursed to the traveler; Block 25 minus Block 26. Carry the Balance Due Employee to the account lines reimbursing the travel. Block 28: See Block 19. Can also be used to explain why per diem or lodging is not being taken i.e., “stayed with family,” “all meals provided by conference”, “airfare provided by . . .”, “registration not required, presented and lead discussion groups,” etc. Block 29: The Traveler must sign the Traveler’s Approval and Expense Report. Block 30: Approvals are required from the traveler’s supervisor(s) and individual(s) paying any portion of the reimbursement (Grant PI, Dean, etc.). When completed, it is recommended you make a copy for your records. Turn the travel form into your Department Chair. T10
The form will be reviewed, signed and sent to the Dean’s Office for further review. At any time during the process the travel form may be returned for missing information, documentation or corrections. If the travel form is correct, it will be submitted for the Dean’s signature and forwarded to Accounts Payable for processing. Applicable Web Pages CSU Travel Policy http://www.csuohio.edu/controllers/policy_travel.pdf Mapquest Driving/Mileage http://www.mapquest.com/directions/ Domestic Per Diem Rates http://www.gsa.gov/perdiem Foreign Per Diem Rates http://www.state.gov/m/a/als/prdm/ Foreign Conversion rates http://www.oanda.com/convert/classic CSU Driving and Motor Vehicle Policy http://www.csuohio.edu/riskmanagement/driving.html T11
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24 USE OF STUDENT INFORMATION The use and/or publication of any and all manuscripts, clinical reports, case studies, and other materials that contain personally-­‐identifiable student information, require the prior, written consent of the student. Such consent must be obtained from the student, in writing, by having the student complete and sign the attached Consent Form or by other written documentation which clearly states the extent of the consent granted and includes the student’s signature. Consent can be obtained via email provided the student’s email transmission can be authenticated. A student’s consent is not required if all personally-­‐identifiable information has been redacted from the material. To ensure compliance with this policy: • For all accreditation or showcase purposes, the appropriate Department Chair will review the material(s) that contain personally-­‐identifiable student information prior to publication and/or exhibition. • For all other publications or exhibitions, the specific faculty member responsible will review the material(s) that contain personally-­‐identifiable student information prior to publication and/or exhibition. U1
Fenn College of Engineering Consent Form I, _______________________________, a student and Cleveland State University, by my signature below, give my consent to the College of Engineering to publish or exhibit my ______________________________. I understand that the document identified above contains my name and/or other information which is personally-­‐identifiable to me. I also give consent to the College of Engineering to publish or exhibit a manuscript, clinical report, case study, or other material that contains my name, likeness, and/or other information that is personally identifiable to me. ______________________________________________ ________________________ Signature of Student Date U2