Chapter
6
ADMINISTRATIVE PROCESSES
Introduction
The Administrative Processes Committee evaluated Troy State University's organization
and administration, institutional advancement, financial and physical resources, externally funded
grants and contracts, and related corporate entities relative to the accomplishment of institutional
purpose. The structures of Troy State University Troy, Troy State University Phenix City, and
University College are included in this evaluation of the University's organization and
administration. The evaluation of the University's organization and administration focuses on the
Board of Trustees, administrative officers, official University policies, and the purpose and function
of advisory committees.
The Board of Trustees has oversight responsibility for the University operations. The
primary responsibility of the University's institutional advancement includes maintaining and
fostering relationships with University alumni as well as supporting fund-raising activities. University
publications and other public relations activities promote the purpose and goals of the University.
The effective and efficient allocations of resources are an integral part of achieving the purposes
and goals of the University. The University's performance is enhanced through sufficient resources,
financial administration organization, budgeting (including planning and control), and
reporting/auditing of University resources. Official policies associated with inventory control,
refunds, cashiering, investment, and insurance are critical to the proper administration and control
of the University's resources.
Sufficient physical resources are an integral part of the quality of University programs and
activities. Further, the growth of the University requires organizational planning and development
through a master plan. The sufficiency of physical resources includes the following:
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Management of physical resource space
Maintenance of buildings, grounds, and equipment
Administration of appropriate safety and security measures
Externally funded grants and contracts are monitored to determine whether the purpose of
those grants and contracts is consistent with the University's purpose. The University has
relationships with two separately incorporated entities: the Troy State University Foundation and
Center Services, Incorporated. These entities promote and sponsor educational opportunities and
provide services to University students, faculty, staff, alumni and supporters.
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Purpose of Administrative Processes
The University Administration coordinates the operation of University programs and
activities. The Administration fulfills the University's purpose to be "responsive to the needs of its
diverse student population and the larger community through administrative services, utilization of
staff and facilities, teaching, scholarship, creative activities, research, and public service." The
University's purpose states that the "administrators, faculty, and students are committed to
excellence in education through a shared system of governance." The administrative processes
are designed to ensure that the University's purpose is fulfilled.
6.1
ORGANIZATION AND ADMINISTRATION
The administration of an institution of higher education has the responsibility for
bringing together its various resources and allocating them effectively to
accomplish institutional goals. Although the organizational pattern is important to
an institution’s development and affects the morale of its faculty, an identical
pattern of organization for all member institutions is neither required nor expected.
The administration's organizational pattern enhances the University's ability to achieve its
goals. The organization and administration of the Troy State University System are governed by
Alabama state statutes (Code of Alabama, Revised 1997, 16-56-1 through 16-56-15) and the
bylaws of the Board of Trustees. The University System consists of the campuses at Troy,
Montgomery, Dothan, TSUPC, and the various sites of University College. The organization of the
University System is published in the Troy State University Fact Book, March 2002 (p.4), but an
updated organizational chart has been developed to reflect changes in system organization in
2002. Troy State University Montgomery and Troy State University Dothan are separately
accredited and are included here to clarify the organizational structure of the System.
The organizational structure for the Administration of the Troy campus is delineated in the
Faculty Handbook (pp.1-8) and an organization chart which is published in the Fact Book, March
2002 (p.5) has been updated to reflect changes in 2002. The organization chart of the TSUPC
branch is published in the Fact Book, March 2002 (p.6) and the organization chart of University
College is published the Fact Book, March 2002 (p.7).
University College is one of six colleges of Troy State University. There exists a
complementary relationship between University College Administration and the academic units on
the Troy campus. Though the administrative oversight is the primary responsibility of University
College, the responsibilities of academic quality control and for the academic programs/course
offerings are priorities of the appropriate Troy campus college, school, or academic department.
The Academic Council and the Graduate Council at the Troy campus have authority over the
curriculum (Academic Organizational Chart for Branch campuses in the Fact Book, March 2002).
The governing board of University College and Troy State University Phenix City is the Troy State
University System Board of Trustees. This Board is described in Section 6.1.2 of this report.
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6.1.1
Descriptive Titles and Terms
6.1.1.1 The name of an institution, the titles of chief administrators, the
designations of administrative and academic divisions, the terms
used to describe academic offerings and programs, and the names
of degrees awarded must be accurate, descriptive, and appropriate.
In 1887, Troy State University was established as the Troy Normal School. The name of
the University changed as it progressed through expanded programs and degree offerings. In
1929, the school became Troy State Teachers College and was renamed Troy State College in
1957. The legal name of the Institution, Troy State University, was assumed in 1967 (Code of
Alabama, Revised 1975 and 1997 16-56-1). The term Troy State University System refers to all
campuses and institutions (Troy State University Montgomery, Troy State University Dothan, Troy
State University Phenix City, and University College).
Descriptions of administrative titles and divisions are published in the Faculty Handbook
(pp. 1-8). Academic divisions, offerings, programs, and degrees are described throughout the
University Undergraduate Bulletin 2001-2003 and the Graduate Bulletin 2001-2003. The
University's curriculum committees regularly review the content and titles of academic offerings,
recommending any changes appropriate to the programs and degrees awarded. The administrative
and academic titles and terms are accurate, descriptive, and appropriate.
6.1.2
Governing Board
Although titles and functions vary, the governing board is the legal body
responsible for the institution and for policy making.
The Board of Trustees was established in Section 16-56 of the Code of Alabama, as
amended by Act Number 97-586 and exclusive jurisdiction, supervision and control of the
University was transferred to the Board effective September 7, 1967 (Code of Alabama, Revised
1997 16-56-7). Powers and duties of the Board as a whole are defined in Sections 16-56-1 through
16-56-10 of the Code of Alabama, Revised 1997. Duties and responsibilities of officers and
committees are described in Articles III and IV of the bylaws of the Board of Trustees, which were
adopted by the Board of Trustees on March 3, 2002 (See Board of Trustees Minutes in
Chancellor’s office).
6.1.2.1 A military institution authorized and operated by the federal government
to award degrees and prohibited by authorizing legislation from having a
board with ultimate legal authority must have a public board which, in
policy and practice, carries out the normal functions of a board as
described in these criteria.
This criterion is not applicable because Troy State University is not a military institution.
6.1.2.2 Except under clearly defined circumstances, board action must result
from a decision of the whole, and no individual member or committee
can take official action for the board unless authorized to do so.
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Section 16-56-5 of the Code of Alabama indicates that actions taken under the power of
the Board must be authorized by a quorum, consisting of a majority of the members of the Board.
Further, Article IV of the bylaws indicates that committees of the Board shall make
recommendations to the full Board and may not take any official actions on behalf of the full Board
unless specifically authorized by the full Board. Minutes of Board meetings serve as official
records of Board action and are located in the Chancellor’s office.
6.1.2.3 The duties and responsibilities of the governing board must be clearly
defined in an official document.
The Board's duties and responsibilities are defined in Section 16-56-7 of the Code of
Alabama, Revised 1997, and in the Faculty Handbook (p. 1). The specific responsibilities of the
members of the Board’s committees are detailed in the bylaws of the Board of Trustees (Article IV).
The Board’s minutes of meetings may be used to evaluate the actions of the Board. For example,
the Minutes of March 3, 2002, indicate that the Board approved revised Bylaws for the Board of
Trustees.
6.1.2.4 This document must also specify the following: the number of members,
length of service, rotation policies, organization and committee
structure, and frequency of meetings.
The Board is comprised the Governor of Alabama, the State Superintendent of Education,
and 10 trustees, who are appointed by the Governor with the advice and consent of the Alabama
State Senate. Section 16-56-3 of the Code of Alabama states that the Board shall have
representation (i.e., trustees) from eight geographic areas in the State. Two trustees are chosen
from the geographic area in which the University is located, and one trustee is chosen from each of
the other seven geographical areas in the State. Also, one at-large trustee is chosen who may or
may not be a State resident. The trustees hold office terms of 12 years and until the successors
have been appointed and qualified. The Student Government Association President is also a nonvoting member of the Board of Trustees. The Chancellor of Troy State University System acts in a
non-voting capacity as ex officio Secretary of the Board (Article III of the bylaws of the Board of
Trustees). University employees are not eligible to serve, and do not serve, as members of the
Board (Code of Alabama, Revised 1997, 16-56-3).
Article IV of the bylaws discusses the organization and structure of committees. The
committee members, as well as the chairs, are appointed by the President pro tempore. The
Board has the following standing committees: Executive Committee, Finance Committee,
Academic Affairs Committee, and Athletics Policy Committee.
It should be noted that the Governor or President pro tempore, as presiding officer, may
appoint ad hoc committees when warranted. Also, Article III of the bylaws discusses in detail the
officers of the Board.
According to Section 16-56-4 of the Code, regular annual Board meetings are held at the
University on or about the date scheduled for spring term graduation. Provisions for rescheduling
the time and place of these meetings are also specified. The Governor or President pro tempore
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may call special meetings with ten days prior written notice to members. Any three Board members
may request that the Governor call a special meeting.
6.1.2.5 There must be appropriate continuity in the board membership, usually
provided by staggered terms of adequate length. In addition, the
document should include provisions governing the removal of a board
member from office. A board member may be dismissed only for cause
and by procedures involving due process.
Initially, Board appointments were for varying terms ranging from four to 12 years, with
subsequent appointments of 12 years, providing for rotation of one-third of the Board every four
years (Code of Alabama, Revised 1975, 16-56-3). The Code of Alabama, Revised 1997, 16-56-8,
provides that the Governor, with the consent of the Senate, shall appoint a trustee to fill any vacant
office for the remainder of an unexpired term. Currently, the terms of the trustees expire over the
2003 to 2011 period. A complete list of Board members and the date each term expires is included
in the University Undergraduate Bulletin 2001-2003 (p. 314), the Graduate Bulletin 2001-2003 (p.
248), the Fact Book 2002 (p.3), and Table 1.4.6 in Section 1.4.6 of this self-study. Continuity in the
Board membership is provided by the guidelines set forth in the Code of Alabama, Section 16-53-3,
which provides for staggered terms and regulates the replacement of members who leave office
prior to the end of their term. Procedures for the removal of Board members are provided in Title
36, Chapter 11, sections 1 through 25 of the Code of Alabama, Revised 1997.
6.1.2.6 The responsibilities of the governing board must include the following
functions: establishing broad institutional policies, securing financial
resources to support adequately the institutional goals, and selecting
the chief executive officer.
The establishment of broad institutional policies, in particular, "...the articulation of general
educational policies and academic goals..." and the obligation to "...conserve the financial
resources of the University...." relative to current and future needs and the selection of the chief
executive officer are among the responsibilities of the Board, as specified in the Faculty Handbook
(p. 1) and the Code of Alabama, Revised 1997, 16-56-6. Table 1.4.7 in Chapter 1 outlines the
Board of Trustee Meetings from March 1999 through May 2001, and this table provides evidence
that the Board of Trustees establishes institutional policies and secures financial resources to
support the institutional goals. Section 16-56-6 of the Code of Alabama states that “the board of
trustees shall appoint a chancellor who shall serve as the chief executive officer of the university
system.”
6.1.2.7 In addition, the governing board must have in place proper procedures
to ensure that it is adequately informed about the financial condition and
stability of the institution.
The Board is provided with a copy of the University audit that is conducted by the
Examiners of public Accounts, an arm of the Alabama State Legislature. Additionally, at each
Board meeting, the Vice President for Financial Affairs makes a report on the financial status of the
University.
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6.1.2.8 The board must not be subject to undue pressure from political,
religious or other external bodies. Furthermore, it should protect the
administration from similar pressures.
The Board is not subject to undue pressure for political, religious or other external bodies
and protects the Administration from similar pressures. Its authority and independence is set forth
in Article I of Bylaws of the Board of Trustees (pp. 1-2), which states that “The entire management
and control over activities, affairs, operations, business, and property of The Troy State University
System…..shall be completely and absolutely vested in the Board of Trustees of the Troy State
University System….”
6.1.2.9 There must be a clear distinction, in writing and in practice, between the
policy-making functions of the governing board and the responsibility of
the administration and faculty to administer and implement policy.
General institutional policies should originate within the board or should
be approved by the board upon recommendation of the administration.
Once these have become official policies, the administration should
implement them within a broad framework established by the board.
There is clear distinction, in writing and in practice, between the policy-making functions of
the governing board and the responsibility of administration and faculty to administer and
implement policy. Article I of the Bylaws of the Board of Trustees for the Troy State University
System states: “While the Board determines broad policy and issues, it delegates implementation
of policy and all administrative matters to the Chancellor of the Troy State University System. In
carrying out these responsibilities, the Chancellor may consult with other officers of the University
system, faculty, and staff as deemed prudent and appropriate to a university community.”
Additionally, the Bylaws specify recommendations upon which the Board shall act as brought by
the Chancellor.
6.1.3
Advisory Committees
Whenever lay advisory committees are used by institutions, these
committees should be active and their role and function clearly defined.
Several lay advisory committees or boards are utilized by various components of the
University:
1. Advisory Council for the Sorrell College of Business
2. Advisory Board for the Risk Management and Insurance Program
3. Advisory Board for the School of Nursing (Re-activated Spring, 2002)
4. Geomatics Advisory Board
5. Troy State University Phenix City Advancement Board
6. Advisory Committee for Counseling and Psychology
A description of the role and function as well as a roster of current members is maintained in the
sponsoring office of each board, council, or committee.
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6.1.4
Official Policies
6.1.4.1 The institution must publish official documents which contain, but are
not limited to, the following information: the duties and responsibilities
of administrative officers, the patterns of institutional organization, the
role of the faculty in institutional governance, statements governing
tenure or employment security, statements governing due process, and
other institutional policies and procedures that affect the faculty and
other personnel.
Troy State University routinely publishes and revises official documents setting forth
institutional policies and procedures which affect the faculty and other personnel including the
following:
 Faculty Handbook (Revised 2001).
 System Staff Handbook (Revised 2002).
 Troy State University Policies and Procedures Index (Revised 2002).
Official policies that affect faculty, administrative staff, and other personnel are published in the
Faculty Handbook (Revised 2001), the Staff Handbook (Revised 2001) and the Troy State
University Policies and Procedures Index (Revised 2002). The Faculty Handbook (pp. 50-55)
specifies the duties and responsibilities of administrative officers. The Fact Book 2002 (pp. 5–8)
and the Faculty Handbook (pp. 1–7), specify patterns of instructional organization. The Faculty
Handbook also specifies the role of faculty in instructional government (pp. 27–29), statements
governing tenure or employment security (pp. 45 - 49) and statements governing due process (pp.
50–55). Due process and employee security for non-classified personnel are outlined in the Staff
Handbook.
These documents are distributed to appropriate personnel, and copies are available for
review in the Self-Study Resource Room.
6.1.5
Administrative Organization
6.1.5.1 The administrative organization must reflect the purpose and philosophy
of the institution and enable each functional unit to perform its particular
responsibilities as defined by the stated purpose of the institution.
The administrative organization mirrors the purpose and philosophy of the University and
enables the organizational units—divisions, schools, departments, and off-campus sites—to
perform their respective responsibilities. The Statement of Purpose (Mission Statement) is included
in all key publications of the University including, but not limited to, the 2001–2003 University
Bulletins (Undergraduate, p.5 and Graduate, p.7) and the Faculty Handbook (p. 8). Inasmuch as
the Mission Statement drives the organizational pattern of the University, this important document
is periodically reviewed and revised. Administrators, staff, and faculty reviewed and revised the
current Mission Statement, and appropriate committees and councils as well as the Board of
Trustees approved the resulting modified Mission Statement during AY 2000–2001.
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6.1.5.2 Administrative responsibility and authority for all educational offerings
and functions of the institution must be clearly identified.
The responsibilities and the authority for all educational offerings and functions of the
Institution are clearly outlined in the Faculty Handbook, specifically in the description of the duties
of the Provost (p. 2), the academic deans (pp. 5-8), and the academic department chairs (p. 7).
6.1.5.3 Each institution must develop, publish, and make available an
organizational chart clearly delineating lines of responsibility and
authority.
An organizational chart, clearly delineating lines of responsibility and authority, is published
in the Fact Book and an updated chart has been included in the Introduction of this document.
6.1.5.4 The duties of the chief executive officer, and of other administrative
officials directly responsible to the chief executive, must be clearly
defined and made known to faculty and staff.
Included in the Faculty Handbook (pp. 1-5) are the duties of the Chancellor; the Vice
Chancellor; the Provost; and the Vice Presidents of Institutional Advancement, Student Affairs,
Financial Affairs, Technology; and Institutional Research, Planning, and Effectiveness, and the
Directors and Deans under each of these major divisions. Included in the organizational chart of
the Fact Book are the administrators, as well as the Vice Presidents of TSUPC and University
College. The Faculty Handbook and the Fact Book are provided to University personnel. The Fact
Book is available online at the Office of Institutional Research, Planning, and Effectiveness website
http://spectrum.troyst.edu/~oirpe/.
6.1.5.5 Administrative officers must possess credentials, experience and/or
demonstrated competence appropriate to their areas of responsibility.
Current administrative officers possess the credentials, experience, and/or demonstrated
competence appropriate to their positions. Personnel files for each officer are on file in the Office of
Human Resources.
6.1.5.6 The effectiveness of all administrators, including the chief executive
officer must be evaluated periodically.
The effectiveness of administrators, including the chief operating officers, is evaluated
annually. The evaluations of administrators are on file in the Office of Human Resources, and
Annual Assessment Reports are available for administrators (to the Deans’ level) in the Office of
Institutional Research, Planning, and Effectiveness and on the website. The Board of Trustees
evaluates the Chancellor and maintains that evaluation on file.
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6.2 INSTITUTIONAL ADVANCEMENT
6.2.0 Each institution should have a program of institutional advancement, which
may include development and fund raising, institutional relations and alumni
affairs. If there is an advancement program, it must be directly related to the
purpose of the institution. Qualified persons should be responsible for
administration of the program.
The Vice President for Institutional Advancement, who is the chief development officer of
Troy State University and a member of the Chancellor’s staff, administers the institutional
advancement program. The Vice President for Institutional Advancement is responsible for
coordination of policies in the areas of Alumni Affairs, Development, and the Troy State University
Foundation. As shown in the University’s Organizational Chart, the Director of Development, the
Business Manager of the Troy State University Foundation, and the Director of Alumni Affairs
report to the Vice President for Institutional Advancement, who in turn reports to the Chancellor.
The Office of the Vice President for Institutional Advancement prepares an annual Six Points of
Institutional Effectiveness document, which defines the relationship of the program to the
University’s mission and objectives; an Annual Assessment Report; and Annual Plan. These
documents provide the University's Institutional Advancement Plan and evaluate the Institutional
Advancement area.
The Office of Institutional Advancement acts directly in response to the eighth Institutional
Objective set out in the Troy State University Mission Statement. This Institutional Objective is to
“provide leadership and planning for future development.” While Institutional Advancement
generally encompasses all the objectives of the University, the Office of the Vice President for
Institutional Advancement exists specifically to provide leadership and planning for future
development. Specific objectives implemented by the Vice President for Institutional Advancement
include: development of plans for giving and gifts, donor identification, cultivation, solicitation and
recognition; coordination of alumni participation and giving; development of a positive image for
Troy State University; service to the Chancellor on matters of advancement and as a resource for
the Board of Trustees, the administration, faculty, and staff of the Troy State University System and
the community; participation in the System’s annual and long-range planning and interpretation of
the System goals and programs to key constituencies; services to the Troy State University
Foundation; and completion of other duties assigned by the Chancellor (See SPIE for Vice
President for Institutional Advancement, December 13, 2001).
The Vice President for Institutional Advancement, the Director of Development, the
Business Manager of the Troy State University Foundation, and the Director of Alumni Affairs are
responsible for the institutional advancement program and are qualified for their duties by virtue of
their education, training and experience (See vita of the Vice President for Institutional
Advancement, Director of Development, Director of Alumni Affairs, and Business Manager of the
Troy State University Foundation.)
The Institutional Advancement program at Troy State University Phenix City (TSUPC)
directly relates to the purpose of the Institution. The Division of Institutional Advancement at Phenix
City was created in 1997. The Department is staffed by a Director and a Secretary. The Director is
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qualified for the position by virtue of his/her education, training, and experience as specified in the
job description. The Director reports to the Vice President of the Phenix City campus.
In accordance with the institutional purpose of Troy State University, institutional
advancement at TSUPC arises from the University’s commitment to excellence in education. While
institutional advancement encompasses all of the institutional objectives of the University, it exists
primarily to provide leadership and planning for future development. The program directs
Development as well as Alumni Affairs and as such facilitates the academic and administrative
goals and activities of the TSUPC campus through fund raising, alumni activities, and special
events.
The Development Office is charged with acquiring resources and developing community
relationships to further the purposes and objectives of the University, specifically, soliciting
donations, establishing productive relationships, and participating in strategic planning. The
TSUPC Advancement Board provides a formal structure for participation in program development
for preparation of professional personnel.
Institutional advancement activities are not conducted at regional levels of University
College—Atlantic, Florida/Western, Pacific, and Southeast. These activities are part of the
centralized activities initiated on the Troy campus.
6.2.1
Alumni Affairs
The relationship between the institution and its alumni should be one that
encourages former students to continue to participate in the development of
the institution. It should also assist in the evaluation of institutional
effectiveness. Institutions are encouraged to maintain up-to-date records on
the location of former students and to employ periodic surveys.
The purpose of the Troy State University Office of Alumni Affairs is to establish mutually
beneficial relations between the University and its alumni. The Office of Alumni Affairs coordinates
major alumni events, promotes alumni services, and establishes scholarships. The Office
maintains and updates alumni records in order to broaden communication between alumni and the
University. Among the objectives of the Office of Alumni Affairs are the chartering of Alumni
Chapters, publishing the Troy State Magazine and the alumni newsletter TS & U, and sponsoring
of various alumni related events (See SPIE of Office of Alumni Affairs, dated December 13, 2001).
More than 75,000 graduates comprise the Troy State University alumni base. Until the
1970s, the primary major of those graduates was education. Since the 1970s, the University has
become multi-faceted with viable academic programs within five colleges: Arts and Sciences,
Business, Education, Communication and Fine Arts, and Health and Human Services.
Although giving has been the principal linkage with alumni during the past, the Office of
Alumni Affairs emphasizes service and information as foundation building blocks in alumni
development. The Office of Alumni Affairs works to communicate alumni programs and services to
all alumni. The Troy State Magazine is published three times per year and is 24-28 pages in length.
The Troy State Magazine is sent to all alumni living in the continental United States and all APO
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and FPO addresses. The magazine focuses on University System information to keep alumni and
friends better informed about faculty activities, academic programs, athletic advancements, and
student successes.
The Office of Alumni Affairs pursues merchandising programs which offer alumni special
services, such as Master Card and Visa Card programs and a vanity car tag program. The Master
Card and Visa Card programs generate funds that are used for alumni development and alumni
activities. The vanity car tag program generates funds for scholarships.
The Office of Alumni Affairs also assists with orientation sessions for parents of incoming
students. In addition to providing information about the University, these sessions encourage
parents to be involved in campus activities and to become a part of the University’s database.
Alumni participation in University activities is increasing as measured by increased
homecoming attendance, alumni chapter development, and alumni interaction with the Office of
Alumni Affairs and the Office of University Relations. Several departments on campus have
developed specific plans for alumni development. Plans have been implemented in areas such as
band, journalism, athletics, and health and human services. Alumni serve on various campus
committees, including the Institutional Self-Study Steering Committee. Alumni are also involved in
institutional planning by participating in departmental and University-wide surveys. Annually, the
Office of Institutional Research, Planning, and Effectiveness surveys Alumni (one-year out and
five-years out), and the results are published in the Compendium of Survey and Test Results.
Table 6.2.1A
Results of Alumni Surveys 2000-2001
One-Year-Out Alumni N=91
Survey and Items
Which of the following best describes your present situation:
Working
Attending Graduate School
Attending Professional School
Are you employed in the field in which you were educated?
I am employed in my major field
I could not find a job in my major field
I developed new career interests
The jobs in my field did not pay well
I am not presently employed
Percentages
84%
7%
2%
74%
6%
8%
6%
7%
% Rating Excellent to Good
Rate your overall TSU experience
Rate your academic experience
94%
93%
According to the Compendium of Survey and Test Results 2000-2001 as noted in Table
6.2.1.A for alumni one year out, 93% were employed or attending graduate or professional school,
and 74% were employed in their major field. Of these alumni, 91% rated their educational
experience excellent or good; 94% rated their overall TSU experience excellent or good; and 93%
rated their academic experience excellent or good .
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Table 6.2.1B
Results of Alumni Surveys 2000-2001
Five-Year-Out Alumni N=101
Survey and Items
Which of the following best describes your present situation:
Working
Attending Graduate School
Attending Professional School
Are you employed in the field in which you were educated?
I am employed in my major field
I could not find a job in my major field
I developed new career interests
The jobs in my field did not pay well
I am not presently employed
Percentages
90%
1%
2%
73%
5%
16%
1%
5%
% Rating Excellent or Good
Rate your overall TSU experience
Rate your academic experience
93%
95%
According to the Compendium for five year-out-alumni, as noted in Table 6.2.1.B, 90%
were employed, 3% were attending either graduate or professional school, and 73% were
employed in their major field. Of these alumni, 90% rated their educational experience excellent to
good; 93% rated their overall TSU experience excellent or good; and 95% rated their academic
experience excellent or good. Additional Alumni Survey information is available in the Compendium
of Survey and Test Results 2000-2001.
The Troy State University National Alumni Association maintains an endowed scholarship
program which provides six academic scholarships per year to students. The National Alumni
Association is managed by an elected Board of Directors consisting of active alumni. There are 35
individual chapters, each of which provides at least one scholarship per year to students from its
area. An international chapter is located in Russia. A current project of the National Alumni
Association is the renovation of the Bibb Graves quad.
Over the past decades, one of the major deterrents to alumni development was the lack of
a complete database. This problem has been addressed through the use of the University’s new
Datatel computer system, which can store complete and adequate information about each
graduate. The Office of Alumni Affairs published a new alumni directory in March 2002. The Alumni
Affairs Office serves University College and Troy State University Phenix City.
Alumni on the TSUPC campus are coordinated through their involvement in institutional
planning by participation in departmental and University-wide surveys. Alumni also serve on
various campus committees, including the Institutional Self-Study Committee, as well as maintain a
seat on the Advancement Board.
The University College Regional campuses—the Atlantic Region, the Florida/Western
Region, the Pacific Region, and the Southeast Region—coordinate alumni activities with the Troy
campus.
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6.2.2
Fund Raising
6.2.2.1 All fund raising must be related to the purpose of the institution.
6.2.2.2 All aspects of fund raising must be incorporated into the planning
process and evaluated regularly.
6.2.2.3 An institution must develop policies and procedures for fund raising and
ensure that such policies are appropriately disseminated and followed.
Among the Institutional Objectives set out in the Troy State University Mission Statement
are the following:
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
To develop programs to address the needs of constituencies
To provide undergraduate, graduate, and continuing educational programs for both
professional advancement and personal enrichment
To encourage and reward excellence in teaching
To encourage and provide essential resources for creative activities and research
To provide a variety of public services to enhance the well-being of the University and
its community
To provide leadership and planning for future development.
In keeping with these and other objectives, the Troy State University Foundation was
established as a charitable organization qualified as an IRS Code Section 501 Foundation. The
Foundation was created to attract private support for the Troy State University System. The
purposes of the Foundation are to promote, support, and carry out broader educational
opportunities and provide services to the faculty, students, and alumni of Troy State University. The
Foundation seeks to gain meaningful financial support from private sources as an essential
supplement to legislative funds, students’ fees, and federal grants. It is committed to an active
program to attract contributions from foundations, corporations, and individuals.
The Troy State University Foundation was incorporated on July 16, 1968, as a non-profit
corporation established to receive, manage, and disburse funds and other assets given to the
University and to provide a central office for a coordinated program of private support. The
Foundation is governed by bylaws which were approved by its Board of Directors on October 26,
1978, to replace the bylaws approved on October 12, 1968. Subsequent amendments were made
in November 1990 and July 1999. The Foundation’s purpose in general is “to promote, sponsor
and carry out broader educational opportunities for and services to the students and alumni of Troy
State University”.
The Troy State University Policies and Procedures Index provides information on the
nature and location of the gift policy of the Troy State University Foundation, which has policies
guiding the acceptance, stewardship, and valuation of gifts. Policies for private gift fund-raising
coordination were approved by the Chancellor. (See TSU Policies and Procedures Index).
Like other universities, Troy State University relies on private funding to support its growth.
This support takes many forms: Annual Fund Campaigns, Faculty and Staff Campaigns, Capital
6-14
Funds Drive, Named Scholarships, Annual Scholarships, Restricted Giving, Planned Gifts,
Corporation and Foundation Support, Memorial Gifts, Gifts-in-Kind, and Matching Gifts.
Annual Fund Campaigns
Each year alumni and friends are asked to donate to the Annual Fund Campaign, the
unrestricted campaign conducted by Troy State University. Because these gifts allow
flexibility in the use of the funds, they are used for programs and projects which have the
greatest need. Some of the programs and projects supported by Annual Fund gifts include
scholarships, library enhancement, technology improvements, and faculty enrichment
grants.
Capital Funds Drive
The first System-wide capital campaign ever conducted by the Troy State University
System was called the “Quest for Excellence.” The campaign began its silent phase with
the announced goal of raising $18 million. The Quest for Excellence capital campaign
ended in February 2000 when campaign goals were exceeded by more than $3 million. In
keeping with the institutional objectives listed above, the campaign resulted in major
building and renovation projects throughout the Troy State University System. Those
projects include the Pace Hall Rotary International Living and Learning Center (Troy), the
Mathematics and Science Complex (Troy), the Rane Auditorium (Davis Field House-Troy), Sartain Hall and Trojan Arena (Troy), Claudia Crosby Theater (Troy), a
library/technology building (Dothan), the Rosa Parks Library and Museum at Montgomery
(TSUM), Curry Commons at Montgomery (TSUM), a classroom/technology building at
Phenix City (TSUPC), Richard M. Scrushy Field at Memorial Stadium (Troy), and the
Hawkins Adams Long Hall of Honor (Troy). In addition to facility projects, the campaign
garnered $2.3 million for scholarships and provided a Sorrell College of Business
Accounting Technology Lab.
Faculty and Staff Campaigns
Annually faculty and staff are asked to contribute monetarily to the University. Their
participation and support provide a concrete expression of their belief in the University. A
high level of participation from faculty and staff members demonstrates their commitment
to the University which has a positive impact on corporations, foundations, and the
community.
Named Scholarships
Many donors make contributions to the Troy State University Foundation in memory or
honor of a family member or a friend through the establishment of an endowed
scholarship. An endowed scholarship can be established by a contribution of $20,000 or
more. This endowment is perpetual because only the interest income is used each year.
Annual Scholarships
These scholarships are awarded as contributions are received. All of the funds are
awarded during the year received.
6-15
Restricted Giving
Many donors restrict their gifts to an academic program, college, department, or
educational project of their choice. These restricted gifts are applied to the appropriate
accounts and used as the donor specifies.
Planned Giving
A planned gift is the process through which a gift is pledged but may be completely or
partially deferred until sometime in the future.
1. A bequest through a will is an example of a planned gift, which allows a donor to
decide on a contribution years in advance.
2. The purchase of a life insurance policy naming the Foundation as the owner is
an additional type of planned gift. This method of giving makes it possible for the
donor to make premium payments, which are tax-deductible.
3. Establishing a charitable remainder trust is another planned giving opportunity,
which allows a donor to make a gift now while receiving a life income. The trust
also provides the donor income tax benefits.
Corporation and Foundation Support
Corporation support and foundation support are important resources. They can provide
funds for facilities, special programs, seminars, research projects, equipment, and
scholarships. Additionally, corporations can encourage employees to give through the
matching gift programs.
Memorial Gifts
Many donors make contributions to the Troy State University Foundation in memory of a
relative or friend. The foundation acknowledges receipt of the gift to the donor as well as to
the family of the deceased person.
Gifts-In-Kind
Examples of this type of gift include building materials, architectural services, and real
estate. The donor must take the responsibility of assessing the value of their “Gift-In Kind.”
Matching Gifts
Many employers match employee gifts to higher education. Some of the companies match
dollar-for-dollar, others match two-for-one, and some even match three-for-one.
The Business Manager of the Troy State University Foundation keeps specific records
about receipts and disbursements from any of these sources. An Independent Auditors’ Report is
prepared annually for the Troy State University Foundation. The Report contains detailed
statements of the financial position of the Foundation and the related statements of activities and
cash flow for each year. It is not practical to describe these reports in their entirety, but the 1999
Statement of Financial Position (the most recent report available at the time of this writing)
revealed total assets of the Foundation in the amount of $24,735,198 and liabilities in the amount
of $2,234,698. Thus the net assets of the Troy State University Foundation as of September 30,
1999, totaled $22,500,500. (See Independent Auditors’ Report dated March 7, 2001, prepared by
Wilson, Price, Barranco, Blankenship and Billingsley, P.C., Certified Public Accountants). A
6-16
Summary of Endowment Values and Returns prepared by the Troy State University Office of
Accounting Services is published in the March 2002 Fact Book (p. 80), which is compiled by the
Office of Institutional Research, Planning, and Effectiveness.
Other notable accomplishments and current fundraising projects of the Troy State
University Foundation include the Bibb Graves Project, the Quad Project, and the Graduates Walk
of Honor.
The Bibb Graves project was recently undertaken in order to renovate and modernize Bibb
Graves Hall, the oldest building on campus. The plans include the improvement and modernization
of the building’s interior while preserving the traditional integrity of the building’s exterior; the
increased access by the students to state-of-the-art technological equipment; the improvement of
the logistics of academic departments, public service centers, classrooms, and conference rooms;
the provision of an appropriate environment for professional development training for industry
leaders while simultaneously accommodating students’ needs.
The Quad Project is an attempt to return the main Quad area (between the Adams
Administration Building and the Math-Science Complex) to its original historic design. The Quad
area will be landscaped and revitalized to meet the intent of the original campus architects, the
Olmsted Brothers. This project will provide benches, a reflecting pool, and brick pathways.
The Graduates Walk of Honor begins in front of Sartain Hall and continues past Dill Hall
and Smith Hall. It is envisioned that, in time, the Graduates Walk of Honor will cross University
Avenue in front of John M. Long Hall and completely encircle the quad. A contribution of $100 to
the Troy State University Foundation will ensure that a graduate's name will be engraved on a brick
that will be placed on the Graduates Walk of Honor. The bricks are organized in chronological
order, beginning with AY 2000.
At TSUPC, all fund raising is related to the purpose of the Institution and all aspects of
fund raising are incorporated into the planning process and evaluated regularly. Student growth at
TSUPC dictated the need for additional classroom space as well as office for faculty. Capital fund
raising results during AY’s 1996–1997, 1999-2000, 2000-2001 were positive. Initially, over $1
million was pledged. A donation of 10 acres of land was secured that offered a location for a new
building adjacent to Higginbotham Hall. A sum of $753,960 in both gifts-in-kind and actual dollars
was raised to support Troy State University Phenix City’s new academic facility. An additional
$81,060 was raised to support scholarship activities. To date, over $2 million has been generated.
The Troy State University Foundation, Incorporated, is governed by bylaws which were
approved by its Board of Directors on October 26, 1978. Subsequent amendments were made on
November 5, 1990. It has policies guiding the acceptance, stewardship, and valuation of gifts. The
Troy State University System Development Coordinating Council developed policies for private
fund raising coordination which were approved by the Chancellor on November 13, 1990. The
Advancement Office has procedures and forms for implementing and documenting these policies.
Fundraising is not conducted at the regional levels of University College Regions—Atlantic,
Florida/Western, Pacific, and Southeast. These activities are part of the centralized activities
initiated on the Troy campus.
6-17
6.3 FINANCIAL RESOURCES
The University is committed to the effective and efficient allocation of financial resources to
fulfill the purpose of the University. Official policies associated with inventory control, refunds,
cashiering, investment, and insurance are an integral part of the proper administration and control
of University resources. The following items contribute to the University's performance:




Sufficiency of the resources
Organization of the financial administration
Budget process (including planning and control)
Reporting and auditing of the resources
6.3.1 Financial Resources
6.3.1.1 Because the financial resources of an institution influence the
quality of its educational program, each institution must possess
sufficient financial resources to support all of its programs.
6.3.1.2 The recent financial history of the institution must also demonstrate
the financial stability essential to its successful operation.
The annual financial statements provide information useful for evaluating the University's
financial condition. Table 6.3.1-1 reports prior unrestricted and restricted current fund revenues by
source for Troy campus, Phenix City, and University College combined as reported in the Fact
Book issued by the Office of Institutional Research, Planning, and Effectiveness. Table 6.3.1-2
presents prior expenditures by function for the Troy campus, Phenix City, and University College
combined as reported in the Fact Book. Tables 6.3.1-3 through 6.3.1-8 present prior unrestricted
and restricted current funds revenues by source and expenditures by function for the Troy campus,
Phenix City, and University College separately as reported in the Fact Book..
The financial resources of the University have been sufficient to support all of its programs.
Although the Alabama Commission on Higher Education formula-based recommendation may be
presented to the Legislature, the formula rarely is used to determine state appropriations. State
revenues are determined by the Alabama State Legislature. These funds received as well as other
revenue generated have been adequate to fund the University's programs. It should be noted that
generally less than 25% of the University's funds are derived from State monies with the remainder
of funds primarily generated through tuition and fees. The financial history of the University
demonstrates the fiscal stability of the University requisite to its successful operations.
NOTE: The Governmental Accounting Standards Board (GASB) significantly overhauled the
financial reporting requirements for colleges and universities with the issuance of GASB statement
No. 34, entitled "Basic Financial Statements---and Management's Discussion and Analysis--for
State and Local Governments," and statement No. 35, entitled "Basic Financial Statements---and
Management's Discussion and Analysis--for Public Colleges and Universities." Because the
University is included in the State of Alabama's financial statements, the Department of Examiners
of Public Accounts is required to follow this new reporting guidance. Consequently, the University
6-18
must also make the conversion to the new reporting standards. Because of these changes, the
tables below include data through 2001 to allow appropriate comparisons across the years 1993
through 2001. The Examiners’ report for the fiscal year ending September 30, 2002, will be an
addendum to this report as soon as the Examiners complete their audit. The Chancellor submitted
a letter (dated February 12, 2002) to the State's Chief Examiner (Ronald L. Jones) formally
requesting that the University's audit for the fiscal year ending September 30, 2002 be completed
and reported no later than February 1, 2003. The Chancellor also submitted a letter (dated
September 19, 2002) formally requesting the development of a Standard Review Report for
presentation to the SACS-COC visiting team during the February 2003 visit. In addition, the
internally prepared Annual Financial Statements for the fiscal year ending September 30, 2002, will
be available. Importantly, the GASB changes affected the timing of only the most recent
Examiners’ report. The Examiners’ financial statement audit for all other years covered by the
reaffirmation has been completed.
6-19
TABLE 6.3.1-1
Troy State University (Troy Campus, TSUPC, and University College)
Unrestricted and Restricted Current Funds
Revenues by Source (in thousands)
For the Years Ended September 30, 1993-2001
Source
Tuition & Fees
1993
$21,928.51
1994
$24,748.20
1995
$26,259.66
1996
$26,482.42
1997
$29,632.03
1998
$31,969.89
1999
$35,566.37
2000
$40,688.72
2001
$42,969.88
16,565.44
17,383.69
19,522.24
19,049.72
19,049.72
19,535.05
20,517.87
22,095.26
21,997.79
Federal Grants
4,966.36
4,337.82
5,682.85
6,215.89
5,107.29
5,825.30
7,320.33
6,471.52
7,627.49
State Grants
1,526.06
3,000.75
2,863.35
2,859.60
2,923.41
2,868.66
3,321.72
4,230.97
3,995.14
Other Grants &
Contracts
884.41
728.32
1,005.94
1,004.89
2,014.85
2,098.23
1,874.06
1,630.89
1,788.38
Athletics
417.55
500.37
890.30
1,139.47
1,101.39
830.36
1,529.17
1,506.80
1,357.65
State Appropriations
Sale of Property
Other Revenue
332.89
1,034.99
1,784.73
9,994.43
3,275.99
Other Additions
2,597.89
3,028.13
2,818.46
2,464.87
2,658.96
1,727.52
160.01
92.26
409.05
390.18
Total Educational &
General
Auxiliary Enterprises
$47,593.32
$52,482.88
$66,118.77
$60,027.98
$64,154.10
$66,315.63
$73,040.24
$79,498.11
$83,118.31
7,813.33
8,207.58
8,554.85
8,010.78
8,337.65
8,336.09
8,613.66
7,574.51
8,060.40
Total Revenues
$55,406.65
$60,690.46
$74,773.62
$68,038.76
$72,491.75
$74,651.72
$81,653.90
$87,072.62
$91,178.71
6-20
TABLE 6.3.1-2
Troy State University (Troy Campus, TSUPC, and University College)
Unrestricted and Restricted Current Funds
Expenditures by Function (in thousands)
For the Years Ended September 30, 1993-2001
Function
Instruction
1993
$18,670.80
1994
$19,849.51
1995
$21,370.99
1996
$22,445.39
1997
$24,097.17
1998
$24,833.67
1999
$27,013.41
2000
$28,783.96
2001
$30,249.33
Research
68.96
55.90
86.19
135.57
121.25
89.02
32.71
88.20
274.28
Public Service
2,972.95
4,114.51
3,886.61
3,690.88
3,483.52
3,576.36
4,020.14
4,932.65
5,141.41
Academic Support
1,763.04
1,705.54
2,156.13
2,424.05
2,830.90
2,649.42
3,238.02
3,446.20
3,745.28
Athletics
1,850,38
2,264.05
2,630.15
2,634.92
2,888.07
2,607.54
3,003.27
3,221.94
3,392.93
Libraries
1,719.53
1,909.12
2,242.41
2,366.51
2,212.93
2,277.09
2,261.04
2,076.72
2,068.12
Student Services
3,200.00
3,323.50
3,570.94
3,501.11
3,054.13
3,625.24
3,604.10
3,617.86
3,845.81
Institutional Support
6,293.06
7,242.19
8,079.68
8,147.21
10,369.34
9,494.74
10,584.89
11,534.72
12,977.15
Op. & Main. of Plant
3,524.25
3,661.86
4,300.78
4,593.02
4,463.74
4,571.68
5,240.48
5,358.08
6,291.28
Scholarship
6,373.19
6,453.74
8,274.63
9,263.04
8,634.40
9,513.62
10,915.86
9,646.37
10,747.26
$46,436.16
796.62
$50,580.92
924.82
$56,598.51
3,436.53
$59,201.70
885.08
$62,155.46
1,319.96
$63,238.38
1,058.58
$69,913.92
1,796.53
$72,706.69
1,843.19
$78,732.86
1,673.06
658.91
1,490,51
6,712.49
313.08
1,083.02
2,975.77
2,035.49
5,612.19
4,287.28
$47,891.69
6,984.32
$52,994.25
7,090.08
$66,747.53
7,096.08
$60,399.86
7,120.26
$64,558.43
7,315.14
$67,272.73
7,292.75
$73,745.94
7,593.16
$80,162.06
6,549.04
$84,693.19
6,408.05
440.40
553.41
501.42
506.26
513.92
34.58
214.53
25.09
0
200.00
20.00
61.33
16.08
$74,545.03
$68,046.38
$86,797.52
$91,117.32
Total Educational & General
Mandatory Transfers
Nonmandatory Transfers
Total Educational & General
Auxiliary Enterprises (net)
Mandatory Transfers
Nonmandatory Transfers
Total Expenditures
75.00
$55,391.41
$60,639.74
$72,387.49
$74,600.06
$81,553.63
6-21
TABLE 6.3.1-3
Troy State University (Troy Campus)
Unrestricted and Restricted Current Funds
Revenues by Source (in thousands)
For the Years Ended September 30, 1993-2001
Source
Tuition & Fees
$9,688.02
1993
$11,262.47
1994
$12,010.35
1995
$12,429.50
1996
$12,939.01
1997
$13,315.83
1998
$14,614.66
1999
$15,954.09
2000
$16,794.69
State Appropriations
15,421.32
16,181.93
18,128.66
18,077.55
18,077.55
18,548.31
19,484.01
20,999.41
20,905.61
Federal Grants
4,966.36
3,647.49
4,853.73
5,266.14
3,890.49
4,565.16
5,697.15
5,042.14
5,753.67
State Grants
1,501.86
3,000.75
2,763.35
2,859.60
2,293.41
2,868.66
3,321.72
4,230.97
3,989.86
Other Grants &
Contracts
884.41
728.32
978.10
972.16
1,923.14
2,081.67
1,859.06
1,575.89
1,746.36
Athletics
417.55
500.37
890.30
1,139.47
1,101.39
830.36
1,529.17
1,506.80
1,357.65
Sale of Property
Other Revenue
2001
332.89
1,182.33
1,595.20
9,712.95
2,841.10
Other Additions
2,199.64
2,664.97
2,515.77
2,144.38
2,176.28
1,727.52
160.01
92.26
409.05
390.18
Total Educational
& General
Auxiliary Enterprises
$37,061.85
$36,915.53
$49,367.50
$43,585.52
$44,782.15
$45,034.97
$49,113.80
$51,862.74
$53,447.20
5,830.11
6,190.86
6,596.10
6,036.99
6,206.62
6,240.14
6,689.39
6,037.54
6,758.13
Total Revenues
$39,981.96
$43,105.39
$55,963.60
$49,622.51
$50,988.77
$51,275.11
$55,803.20
$57,900.28
$60,205.32
6-22
TABLE 6.3.1-4
Troy State University (Troy Campus)
Unrestricted and Restricted Current Funds
Expenditures by Function (in thousands)
For the Years Ended September 30, 1993-2001
Function
Instruction
1993
$11,882.30
1994
$12,895.18
1995
$13,926.66
1996
$14,519.72
1997
$14,989.25
1998
$15,566.07
1999
$16,693.82
2000
$17,535.45
2001
$17,992.07
68.96
47.90
78.19
127.61
107.70
86.53
24.71
88.20
274.28
Public Service
2,944.23
4,114.51
3,722.64
3,672.08
3,483.52
3,576.36
4,020.14
4,932.65
5,141.41
Academic Support
1,639.45
899.05
1,268.95
1,454.84
1,703.63
1,427.21
1,743.85
1,424.33
1,500.13
Athletics
1,850.38
2,264.05
2,630.15
2,634.92
2,888.07
2,607.54
3,003.27
3,221.94
3,392.93
Libraries
1,284.52
1,457.68
1,489.23
1,720.20
1,503.26
1,604.98
1,692.82
1,646.27
1,529.12
Student Services
2,219.26
2,430.95
2,736.01
2,670.37
2,444.95
2,549.25
2,513.52
2,600.14
2,784.93
Institutional Support
1,233.50
2,680.21
3,196.89
3,145.86
3,736.91
3,434.42
3,908.66
4,101.11
4,342.83
Op. & Main. of Plant
3,524.25
3,661.86
4,146.14
4,441.64
4,306.78
4,422.35
4,993.74
5,136.68
6,036.50
Scholarship
6,373.19
5,935.87
7,710.85
8,519.87
7,609.14
8,325.07
9,398.01
8,466.70
9,205.72
$33,020.04
$36,386.26
$40,905.71
$42,907.11
$42,773.22
$43,599.78
$47,992.53
$49,153.48
$52,199.92
Mandatory Transfers
796.62
876.15
3,337.88
788.72
1,221.37
962.74
1,698.57
1,720.33
1,485.56
Nonmandatory Transfers
433.91
140.51
5,820.49
313.08
1,083.02
1,319.77
214.49
1,593.19
1,239.28
$34,250.57
$37,402.92
$50,064.08
$44,008.91
$45,077.60
$45,882.29
$49,905.60
$52,467.00
$54,924.76
4,968.67
5,129.49
5,070.66
5,060.37
5,233.89
5,308.21
5,583.99
5,121.62
5,204.86
440.40
553.41
501.42
506.51
513.92
34.58
214.53
25.09
0
200.00
20.00
16.08
16.08
$55,836.16
$49,595.79
$57,629.79
$60,145.70
Research
Total Educational & General
Total Educational & General
Auxiliary Enterprises (net)
Mandatory Transfers
Nonmandatory Transfers
Total Expenditures
75.00
$39,734.64
$43,086.82
$50,825.41
$51,225.08
$55,704.12
6-23
TABLE 6.3.1-5
Troy State University (Phenix City)
Unrestricted and Restricted Current Funds
Revenues by Source (in thousands)
For the Years Ended September 30, 1993-2001
Source
Tuition & Fees
State Appropriations
1993
$1,039.96
1994
$1,490.61
1995
$2,016.49
1996
$2,049.36
1997
$2,231.37
1998
$3,159.71
1999
$4,038.02
2000
$3,885.09
2001
$3,951.25
914.64
959.69
1,125.58
972.17
972.17
986.74
1,033.85
1,095.85
1,092.18
67.00
118.15
124.79
184.42
227.84
301.61
290.78
377.87
Federal Grants
State Grants
24.20
5.28
Other Grants & Contracts
27.85
32.74
91.71
1.57
40.00
42.02
Athletics
Sale of Property
Other Revenue
26.50
73.58
138.97
122.32
35.90
148.28
70.54
46.72
39.97
Total Educational &
General
Auxiliary Enterprises
$2,005.30
$2,590.88
$3,428.04
$3,301.35
$3,515.57
$4,524.14
$5,444.03
$5,358.44
$5,508.56
598.62
656.99
618.14
608.40
647.22
784.30
769.49
731.55
797.91
Total Revenues
$2,603.92
$3,247.87
$4,046.18
$3,309.75
$4,162.80
$5,308.44
$6,231.52
$6,089.99
$6,306.47
Other Additions
6-24
TABLE 6.3.1-6
Troy State University (Phenix City)
Unrestricted and Restricted Current Funds
Expenditures by Function (in thousands)
For the Years Ended September 30, 1993-2001
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational & General
Mandatory Transfers
Nonmandatory Transfers
Total Educational & General
Auxiliary Enterprises (net)
Mandatory Transfers
Nonmandatory Transfers
Total Expenditures
1993
$908.00
138.19
262.73
590.94
1994
$1,117.13
1995
$1,489.49
1996
$1,540.84
1997
$1,593.95
1998
$1,657.33
1999
$1,997.24
2000
$2,033.05
2001
$2,209.10
90.78
163.98
137.00
18.80
215.53
298.07
354.60
392.63
339.89
363.88
162.53
244.63
622.71
154.64
135.44
$2,820.34
98.65
143.56
224.95
635.34
151.38
242.14
$3,172.54
96.36
150.78
298.13
686.56
156.96
241.08
$3,425.52
98.59
$3,116.99
638.69
$3,268.90
586.82
$3,524.11
600.92
128.50
277.73
628.05
149.33
276.92
$3,472.46
95.84
1,037.00
$4,605.30
702.53
125.52
349.99
708.78
246.74
345.52
$4,166.43
97.95
1,182.00
$5,446.38
766.28
130.47
331.86
809.09
221.40
383.75
$4,249.52
122.85
1,100.00
$5,472.37
613.58
130.13
346.48
1,029.52
254.77
514.36
$4,848.23
187.50
548.00
$5,583.73
722.58
$4,045.75
$3,855.72
$4,125.03
$5,307.83
$6,212.66
$6,085.95
$6,306.31
138.15
272.07
615.79
225.00
$2,124.86
476.33
120.87
$2,354.79
48.67
250.00
$2,652.46
562.62
$2,601.19
$3,214.08
$1,899.86
6-25
TABLE 6.3.1-7
Troy State University (University College)
Unrestricted and Restricted Current Funds
Revenues by Source (in thousands)
For the Years Ended September 30, 1993-2001
Source
Tuition & Fees
State Appropriations
1993
$11,200.52
1994
$11,996.12
1995
$12,202.82
229.49
243.07
266.94
622.33
710.96
Federal Grants
1996
$12,003.56
1997
$14,461.65
1998
$15,494.35
1999
$16,913.69
2000
$20,849.54
2001
$22,223.89
824.96
1,032.38
1,032.30
1,321.57
1,138.61
1,495.95
15.00
15.00
15.00
0
State Grants
Other Grants & Contracts
Athletics
Sale of Property
Other Revenue
96.16
114.95
142.50
312.58
362.34
214.89
232.14
273.77
442.72
$11,526.59
$12,977.47
$13,323.22
$13,141.10
$15,856.38
$16,756.54
$18,482.40
$22,276.92
$24,162.56
1,384.59
1,361.73
1,340.60
1,365.40
1,483.80
1,311.56
1,154.78
805.41
504.63
$12,910.76
$14,338.20
$14,663.82
$14,506.50
$17,340.18
$18,068.19
$19,637.18
$23,082.34
$24,666.92
Other Additions
Total Educational & General
Auxiliary Enterprises
Total Revenues
6-26
TABLE 6.3.1-8
Troy State University [University College]
Unrestricted and Restricted Current Funds
Expenditures by Function (in thousands)
For the Years Ended September 30, 1993-2001
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational & General
1993
$5,880.51
1994
$5,835.20
8.00
1995
$5,594.84
8.00
1996
$6,384.84
7.95
1997
$7,513.97
13.55
1998
$7,610.26
2.49
1999
$8,322.35
8.00
2000
$9,215.45
2001
$10,048.17
28.71
123.59
715.71
750.17
753.68
829.20
867.62
1,101.55
1,681.98
1,881.27
296.82
718.01
4,468.62
313.29
620.48
3,947.19
590.65
4,260.08
502.75
605.79
4,366.00
558.88
311.05
5,945.87
543.61
798.25
5,432.27
442.70
740.59
5,967.74
299.97
685.86
6,624.52
408.88
714.41
7,604.81
$11,516.26
397.00
$11,839.87
428.33
$12,582.38
501.03
$13,122.04
784.19
$15,956.72
911.63
$16,166.13
1,172.34
$17,754.96
795.91
$19,303.69
1,027.17
$21,684.71
$11,516.26
1,539.32
1,100.00
$12,939.87
1,398.97
694.00
$13,276.38
1,386.73
$13,122.04
1,473.07
$15,956.72
1,480.34
619.00
$16,785.13
1,282.02
639.00
$18,393.96
1,242.89
2,919.00
$22,222.69
813.83
2,500.00
$24,184.71
480.60
$13,055.58
$14,338.84
$14,663.11
$14,595.11
$17,437.06
$18,067.15
$19,636.85
45.25
$23,081.78
Mandatory Transfers
Nonmandatory Transfers
Total Educational & General
Auxiliary Enterprises (net)
Mandatory Transfers
Nonmandatory Transfers
Total Expenditures
0
$24,665.31
6-27
Restricted and unrestricted revenues are classified by source. Tuition and fees include
tuition (in-state and out-of-state) charges and various fees paid by students (undergraduate,
graduate, post-degree, transient, course audits, and continuing education). Fees include
application, registration, technology, course/laboratory, schedule changes, withdrawal, diploma,
transcripts, and testing.
In addition to tuition and fees, revenues are also derived from state appropriations as well
as state, federal; and private grants and contracts. Federal grants include amounts of financial aid
for students, e.g., Pell Grants, which are necessarily restricted. Other revenues are derived from a
variety of sources such as those listed below:
















Athletics guarantees, gate receipts, programs, concessions, sponsorships,
broadcasting rights, merchandise, etc.
University Store
Library Fines
Traffic Permits
Traffic and Parking Penalties
U.S. Air Force ROTC
U.S. Army ROTC
IMPACT (Pre-College Orientation)
Natatorium
Trojan Oaks Golf Course
Housing
Adams Center Activities
Band Camp
Theatre
Dining
Pageants and Contests
(Note: Indirect costs derived from the operation of the branch campuses are included as revenue
from other sources.)
Restricted and unrestricted expenditures are classified by function. Instruction includes
expenditures for salaries and benefits for full-time, part-time, and summer/interim faculty.
Instruction expenditures include departmental expenditures such as workshops, equipment,
equipment rental, repairs, service, and maintenance of equipment, supplies, printing, postage,
travel, and telephone. Public service expenditures support a variety of endeavors, including the
following:






TSU Public Radio
TSU Public Television
In-Service Education Center
Center of Business and Economic Services
Small Business Development Center
Procurement Technical Assistance Center
6-28




Defense Economic Transition Assistance Program
Alabama Department of Insurance, Producer Licensing Testing
Alabama Department of Rehabilitation Services Cooperative Programs
SEAL Network
Academic support includes data processing, academic records, instructional support services,
academic deans and directors, and libraries. Student services expenditures include the Student
Government Association, Adams Center, Intramurals, Placement, Counseling, Adaptive Needs,
Enrollment Services, Financial Aid, Health Center, University Police, Housing, and other student
activities such as publications (Tropolitan and Palladium), campus organizations, and other activity.
Institutional support includes the salaries, benefits, and expenditures of the following offices:







Chancellor
Vice Chancellor for Administration
Provost
Vice President for Institutional Advancement
Vice President for Financial Affairs
Vice President for Institutional Research, Planning, and Effectiveness
University Attorney
Also included in institutional support are expenditures related to general administration, Business
Office, Human Resources, University Police, Purchasing and Inventory Control, Accounts Payable,
Creative Services, Physical Plant, Alumni Affairs, University Relations, and Institutional
Development.
The auxiliary enterprise revenues and expenditures relate to the housing, dining service,
University Store, post office, health center, conference services, Trojan Oaks Golf Course, and
telecommunications. It should be noted that there exists minimal auxiliary enterprise activity
associated with University College. For example, the Southeast and Florida/Western regions do
not operate auxiliary enterprises that have a significant impact on the University. Based on the
most recent financial information presented in Tables 6.3.1-1 through 6.3.1-8, auxiliary enterprise
revenue from University College represents less than ten-percent of the total.
The descriptions for buildings/capital improvements related to the Troy campus since the
last self-study are presented in Table 6.3.1-9. Space for University College primarily is provided
by the military host for each site and, as such, University College has minimal expenditures for
buildings and capital improvements.
6-29
TABLE 6.3.1-9
Troy State University
Troy Campus
Buildings and Capital Improvements
Descriptions

The completion of a Science Center.

The new Hawkins-Adams-Long Hall of Honor, which serves as a special meeting facility and houses the
National Band Association Hall of Fame of Distinguished Band Conductors.

Enhanced athletics facilities, including an expanded Memorial Stadium containing Richard M. Scrushy
Field, an expanded Trojan Arena, and renovated Tine Davis Fieldhouse.

The renovation of Pace Hall into the Rotary International Living and Learning Center, a residence hall
where international and U.S. students live together.

The renovation/development of five new sorority houses and a continuing education center (former
Baptist Children's Home Property).

The renovation of the Trojan Center Adams Student Center to include a food court—with Chick-Fil-A and
other major franchise restaurants—and a student fitness center.

The new athletic facilities for tennis and softball, including, tennis courts, softball field, and fieldhouse.

Renovation of baseball facilities.

The renovation of the Stewart Dining Hall.

The renovation of a part of Smith Hall to include the new 1,000-seat Claudia Crosby Theater.

The renovation of the University's oldest residence hall, Shackelford Hall, into a modern facility with
suites instead of traditional dorm rooms.
The Fund Balance amounts for Restricted and Unrestricted Current Funds for previous
years are given in Table 6.3.1-10 (as reported in the "Report on the Troy State University
System" issued by the State of Alabama's Department of Examiners of Public Accounts).
6-30
TABLE 6.3.1-10
Troy State University
Troy Campus, Phenix City, and University College
Unrestricted and Restricted Current Funds--Fund Balance
For the Years Ended September 30, 1993-2001
Year
Unrestricted
Restricted
1993
$7,235,616
$5,724
1994
6,366,992
5,135
1995
6,404,319
115,153
1996
5,999,010
105,700
1997
6,191,893
117,103
1998
6,094,039
166,617
1999
6,162,587
198,338
2000
6,266,829
367,655
2001
6,489.412
367,638
Tables 6.3.1-11 through 6.3.1-14 present the expenditures per FTE (full-time equivalent)
student for the most recent years (as reported in the Fact Book issued by the Office of Institutional
Research, Planning, and Effectiveness). The expenditures by function are given as a percent of
total expenditures in Tables 6.3.1-15 through 6.3.1-18 (as reported in the Fact Book issued by the
Office of Institutional Research, Planning, and Effectiveness).
6-31
TABLE 6.3.1-11
Troy State University (Troy Campus, TSUPC, and University College)
Unrestricted and Restricted Current Funds
Expenditures per FTE Student (based on the SACS-COC method for calculating FTE)
For the Years Ended September 30, 1993-2001
Function
(FTE)
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Education &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Education &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
(9,433)
$1,979
7
315
187
196
182
339
667
374
676
$4,922
1994
(9,157)
$2,167
6
449
186
247
208
363
791
400
705
$5,523
1995
(9,027)
$2,367
9
431
239
291
248
396
895
476
917
$6,269
1996
(8,622)
$2,603
15
428
281
306
274
406
945
533
1,074
$6,866
1997
(9,707)
$2,482
12
359
292
298
228
315
1,068
460
890
$6,403
1998
(10,194)
$2,436
9
351
260
256
223
356
931
448
933
$6,203
1999
(9,263)
$2,916
4
434
350
324
244
389
1,143
566
1,178
$7,548
2000
(9,541)
$3,017
9
517
361
338
218
379
1,209
562
1,011
$7,620
2001
(10,196)
$2,967
27
504
367
333
203
377
1,273
617
1,054
$7,722
84
70
101
163
381
744
103
36
136
112
104
292
194
220
193
588
164
420
$5,076
$5,787
$7,394
$7,005
$6,651
$6,599
$7,961
$8,402
$8,307
740
774
786
826
754
715
820
686
628
47
8
60
55
22
59
2
53
3
23
3
6
2
$5,871
$6,622
$8,257
$7,892
$7,457
$9,097
$8,937
$7,318
$8,804
6-32
TABLE 6.3.1-12
Troy State University (Troy Campus)
Unrestricted and Restricted Current Funds
Expenditures per FTE Student
For the Years Ended September 30, 1993-2001
Function
(FTE)
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Education &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Education &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
(5,097)
$2,331
14
578
322
363
252
435
242
691
1,250
$6,478
1994
(5,098)
$2,530
9
807
176
444
286
477
526
718
1,164
$7,137
1995
(5,042)
$2,762
15
738
252
522
295
543
634
822
1,529
$8,112
1996
(4,905)
$2,960
26
749
297
537
351
544
641
905
1,737
$8,748
1997
(4,916)
$3,049
22
709
347
587
306
497
760
876
1,548
$8,701
1998
(4,765)
$3,267
18
751
300
547
337
535
721
928
1,747
$9,150
1999
(4,519)
$3,694
5
890
386
665
375
556
865
1,105
2,080
$10,620
2000
(4,599)
$3,813
19
1,073
310
701
358
565
892
1,117
1,841
$10,688
2001
(4,733)
$3,801
58
1,086
317
717
323
588
918
1,275
1,945
$11,029
156
85
172
28
662
1,154
161
64
248
220
202
277
376
47
374
346
314
262
$6,719
$7,337
$9,928
$8,972
$9,170
$9,629
$11,044
$11,408
$11,605
975
1,006
1,006
1,032
1,065
1,114
1,236
1,114
1,100
86
15
109
99
40
103
4
105
7
47
5
3
3
$7,795
$8,452
$11,073
$10,111
$10,339
$12,531
$12,708
$10,750
$12,327
6-33
TABLE 6.3.1-13
Troy State University (Phenix City)
Unrestricted and Restricted Current Funds
Expenditures per FTE Student
For the Years Ended September 30, 1993-2001
Function
(FTE)
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Education &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Education &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
(727)
$1,250
1994
(701)
$1,594
129
190
361
813
$2,614
310
$2,924
655
$3,579
197
388
877
172
$3,358
69
357
$3,784
803
$4,586
1995
(775)
$1,922
1996
(612)
$2,518
1997
(868)
$1,836
1998
(1,118)
$1,482
1999
(886)
$2,254
2000
(919)
$2,212
2001
212
177
31
352
343
317
443
370
376
210
316
803
200
175
$4,015
235
368
1,038
247
396
$5,184
174
343
791
181
278
$3,946
115
248
562
134
248
$3,106
142
395
800
278
390
$4,703
142
361
880
241
418
$4,624
135
358
1,065
263
532
$5,014
127
255
157
114
86
928
111
1,334
134
1,197
194
567
$4,397
$5,341
$4,060
$4,119
$6,147
$5,955
$5,774
824
959
692
628
865
668
747
$5,221
$6,300
$4,752
$4,748
$7,012
$6,622
$6,522
(967)
$2,284
6-34
TABLE 6.3.1-14
Troy State University (University College)
Unrestricted and Restricted Current Funds
Expenditures per FTE Student
For the Years Ended September 30, 1993-2001
Function
(FTE)
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Education &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Education &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
(3,609)
$1,629
1994
(3,358)
$1,738
2
1995
(3,210)
$1,855
3
1996
(3,105)
$2,056
3
1997
(3,923)
$1,915
3
1998
(4,311)
$1,765
1
1999
(3,858)
$2,157
2
2000
(4,023)
$2,291
2001
(4,496)
$2,235
8
34
213
234
242
211
201
286
418
418
82
199
1,238
93
185
1,176
184
184
1,327
162
195
1,406
142
79
1,516
126
185
1,260
115
192
1,547
75
170
1,647
91
159
1,691
$3,190
119
$3,526
133
$3,920
161
$4,226
200
$4,067
211
$3,750
304
$4,602
198
$4,798
228
$4,823
328
216
144
166
726
556
$3,190
$3,854
$4,136
$4,226
$4,067
$3,894
$4,768
$5,524
$5,379
427
416
432
474
377
297
322
202
107
11
$3,617
$4,270
$4,568
$4,701
$4,445
$4,191
$5,090
$5,737
$5,486
6-35
TABLE 6.3.1-15
Troy State University (Troy Campus, TSUPC, and University College)
Unrestricted and Restricted Current Funds Expenditures
As a Percentage of Total
For the Years Ended September 30, 1993-2001
Function
1993
1994
1995
1996
1997
1998
1999
2000
2001
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Educational &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
33.71%
.12
5.37
3.18
3.34
3.10
5.78
11.36
6.36
11.51
83.83%
32.73%
.09
6.78
2.81
3.73
3.15
5.48
11.94
6.04
10.64
83.41%
28.67%
.11
5.22
2.89
3.52
3.00
4.80
10.84
5.76
11.11
75.92%
32.98%
.20
5.42
3.56
3.87
3.48
5.15
11.97
6.75
13.61
87.00%
33.28%
.17
4.81
3.91
3.99
3.06
4.22
14.32
6.17
11.93
85.86%
33.29%
.12
4.79
3.55
3.50
3.05
4.86
12.73
6.13
12.75
84.77%
33.12%
.04
4.93
3.97
3.68
2.77
4.42
12.98
6.43
13.38
85.73%
33.16%
.10
5.68
3.97
3.71
2.39
4.17
13.29
6.17
11.11
83.77%
33.20%
.30
5.64
4.11
3.72
2.27
4.22
14.24
6.91
11.80
86.41%
1.44
1.19
1.52
2.46
4.61
9.01
1.30
.46
1.82
1.50
1.42
3.99
2.20
2.50
2.12
6.47
1.83
4.71
86.46
87.39
89.55
88.76
89.18
90.18%
90.43%
92.36%
92.95%
12.61
11.69
9.52
10.46
10.11
9.77
9.31
7.55
7.03
.79
.14
.91
.67
.27
.74
.03
.71
.05
.26
.03
.07
.02
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
6-36
TABLE 6.3.1-16
Troy State University (Troy Campus)
Unrestricted and Restricted Current Funds Expenditures
As a Percentage of Total
For the Years Ended September 30, 1993-2001
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Educational &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
29.90%
.17
7.41
4.12
4.66
3.23
5.58
3.10
8.87
16.04
83.10%
1994
29.93%
.11
9.55
2.09
5.25
3.38
5.64
6.22
8.50
13.77
84.45%
1995
24.94%
.14
6.66
2.28
4.71
2.66
4.90
5.73
7.42
13.81
73.26%
1996
29.28%
.26
7.40
2.93
5.31
3.47
5.38
6.34
8.96
17.18
86.51%
1997
29.49%
.21
6.85
3.36
5.68
2.96
4.81
7.35
8.48
14.97
84.16%
1998
30.39%
.17
6.98
2.79
5.09
3.13
4.98
6.70
8.63
16.25
85.11%
1999
29.97%
.04
7.22
3.13
5.39
3.04
4.51
7.02
8.96
16.87
86.16%
2000
30.43%
.01
8.56
2.47
5.59
2.86
4.51
7.12
8.91
14.69
85.29%
2001
29.91%
.46
8.55
2.49
5.64
2.54
4.63
7.22
10.04
15.31
86.79%
2.00
1.09
2.03
.32
5.98
10.42
1.59
.63
2.40
2.13
1.88
2.58
3.05
.39
2.99
2.76
2.47
2.06
86.19%
86.80%
89.66%
88.74%
88.69%
89.57%
89.59%
91.04%
91.32
12.50
11.90
9.09
10.20
10.30
10.36
10.02
8.89
8.65
1.11
.19
1.28
.89
.36
1.02
.04
1.01
.07
.39
.04
.03
.03
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
6-37
TABLE 6.3.1-17
Troy State University (Phenix City)
Unrestricted and Restricted Current Funds Expenditures
As a Percentage of Total
For the Years Ended September 30, 1993-2001
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Educational &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
34.91%
1994
34.75%
1995
36.81%
1996
39.96%
1997
38.64%
1998
31.22%
1999
32.15%
2000
33.41%
2001
35.03%
2.80
4.06
3.39
.49
5.59
7.23
6.68
6.32
5.58
5.77
3.72
5.83
16.48
3.93
6.28
82.28%
3.66
7.23
16.64
3.80
5.84
83.04%
2.42
5.23
11.83
2.81
5.22
65.41%
2.02
5.63
11.41
3.97
5.56
67.06%
2.17
5.45
13.29
3.64
6.31
69.82%
2.06
5.49
16.33
4.04
8.16
76.88%
5.31
10.07
22.68
4.29
8.46
19.14
73.01%
3.73
73.24%
4.02
6.05
15.38
3.83
3.35
76.90%
1.49
7.78
2.43
4.88
2.50
2.39
8.65
1.81
19.54
1.58
19.03
2.02
18.07
2.97
8.69
81.66%
82.51%
84.22%
84.78%
85.43%
86.76%
87.67%
89.90%
88.54%
18.30
17.49
15.78
15.22
14.57
13.24
12.33
10.08
11.46
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
6-38
TABLE 6.3.1-18
Troy State University (University College)
Unrestricted and Restricted Current Funds Expenditures
As a Percentage of Total
For the Years Ended September 30, 1993-2001
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Op. & Main. of Plant
Scholarship
Total Educational &
General
Mandatory Transfers
Nonmandatory
Transfers
Total Educational &
General
Auxiliary Enterprises
(net)
Mandatory Transfers
Nonmandatory
Transfers
Total Expenditures
1993
45.04%
1994
40.70%
.06
1995
40.61%
.07
1996
43.75%
.05
1997
43.09%
.08
1998
42.12%
.01
1999
42.38%
.04
2000
39.93%
2001
40.74%
.21
.82
4.99
5.12
5.16
4.75
4.80
5.61
7.29
7.63
1.97
5.50
29.68
2.18
4.32
27.53
4.03
4.03
29.05
3.44
4.15
29.91
3.21
1.78
34.10
3.01
4.42
30.07
2.25
3.77
30.39
1.30
2.97
28.70
1.66
2.90
30.83
88.21%
2.77
82.57%
2.91
85.81%
3.43
89.91%
4.50
91.51%
5.05
89.48%
5.97
90.42%
3.45
83.63%
4.16
87.92%
7.67
4.73
3.43
3.25
12.65
10.14
88.21%
90.24%
90.54%
89.91%
91.51%
92.91%
93.67%
96.28%
98.05%
11.79
9.75
9.46
10.09
8.49
7.09
6.33
3.53
1.95
.20
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
100.00%
6-39
Tables 6.3.1-19A and 6.3.1-19B present a comparison of the University with other
universities with respect to expenditures per FTE student and expenditures by function as a
percentage of total expenditures. The University's financial stability, as compared to other
institutions, may be evaluated using the information in these tables. The expenditure data were
taken from the Fact Books. Table 6.3.1-19C presents a comparison with other universities with
respect to revenues by source as a percentage of total revenues.
The evaluation of the expenditure structure in Table 6.3.1-19A used national and state
benchmarks that were taken from the Southern Regional Education Board's (SREB) publication,
entitled Fact Book on Higher Education (2000/2001). Importantly, the categories used in Tables
6.3.1-19A and 6.3.1-19B were based on the Fact Book issued by the Office of Institutional
Research, Planning, and Effectiveness. Consequently, the national and state benchmarks were not
broken out in the same format and, as such, the benchmarks must be carefully evaluated. The
expenditures for academic support include the expenditures related to libraries, student services,
and institutional support all of which are coded (1) in Table 6-19A. The other expenditures
category includes athletics, auxiliary enterprises, and the other categories coded (2) in Table 619A.
Table 6.3.1-19A reports the combined (Troy campus, TSUPC, and University College)
expenditure structure from 1998 to 2001. In general, the expenditure structure demonstrates very
little fluctuation from year to year. In addition, the expenditures generally are in line with the
national benchmarks. Academic support (24.8%--which includes expenditures for libraries, student
services and institutional support) and scholarship expenditures (11.8%) slightly exceed the
national benchmarks. The expenditures that are slightly below the national benchmark include
instruction and public service. The University's instruction expenditure exceeds the state
benchmark for each year reported.
Based on the Finance Subcommittee Report of the System Strategic Planning Council, the
expenditure structures of the individual components (i.e., Troy Campus, TSUPC and University
College) do not follow that of the combined structure. University College significantly exceeds the
national and state benchmarks for both instruction and institutional support. In addition, University
College is below the benchmarks for student services, scholarship, and auxiliary enterprises.
These data reflect the clientele served by University College and TSUPC. The expenditure
structure for Troy Campus is more indicative of that of the combined structure. That is, the
expenditures for Troy Campus that are slightly below the national benchmark include instruction,
student services, and auxiliary enterprises. The Troy Campus expenditures for scholarship are
significantly higher than the national benchmark.
Table 6.3.1-19B summarizes the Expenditures by Function previously reported in Table
6.3.1-2 and Expenditures per FTE Student previously reported in Table 6.3.1-11 for the 1998 to
2001 period. The comparison across recent periods does not reveal any unusual fluctuations.
Since the Instruction expenditure is the most significant expenditure in Table 6.3.1-19B, a
comparison was made between the University's expenditure per FTE Student and that of national
benchmark provided by a University of Delaware study using data as recent as 2000. This study
reported a national expenditure per Student FTE for both a national benchmark and the University
for 19 disciplines. The sidebar chart in Table 6.3.1-19B from the Delaware study reported the
University's instructional cost and productivity compared to schools based on highest degree. In
6-40
this chart, the University's Expenditures per FTE Student exceeded the national benchmarks in
seven of the 19 disciplines and was within $1,000 (ranging from $211 to $982) of the national
average in five more disciplines. Therefore, in 12 of 19 disciplines, the expenditures per FTE
student were above or within less than $1,000 of the national average.
The evaluation of the revenue structure in Table 6.3.1-19C also used national and state
benchmarks that were taken from the SREB publication, entitled "Fact Book on Higher Education"
(2000/2001). Again, the categories used in Table 6.3.1-19C were based on the Fact Book issued
by the Office of Institutional Research, Planning, and Effectiveness. Consequently, the national and
state benchmarks were not broken out in the same format and, as such, the benchmarks must be
carefully evaluated. The benchmarks published by the SREB do not include revenues related to
athletics and auxiliary enterprises. The benchmarks also grouped state grants and other
grants/contracts which are coded (1) in Table 6.3.1-19C. The revenues that the benchmarks
included as “all other” are coded (2) in the Table.
Table 6.3.1-19C reports the combined (Troy Campus, TSUPC, and University College)
revenue structure from 1998 to 2001. Similar to the expenditure structure, the revenue structure
demonstrates very little fluctuation from year to year. The data in Table 6.3.1-19C indicates that
the revenues generated from tuition and fees significantly exceed both the national and state
benchmarks. However, the revenue derived from state appropriations is significantly less than
those reported by the national and state benchmarks. The revenue derived from federal grants also
is less than those reported for the nation and state levels.
Based on the Finance Subcommittee Report of the System Strategic Planning Council, the
revenue structures of the individual (Troy Campus, TSUPC, and University College) components
do not follow that of the combined structure. In general, the revenue structure demonstrates very
little fluctuation from year to year. Without question, it seems that the University is heavily
dependent on tuition and fees. Based on national and state benchmarks, the University's revenue
structure is heavily tuition driven. That is, the University's revenue structure is similar to that of
private institutions. It is not unusual for tuition and fees, and state appropriations to be the two most
significant revenue sources; however, the University is tuition driven while other comparable
universities rely more heavily on state appropriations. The reason the University appears to be
tuition driven is due to revenues derived from University College components. University College
represents almost half of the tuition and fee revenues; it receives no related state appropriations.
Only the revenue structure for the Troy campus approaches both the national and state
benchmarks.
The strength of the University's revenue structure is the lack of dependence on a single
revenue source. As with most public institutions, the most significant sources include state
appropriations and tuition and fees. The fact that the University's structure does not mirror that
indicated by the benchmarks, is primarily due to the revenue structure of University College. Even
so, it seems that the diversity of the revenue structures across the three components (i.e., Troy
Campus, Phenix City, and University College) also lessens the vulnerabilities to change (i.e.,
decline in enrollment and reduction in State support).
6-41
TABLE 6.3.1-19A
Troy State University
Educational and General Expenditures as a Percentage of Totals
Troy Campus, TSUPC, and University College
Comparison to Other Universities
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Operation/Maint. Of Plant
Scholarship
1998
1999
2000
2001
National
Benchmark
State
Benchmark
$24,836
89
3,576
2,649
2,608
2,277
3,625
9,495
4,572
9,514
33.3%
0.1%
4.8%
3.6%
3.5%
3.1%
4.9%
12.7%
6.1%
12.8%
$27,013
32
4,020
3,238
3,003
2,261
3,604
10,584
5,240
10,915
33.1%
0.1%
4.9%
3.9%
3.7%
2.8%
4.4%
12.9%
6.4%
13.4%
$ 28,784
88
4,933
3,446
3,222
2,077
3,617
11,535
5,358
9,646
33.2%
0.1%
5.7%
4.0%
3.7%
2.4%
4.2%
13.3%
6.2%
11.1%
$30,250
274
5,1423,745
3,393
2,068
3,846
12,977
6,291
10,747
33.2%
0.3%
5.7%
4.1%
3.7%
2.3%
4.2%
14.2%
6.9%
11.8%
36.2%
15.3%
6.3%
23.2% (1)
(2)
(1)
(1)
(1)
7.1%
8.2%
32.8%
17.0%
11.0%
21.5%(1)
(2)
(1)
(1)
(1)
6.7%
6.5%
63,239
84.8%
69,913
85.7%
72,706
83.8%
$78,733
86.4%
96.2%
95.5%
1,058
2,976
1.4%
4.0%
1,796
2,035
2.2%
2.5%
1,843
5,612
2.1%
6.5%
1,673
4,287
1.8%
4.7%
(2)
(2)
(2)
(2)
$67,273
90.2%
$73,745
90.4%
$ 80,161
92.4%
$ 84,693
92.9%
96.2%
95.5%
Auxiliary Enterprises
Other
7,293
34
9.8%
0.0%
7,593
214
9.3%
0.3%
6,549
86
7.5%
0.1%
6,408
16
7.1%
0.0%
(2)
3.8%(2)
(2)
4.5%(2)
Total Expenditures
74,600
100%
81,553
100%
$ 86,796
100%
$91,117
100%
100%
100%
Subtotal Educational & General
Mandatory Transfers
Nonmandatory Transfers
Total Educational & General
(1) The benchmark for academic support includes the expenditures related to libraries, student services and institutional support coded (1).
(2) The benchmark for other expenditures includes the expenditures for athletics, auxiliary enterprises, and other categories coded (2).
6-42
TABLE 6.3.1-19B
Troy State University
Educational and General Expenditures Per FTE
Troy Campus, TSUPC, and University College
Comparison to Other Universities
1998
Per FTE
1999
Per FTE
2000
Per FTE
2001
Per FTE
$24,836
89
3,576
2,649
2,608
2,277
3,625
9,495
4,572
9,514
$2,436
9
351
260
256
223
356
931
448
933
$27,013
32
4,020
3,238
3,003
2,261
3,604
10,584
5,240
10,915
$2,916
4
434
350
324
244
389
1,143
566
1,178
$ 28,784
$
88
$ 4,933
$ 3,446
$ 3,222
$ 2,077
$ 3,617
$ 11,535
$ 5,358
$ 9,646
$3,017
9
517
361
338
218
379
1,209
562
1,011
$30,250
$ 274
$5,142
$3,745
$3,343
$2,068
$3,846
$12,977
$6,291
$10,747
$2,967
27
504
367
333
203
377
1,273
617
1,054
63,239
$6,203
69,913
$7,548
$ 72,706
$7,620
$78,733
$7,722
1,058
2,976
104
292
1,796
2,035
194
220
$ 1,843
$ 5,612
193
588
$1,673
$4,287
164
420
$67,273
$6,599
$73,745
$7,961
$ 80,161
$8,402
$84,693
$8,307
7,293
34
715
3
7,593
214
820
23
$ 6,549
$
86
686
9
$6,408
$ 16
628
2
Function
Instruction
Research
Public Service
Academic Support
Athletics
Libraries
Student Services
Institutional Support
Operation/Maint. Of Plant
Scholarship
Subtotal Educational & General
Mandatory Transfers
Nonmandatory Transfers
Total Educational & General
Auxiliary Enterprises
Other
Discipline
99-00
Delaware*
Nat’l.
Exp/FTE
TSU
Exp/FTE
Communications
CIS
Education
English
Speech
Biology/EAM
Mathematics
Kinesiology& HP
Psychology
Criminal Justice
Public Admin.
$3,164
$3,937
$4,091
$3,478
$3,570
$3,815
$3,330
$4,426
$3,026
$3,576
$4,597
$3,478
$2,357
$2,142
$2,537
$3,874
$2,833
$3,499
$5,325
$2,815
$4,515
$2,935
Soc. Sciences
Fine Arts
Music
Nursing
Business
No Degree:
Foreign Lang.
Military Tech.
Chemistry
$2,562
$4,479
$6,115
$9,112
$4,857
$3,492
$1,025
$4,517
$8,257
$7,499
$4,571
$1,644
$3,164
$5,210
$2,492
$1,758
Total Expenditures
74,600
$7,318
81,553
$8,804 $ 86,796
$9,097 $91,117
$8,937
Instruction expenditure is a significant expenditure, in Table 6.3.1-19B sidebar chart, a comparison was made between the University's expenditure per FTE Student and those of National benchmark
provided by a University of Delaware study using data as recent as 2000. This study reported a national Expenditure per Student FTE for both a national benchmark and the University for nineteen
disciplines with comparison schools determined by highest degree. In this chart, the University's Expenditures per FTE Student exceeded the national benchmarks in seven of the nineteen disciplines
and was within $1,000 (ranging from $211 to $982) of the national average on five more disciplines. For twelve of nineteen disciplines, the Expenditures per FTE Student were above or near the
national averages.
6-43
TABLE 6.3.1-19C
Troy State University
Revenues as a Percentage of Totals
Troy Campus, TSUPC, and University College
Comparison to Other Universities
Source
Tuition & Fees
1998
1999
2000
2001
State
Benchmark
23.0%
$31,969.89
43%
$35,566.37
44%
$40,688.72
47%
$42,969.83
47%
19,535.05
26%
20,517.87
25%
22,095.26
25%
21,997.79
24%
40.2%
40.3%
Federal Grants
5,825.30
8%
7,320.33
9%
6,471.52
7%
7,627.49
8%
13%
17.3%
State Grants
2,868.66
4%
3,321.72
4%
4,230.97
5%
3,995.14
4%
4%(1)
2%
Other-Grants-& Contracts
2,098.23
3%
1,874.06
2%
1,630.89
2%
1,788.38
2%
(1)
830.36
1%
1,529.17
1.8%
1,506.80
1.7%
1,357.65
1.4%
***
***
332.89
0.3%
(2)
(2)
State Appropriations
Athletics
Sale of Property
--
National
Benchmark
26.1%
Other Revenue
3,028.13
4%
2,818.46
3.4%
2,464.87
2.8%
2,658.96
3%
16.7%(2)
17.3%(2)
Other Additions
160.01
0.2%
92.26
0.1%
409.05
0.5%
390.18
0.4%
(2)
(2)
$66,315.63
89.2%
$73,040.24
89.3%
$79,498.11
89.3%
$83,118.31
87.1%
100%
100%
8,336.09
10.8%
8,613.66
10.7%
7,574.51
10.7%
8,060.40
12.9%
***
***
$74,651.72
100%
$81,653.90
100%
$87,072.62
100%
$91,178.71
100%
100%
100%
Total-Educational
& General
Auxiliary Enterprises
Total Revenues
6-44
TABLE 6.3.1-20
Description
Leases Investment in plant
TSU Foundation-car
TSU Foundation-car
TSU Foundation-car
IBM Corp.
IBM Corp.
IBM Corp.
IBM Corp.
IBM Corp.
IBM Corp.
NP Unrestricted current funds
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
NP Unexpended Plant
Al Higher Ed Equip
Parking Deck
NP ROI
Al Higher Ed Equip
Al Higher Ed Equip
NP Investment in Plant
Al Higher Ed Equip
Al Higher Ed Equip
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Sorrell Endowment
Troy Bank & Trust
Parking Deck
BP Unexpended Plant
1999 Revenue Bond
2001 Revenue Bond
BP Retirement of
Indebtedness
1992 Revenue Bond
1996 Revenue Bond
1999 Revenue Bond
2001 Revenue Bond
2001 Revenue Bond
BP Investment in Plant
1992 Revenue Bond
1992 Revenue Bond
1996 Revenue Bond
1999 Revenue Bond
2001 Revenue Bond
2001 Revenue Bond
Total
Troy State University-Schedule of Long-Term Debt
As of September 30, 2001
Original
Date
Maturity Interest
Amount
Indebtedness
Issued
Date
Rate
Retired
11/17/98
12/20/99
11/17/98
7/1/98
11/9/98
7/1/99
8/13/99
7/1/00
7/1/00
12/1/01
1/4/02
12/1/01
6/1/01
11/30/00
7/1/01
8/1/01
7/1/02
7/1/02
9/14/95
9/21/95
11/2/95
1/29/96
2/23/96
10/1/98
6/20/96
6/19/97
Outstanding
Indebtedness
7.00%
8.00
7.00
6.60
6.10
4.25
4.60
5.38
5.64
$20,235
20,478
15,300
148,867
140,924
59,627
26,662
29,643
23,586
$20,235
13,665
15,300
148,867
140,924
59,627
26,662
14,433
11,461
$0.00
6,812
0.00
0.00
0.00
0.00
0.00
15,210
12,124
9/30/05
9/30/05
9/30/05
9/30/05
9/30/05
9/30/05
9/30/05
9/30/05
8.00
8.00
8.00
8.00
8.00
8.00
8.00
8.00
73,095
80,000
115,000
65,014
54,996
42,000
45,000
30,000
36,281
39,709
57,082
32,270
27,298
15,280
22,336
13,929
36,813
40,290
57,917
32,743
27,698
26,719
22,663
16,070
4/1/99
10/1/99
10/1/03
11/1/19
4.23
Varies
73,391
1,183,183
0.00
1,183,183
73,391
0.00
9/8/98
4/1/99
10/1/05
10/1/03
4.47
4.23
7,500
7,387
0.00
0.00
7,500
7,387
9/8/98
4/1/99
6/30/93
9/30/98
6/28/99
6/28/99
1/20/98
10/1/99
10/1/05
10/1/03
9/30/05
9/30/04
9/15/02
9/30/05
1/20/03
11/1/19
4.47
4.23
8.00
8.00
10.36
8.00
5.50
Varies
500,000
411,721
825,000
61,025
111,827
77,613
628,501
316,817
198,447
262,127
409,502
28,997
70,822
24,350
357,094
316,817
301,553
149,594
415,497
32,027
41,004
53,262
271,406
0.00
10/1/99
8/1/01
11/1/19
11/1/21
Varies
Varies
1,708,817
1,210,121
0.00
0.00
1,708,817
1,210,121
8/1/92
5/1/96
10/1/99
8/1/01
8/1/01
11/1/12
11/1/16
11/1/19
11/1/21
11/1/21
Varies
Varies
Varies
Varies
Varies
143,993
196,506
205,506
342,710
53,095
143,993
0.00
0.00
0.00
0.00
0.00
196,506
205,506
342,710
53,095
8/1/92
8/1/92
5/1/96
10/1/99
8/1/01
8/1/01
11/1/12
11/1/12
11/1/16
11/1/19
11/1/21
11/1/21
Varies
Varies
Varies
Varies
Varies
Varies
3,578,750
1,319,611
7,528,493
5,575,676
3,921,972
997,837
$58,831,935
3,578,750
1,319,611
1,835,000
184,156
0.00
0.00
0.00
0.00
5,693,493
5,391,520
3,921,972
997,837
$38,779,579
$20,105,585
6-45
6.3.2 Organization for the Administration of Financial Resources
6.3.2.1 All business and financial functions of the institution should be
centralized under a chief business officer reporting to the chief
executive officer. The organization of the business office must be
consistent with the purpose of the institution, the size of the
institution, and the volume of transaction of a business or financial
nature.
The Troy State University Financial Administration Policies and Procedures Manual
describes the University's financial administration and responsibilities. The University's business
and financial operations are aggregated under the Vice President for Financial Affairs, who reports
directly to the Vice Chancellor for Administration. (See organization charts in this self-study). The
Vice President for Financial Affairs is responsible for the administration of the Business Office. The
following report directly to the Vice President for Financial Affairs:





Director of Accounting Services
Director of Accounts Receivable
Director of Human Resources
Director of Physical Plant
Director of Accounts Payable, Inventory Control, and Purchasing
The design of the Financial Affairs Division is consistent with the University's purpose,
size, organization, and volume of transactions (See Administrative Report and SPIE for Vice
President for Financial Affairs.) Moreover, the division head has sufficient education and
experience to enable the Business Office to serve the educational goals of the University and
assist in furthering its stated purpose. (See vita on file in the Human Resource’s Office.)
For TSUPC and University College Regions—Atlantic, Florida/Western, Pacific, and
Southeast, the Vice Presidents of University College and TSUPC coordinate financial information
with the University's Vice President for Financial Affairs. The business and financial transactions of
TSUPC are under the supervision of the TSUPC Director of Administration who reports to the
TSUPC Vice President (Fact Book 2002, p. 61). The University College regions have business
office operations in place that report to the Regional Directors. These Regional Directors work with
the Director of Financial Affairs for University College, who reports to the University College Vice
President (see Fact Book 2002, p. 7). The issue of centralized cashiering is addressed in the
response to “must statement” 6.3.9.2.
6.3.2.2 The chief executive officer must report regularly to the governing
board on the financial and business operations of the institution.
The Chancellor presents an annual report to the Board of Trustees related to the financial
status and the business operations of the University. The Board of Trustees Resolution Number 4,
October 20, 1989, established this responsibility of the Chancellor: “The Chancellor shall be
responsible to report to the Board as follows:
 A concise, written statement on the general status of the University (Item 8A).
6-46



A concise financial statement of the condition of the University (Item 8B).
A concise, written report on the current five-year program of the University (Item 8I).
A concise written annual report which shows comparisons of the current year and the
previous year (Item 8L).”
6.3.3
6.3.3.1
6.3.3.2
6.3.3.3
Budget planning
The budget is a statement of estimated income and expenditures for a
fixed period of time, usually the fiscal year of the institution. An institution
must prepare an appropriately detailed annual budget.
Its preparation and execution must be preceded by sound educational
planning. It follows that the instructional budget should be substantively
developed by academic officers or deans, working cooperatively with
department heads, appropriate members of the faculty and administration,
and representatives of the Business Office.
Procedures for budget planning must be evaluated regularly.
The Troy State University Financial Administration Policies and Procedures Manual
describes details related to the University's budgets, including annual operating budgets, budget
controls, and budget revisions. The annual budget procedures also are discussed in the Troy State
University Manual for Annual Planning October 2000 (p.20). The University's budget is developed
following the guidelines established by the National Association of College and University Business
Officers (NACUBO). The annual budgets are on file in the Office of Financial Affairs. The budgets
are appropriately detailed to include estimated revenues from each source. The revenues from the
state are determined by the state legislature. Revenue sources are estimated using enrollment
projections from previous years.
The expenditures budget is prepared based on costs from prior years. In addition, the
expenditures budget allows provisions for increases and decreases in programs and functions
based on the enrollment projections and other factors. The budget for educational programs is
developed by each department head (Note: Assistant Deans for graduate and undergraduate
programs within the Sorrell College of Business) and approved by the Deans. The budget is
submitted to the Provost for approval prior to submission to the Budget Review Board. The budgets
for other programs/functions are developed by the directors of those programs/functions. For
example, the Regional Directors within University College forward their budgets to the Vice
President of University College and the Vice President for Financial Affairs for approval. The
budgets for TSUPC are approved by the Vice President for TSUPC and then forwarded to the Vice
President for Financial Affairs. Budget requests from each program and function are compiled by
the Vice President for Financial Affairs and are included in the annual budget. The Vice President
for Financial Affairs submits the annual budget to the Chancellor. The Chancellor assists in the
evaluation and determination of budgetary allocations.
The budget planning process follows the NACUBO guidelines. This process is updated
when NACUBO guidelines are amended. In addition, the budget planning process is annually
reviewed by the Vice President for Financial Affairs in preparation for the presentation to the Board
of Trustees. The minutes for the Board of Trustees meetings report the evaluation of the budget
6-47
process in the resolution for the adoption of each annual budget. The Chancellor and the Vice
President for Financial Affairs present an annual budget to the Board of Trustees for final approval.
(See Board of Trustees Minutes on file in the Chancellor's Office and the bylaws of the Board.) The
Board of Trustees Resolution Number 4, October 20, 1989, established the responsibilities of the
Chancellor. Specifically, the Chancellor shall be responsible to report to the Board as follows:


A concise, written operating budget with prior year comparisons (Item 8J).
A copy of the annual budget request(s) submitted to the Alabama Commission on Higher
Education and/or to the Legislature of the State of Alabama (Item 8K).
6.3.4
Budget Control
6.3.4.1 After the budget has been approved by the chief executive officer and
adopted by the governing board, a system of control must be established.
This ensures that the budgetary plans of the governing board and the chief
executive officer will be implemented.
6.3.4.2 The business officer must render interim budget statements on a periodic
basis to department heads for their guidance in staying within budgetary
allocations.
The University has adopted a system of budgetary controls following the guidelines
established by NACUBO. These guidelines ensure that the University complies with the plans
outlined in the annual budget. As previously mentioned, the Troy State University Financial
Administration Policies and Procedures Manual describes details related to the University's
budgets, including annual operating budgets, budget controls, and budget revisions. The Vice
President for Financial Affairs prepares monthly budget statements and submits those statements
to department heads and directors of programs. These monthly statements present a budget-toactual comparison for revenue for the program or function. The statements also report the budgetto-actual expenditures as well as the balance remaining. These monthly statements are developed
for each program and function to provide guidance for complying with budgetary allocations. All of
the University's (Troy campus, Phenix City, and University College) budget information can be
accessed using the Datatel System. Essentially, the University provides data automation services
through the Datatel system to support financial operations in all the locations. The appropriate
Chairpersons, Directors, and Academic Deans regularly review the budgets. For example, each
Regional Director of University College reviews end-of-month budget status reports and receives
Datatel printouts of the month-end status.
6.3.4.3 Budgetary control is an administrative function, not a board function.
Necessary budget revisions must be made when actual conditions require
such change and
6.3.4.4 Must be communicated to those affected within the institution.
Revisions to the budget are made only when actual conditions require change. For
example, budget revisions for University College are prepared when account balances will not
support actual/anticipated activity. These revisions are routed through the Regional Directors to the
Vice President for Financial Affairs. The appropriate department heads and program directors are
6-48
informed of the changes promptly. During AY 2000-2001, the University encountered budget
reductions as a result of state proration. Budget revisions were required and submitted to
department heads and program directors. (See monthly reports and budget revisions in the office
of the Vice President for Financial Affairs.)
6.3.5
The Relation of an Institution to External Budgetary Control
No outside or superimposed agency should exercise specific and detailed
control over the financial affairs of an institution. Once funds have been
appropriated, creating a budget, establishing priorities, and controlling
expenditures become the responsibility of the institution—operating under the
jurisdiction of the governing board and subject to its policies.
6.3.5.1 Enforcement of budgetary law is imperative; however, the educational
function of an institution must not be controlled through the use of
budgetary techniques or controls by financial officials outside the
institution.
The financial affairs of the University are the responsibility of the Board of Trustees who
delegate the administrative responsibilities to the Vice President for Financial Affairs, with approval
and guidance of the Chancellor and the Board of Trustees (See the Administrative Report of the
Office of the Vice President for Financial Affairs.) The Vice President for Financial Affairs provides
financial oversight to TSUPC and University College. The Board of Trustees annually reports to the
legislature of the State of Alabama on the financial status of the University (Code of Alabama,
Revised 1997, Section 16-56-10). However, the State is not involved in the specific allocation of
funds to functions and programs within the University. State appropriated funds may not be
allocated to University College.
6.3.6
Accounting, Reporting and Auditing
6.3.6.1 An institution must adopt an accounting system that follows generally
accepted principles of institutional accounting as they appear in College and
University Business Administration, published by the National Association
of College and University Business Officers.
The University has adopted an accounting system that follows the generally accepted
principles of College and University accounting as outlined by NACUBO. The Troy State University
Financial Administration Policies and Procedures Manual describes the University's financial
accounting and reporting. The responsibilities of the Vice President for Financial Affairs include the
preparation of monthly departmental financial reports, interim financial reports to the Chancellor,
the annual budget, and annual reports to the Board of Trustees. As previously noted, the University
uses the Datatel System, and all locations have access to the financial information in this system.
6-49
6.3.6.2 Institutions exempted from use of the required accounting system must
arrange to provide comparable information.
Troy State University is not exempted from use of the required accounting system.
6.3.6.3 All proprietary institutions must provide revenue/expenditure reports
consistent with NACUBO/AICPA publications, either independently certified
in the audit report or included as supplemental data in the audit report.
Troy State University is not a proprietary institution.
6.3.6.4 An annual fiscal year audit must be made by independent certified public
accountants, an appropriate government auditing agency, employing as a
guide for institutions under the jurisdiction of the Financial Accounting
Standards Board (FASB), Audits of Not-For Profit Organizations, published
by the American institute of Certified Public Accountants (AICPA), or, for
institutions under the jurisdiction of the Government Accounting Standards
Board (GASB), Audits of Colleges and Universities, also published by the
AICPA, or, in the case of for-profit-institutions, conducted in accordance
with generally accepted accounting principles.
A fiscal year audit of the Troy State University System is made by the State of Alabama
Department of Examiners of Public Accounts as required by the Code of Alabama Section 41-5-14.
The state auditors perform their audit in accordance with the generally accepted government
auditing standards for financial audits. The state auditors are not directly connected with the
Institution either personally or professionally (Code of Alabama §41-5-1 to §45-5-24). Separate
audit reports previously have been prepared by the Department of Examiners of Public Accounts
for the Florida Region of Troy State University, Athletics, and WTSU-FM Radio. Because of
changes in the Florida State Law, a separate audit report is no longer required for the Florida
Region. The University currently utilizes an external Certified Public Accounting firm to perform the
audit of Athletics. Independent audits by an external public accounting firm have been prepared for
the TSU Foundation and Center Services, Incorporated. The reporting requirements associated
with OMB Circular A-133 also are performed by the Department of Examiners of Public Accounts
as part of its annual audit of the Troy State University System.
The Governmental Accounting Standards Board (GASB) significantly overhauled the
financial reporting requirements for colleges and universities with the issuance of GASB statement
No. 34, "Basic Financial Statements---and Management's Discussion and Analysis--for State and
Local Governments," and statement No. 35, "Basic Financial Statements and Management's
Discussion and Analysis-for Public Colleges and Universities." Because the University is included
in the State of Alabama's financial statements, the Department of Examiners of Public Accounts is
required to follow this new reporting guidance for audits beginning with FY September 30, 2002.
The adoption of this new reporting guidance will significantly affect the timing of their audit for the
fiscal year ending September 30, 2002. The Chancellor submitted a letter dated February 12, 2002
to the State's Chief Examiner (Ronald L. Jones) formally requesting that the University's audit for
the FY ending September 30, 2002, be completed and reported no later than February 1, 2003.
The Examiners’ report for the FY ending September 30, 2002, will be an addendum to this report
6-50
as soon as the Examiners complete their audit. In addition, the internally compiled Annual Financial
Statements for the fiscal year ending September 30, 2002, will be available. Importantly, the GASB
changes affected only the timing of the most recent Examiners’ report. The Examiners’ financial
statement audit for all other years covered by the reaffirmation have been completed.
6.3.6.5 If an institution is subject to Statement of Financial Accounting Standard
(SFAS) No. 117 and elects to use the single column "corporate" Statement of
financial Position in its report, it must provide an additional Statement of
Financial Position using one of the four highest levels of disaggregation
illustrated in F.A.R.M.
6.3.6.6 The additional statement must be included either in the audit report as an
audited supplemental schedule or independently certified if not included in
the audit report.
Troy State University is not subject to SFAS No. 117.
6.3.6.7 A for-profit institution and its corporate parent, if any, must add to their audit
report a separate schedule indicating the disposition of profits, including
detailed information on corporate income taxes paid, both state and federal,
and on dividends distributed to stockholders.
Troy State University is not a for-profit institution.
6.3.6.8 A public institution included in a statewide or system-wide audited financial
report, for which a separate institutional audit report is not available for the
fiscal year ending immediately prior to the committee visit, must have
available, in lieu of audited financial statements, A Standard Review Report
in accordance with AICPA Professional Standards AR 100.35 to include
current funds expenditure classifications and amounts in accordance with
generally accepted principles of institutional accounting, and the
institution’s current fund balance sheet.
6.3.6.9 Institutions in this category must provide either a separate or a consolidated
balance sheet.
6.3.6.10 The auditors must not be directly connected with the institution either
personally or professionally.
A fiscal year audit of the Troy State University System is made by the State of Alabama
Department of Examiners of Public Accounts as required by the Code of Alabama Section 41-5-14.
The Chancellor submitted a letter (dated February 12, 2002) to the State's Chief Examiner (Ronald
L. Jones) formally requesting that the University's audit for the FY ending September 30, 2002, be
completed and reported no later than February 1, 2003. The Examiners’ report for the fiscal year
ending September 30, 2002 will be an addendum to this report as soon as the Examiners’
complete their audit. In addition, the internally compiled Annual Financial Statements for the fiscal
year ending September 30, 2002, will be available. The GASB changes affected only the timing of
the most recent Examiners’ report. Thus, the Examiners’ financial statement audit for all other
years covered by the reaffirmation have been completed.
6-51
6.3.6.11 A for-profit institution and its corporate parent, if any, must add to their
audit report a separate schedule indicating the disposition of profits,
including detailed information on corporate income taxes paid, both state
and federal, and on dividends distributed to stockholders.
Troy State University is not a for-profit institution.
6.3.6.12 An effective program of internal auditing and financial control must be
maintained to complement the accounting system and the annual external
audit.
The State of Alabama Department of Examiners of Public Accounts conducts an annual
audit of the Troy State University System in accordance with Government Auditing Standards. As
part of this audit, the examiners consider the University's internal controls over financial reporting to
determine the auditing procedures for the purpose of expressing an opinion on the financial
statements. According to the examiners report, a material weakness in internal controls is a
condition in which the design or operation of one or more of the internal control components does
not reduce to a relatively low level the risk that misstatements in amounts that would be material in
relation to the financial statements being audited may occur and not be detected within a timely
period by employees in the normal course of performing their assigned functional. Though the
examiners noted certain reportable conditions, none of these conditions were considered a
material weakness in the most recent examiners report dated September 5, 2002. In the event
material weaknesses are identified by the examiners, corrective actions immediately are taken by
the University.
An Internal Audit was performed in April 1998 by an external public accounting firm for the
University College Florida Region (the firm's report is located in the Office of the Vice President for
Financial Affairs). The financial resources of TSUPC and University College are audited on the
Troy campus by the Department of Examiners of Public Accounts and are included in the report.
The University's internal auditing and financial control procedures include on-site audits related to
cash, receivables, and disbursements by on-site personnel. The Office of Accounting Services
audits the petty cash funds on Troy Campus at least once annually. The work papers for these
petty cash audits are maintained in Accounting Services Office. Also, the Vice President for
Financial Affairs currently performs limited functions typically associated with an internal auditor.
The typical audit procedures for University College include policies regarding purchase requisitions
and orders, inventory control, personnel and payroll, petty cash disbursements, travel expenses,
and revenue collections.
6.3.6.13 However, in those cases in which a public institution’s financial report is
included as part of a comprehensive certified state or system financial
report and a separate audited report is not available, the institution must
have an established procedure to ensure the effectiveness of internal audit
controls.
The State of Alabama Department of Examiners of Public Accounts report is provided
annually. In planning and performing their audits, the examiners consider the University's internal
6-52
control over financial reporting in order to determine the auditing procedures. See the discussion
above related to the examiners' consideration of the University's internal controls.
6.3.7
Purchasing and Inventory Control
6.3.7.1 An institution must maintain proper control over purchasing and inventory
management.
Purchasing policies and procedures are published in a Troy State University System
manual, entitled Policies and Procedures for the Departments of Purchasing, Accounts Payable,
and Inventory Control (revised September 1998). The Purchasing Department is responsible for
the development of policies and procedures designed to create an efficient and effective
procurement environment for the University System. The Purchasing Department is subject to the
direction of the Vice President for Financial Affairs. The Director of Purchasing or the Vice
President for Financial Affairs is the final authorization and/or approval level for all purchases with
University funds. Purchasing policies follow the guidelines of the Alabama Bid Law. The
departments of Purchasing, Accounts Payable, and Inventory Control seek to serve the University
System in its mission to serve its student population by assisting the students, faculty, and staff in
facilitating the purchases of goods and services needed to meet both academic and non-academic
goals, expediting payment to vendors on behalf of the University, and maintaining accurate
documentation of assets for accounting and financial resources.
The policies and procedures delineated in the Policies and Procedures for the
Departments of Purchasing, Accounts Payable, and Inventory Control include the following:










Steps to ordering goods and services
Steps to closing a purchase order
Information required for purchase requisition
Basic types of purchase orders
Procedures for the material receipt form
Procedures related to confirmations, prepayments, lease/contracts, reimbursements to
employees, allowable/non-allowable expenditures, services rendered, and institutional
memberships
Steps in processing payments for goods and services ordered
Procedures related to fixed asset accountability
Procedures for processing bids
Instructions for using Datatel to research:
o vendor payments
o account balance inquiries or account encumbrances
o any or all transactions against an account number
o purchase order information
6-53
6.3.8
Refund Policy
6.3.8.1 The institution must adhere to a published policy and procedure for
refunding fees and charges to students who withdraw from enrollment.
6.3.8.2 The policy and procedure must be in keeping with generally accepted refund
practices in the higher education community, applicable to all students, and
clearly stated in appropriate official publications.
The University's refund policy is published in the Oracle (p. 14), as well as in both the
Undergraduate Bulletin and the Graduate Bulletin, also located on the website. TSUPC and
University College Regions also publish the refund policy in each semester's/term's class schedule.
As indicated in the Graduate Bulletin (p.13), students should see the Business Office at the
campus they are attending to ascertain the amount of refund based on the variety of factors given
on pages 69-70 of the Undergraduate Bulletin.
6.3.9
Cashiering
6.3.9.1. There must be a suitable organization and adequate procedures for the
management of all funds belonging to the institution.
6.3.9.2. The cashiering function should be centralized in the business office, and
there must be a carefully developed system for the receipt, deposit and
safeguarding of institutional funds.
The Accounts Receivable staff is responsible for the cashiering process. The Troy State
University Financial Administration Policies and Procedures Manual includes policies that relate to
cashiering. This staff reports to the Vice President for Financial Affairs. The Accounts Receivable
Office is located in the Adams Administration Building on Troy campus. The cashiering process is
designed and operated to meet the internal control standards of the AICPA. For example, a
computer generated receipt is provided for all transactions occurring at the teller windows. Further,
copies of these receipts are maintained in the Accounts Receivable office. A daily summary report
of all transactions that provides an overall total and a daily detail report that provides individual
totals for each teller are computer generated and printed for the end-of-day balancing. After the
balancing process is complete, all funds are secured in a safe inside a fireproof vault that is
secured with an alarm system. The Accounting Specialist prepares the checks and cash for
depositing and transports the deposit to the bank with a University Police escort.
Troy State University TSUPC is sufficiently organized and implements adequate procedures to
ensure proper management of all University funds. The cashiering functions are located in the
business office and the bookstore, and both are under the direction of the Director for
Administration. University College Regions—Atlantic Region, Florida/Western Region, Pacific
Region, and Southeast Region—are staffed with individuals designated to perform the cashiering
function. Procedures are in place to collect funds daily, log the transaction onto ledger sheets or a
customized computer program, process credit card transactions, and mail the results to the
regional offices for deposit and entry into Datatel. All funds are collected at the regional offices and
are reconciled and deposited daily.
6-54
6.3.9.3 All persons handling funds must be adequately bonded.
The University has a Commercial Fidelity Crime Bond (effective February 1, 2001) with
The St. Paul Fire and Marine Insurance Company for all persons handling institutional funds. The
policy contains the following provisions:

Employee Theft - Public Employee Dishonesty Coverage - Per Loss
o Limit: $100,000 with $0 deductible

Theft, Disappearance and Destruction Coverage - Money and Securities Inside/Outside Premises
o Limit: $100,000 with $500 deductible per loss

Excess Employees Covered:
o Human Resources Director
o Director Accounts Payable
Inventory Control and Purchasing
o Director Accounts Receivable
o Director Accounting Services
o Vice Chancellor for Administration
o Vice President for Financial Affairs
$35,000
$50,000
$50,000
$50,000
$85,000
$85,000
In addition to the above, the following positions are bonded with Western Surety Co:






Director of Accounting Services
Director of Accounts Receivable
Director of Purchasing/Inventory Control
Director of Human Resources
Vice President for Financial Affairs
Vice Chancellor for Administration
$ 50,000
$ 50,000
$ 50,000
$ 50,000
$100,000
$100,000
The policies are maintained in the office of the Vice-President for Financial Affairs. It should
be noted that the University policies also cover persons handling institutional funds at the TSUPC
and University College locations.
6.3.10 Investment Management
6.3.10.1 The institution must have a written statement of its investment policies
and guidelines approved by the board.
The Troy State University Financial Administration Policies and Procedures Manual
indicates that the Chancellor (or his designee) is responsible for all investments. The policies and
practices are separated into Operational Fund Investments of relatively short duration and
Permanent Fund Investments for long-term investments. The objective for Operational Fund
Investments is to maximize earnings consistent with the liquidity needs of the University.
Permanent Fund Investments (e.g., endowment, life income, and annuity funds) emphasize income
6-55
growth with safety and consistency, as well as principal growth at a rate at least equal to inflation.
Unless otherwise restricted by the donor, all investments are limited to certain marketable
securities, as delineated in the policy. The investments of the University as of September 30, 2001,
are shown in Table 6.3.10.1-21.
TABLE 6.3.10.1-21
Troy State University
Schedule of Long-Term Investments
September 30, 2001
Description
Loan
Funds
Certificate of Deposit
Certificate of Deposit
Certificate of Deposit
Certificate of Deposit
Certificate of Deposit
MONY Stock
Certificate of Deposit
Sun Life Stock
Treasury Notes and Securities
Certificate of Deposit
Mutual Funds
Total
Endowment
Funds
Unexpended
Plant Funds
$126,186
78,057
122,234
248,455
43,948
83,992
119,497
469,173
Agency
Funds
$204,154
$50,630
$307,567
3,842,450
$50,630
$4,046,605
$1,291,543
$307,567
Total
$126,186
78,057
122,234
248,455
43,948
83,992
119,497
469,173
204,154
258,197
3,842,450
$5,696,346
6.3.10.2 Investment policies and guidelines must be evaluated regularly.
The Board of Trustees Resolution Number 4, October 20, 1989 (which established the
Chancellor's responsibilities), indicates that the Chancellor shall be responsible to report to the
Board at its annual meeting as follows:


A concise, written report on interest income for the University (Item 8M)
A concise, written report of the operations of the University Foundation (Item 8N)
These reports allow the Board to evaluate the investments annually.
6.3.11 Risk Management and Insurance
The institution should have a comprehensive risk management program which
includes risk evaluation, risk avoidance and insurance. Adequate replacement
protection for all physical facilities should be covered by appropriate levels of
insurance or appropriate provisions for obtaining funds.
The University has a comprehensive risk management program in which all risks are
evaluated and insurance provided where appropriate. Adequate replacement protection for all
physical facilities is covered by appropriate levels of insurance. All physical resources are insured
through the State Insurance Fund of Alabama, and all vehicles are insured by private insurance
companies. The insurance policies and related detailed invoices are on file in the Accounts
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Payable, Inventory Control, and Purchasing Office. Table 6.3.11 reports the value and coverage
for the University's buildings and contents. The building line item includes amounts related to the
Radio/TV station (e.g., towers, antennas, etc.).
TABLE 6.3.11
Troy State University
Schedule of Insurance Coverage (rounded to nearest thousand)
September 30, 2002
BUILDINGS
CONTENTS
VALUE
$147,715,000
$64,660,000
INSURANCE-COVERAGE
$147,715,000
$64,660,000
6.3.12 Auxiliary Enterprise
6.3.12.1 The institution may operate, or have contracted for operation, activities that
may have a significant impact on the operation of the institution. These
activities may include, but are not limited to, the following: bookstores,
residence halls, food service operations, printing/duplicating services,
child care and transportation services. These activities, when operated by
or for the institution, must be documented and operated in a fiscally
responsible manner.
Auxiliary enterprises are for-profit functions operated by the University [or through contract
agreement] that provide products/services. The Director of Auxiliary Services is responsible for the
activities of the auxiliary enterprises. The Director of Auxiliary Services is subject to the authority of
the Vice-President of Student Affairs. The auxiliary enterprises that have a significant impact on the
operation of the Institution include the University Store, Dining Services, and Housing. It should be
noted that the University College sites do not operate auxiliary enterprises that have a significant
impact on the University. The Troy State University Auxiliary Services Policies and Procedures
Manual includes information related to auxiliary services.
As previously shown in Tables 6.3.1-1 and 6.3.1-2, the auxiliary enterprises generally are selfsufficient (e.g., revenues exceed expenses). The University Store, Dining Service, and Housing
generate approximately 90% of the University's auxiliary enterprise revenue. The University Store
(including both the TSUPC and University College textbook operations) represents a significant
portion of the revenue generated by auxiliary enterprises. Approximately a third of the total revenue
generated by the auxiliary enterprises on Troy campus can be attributed to the University Store.
Net profit, based on total volume of business, has exceeded 15% in recent years. When compared
to national benchmarks provided by the National Association of College Stores for schools of
similar size, the profitability level of the University Store is significantly higher than the national
average of 10%.
The University is currently outsourcing dining services with Sodexo Management Services.
Dining services generally operate with a surplus from year to year. There are presently four meal
plans from which students may select; in addition, all students who live in campus housing must
purchase a meal plan. The University's housing has a complement of approximately 1602 beds
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and generally maintains an occupancy rate between 85% and 93%. In 1998 the University
occupancy rate was enhanced with the implementation of the Trojan Incentive Plan (TIP), which
allows students to live in the dormitory for two consecutive semesters without charge after the
student has lived in the dormitory for two consecutive semesters with charge. It should be noted
that the TIP was phased out in 2002.
Other auxiliary enterprises that are an integral part of the University include the Post
Office, Trojan Oaks Golf Course, Health Center, and Conference Services. These auxiliary
enterprises represent only a small percentage of the University's auxiliary revenue (less that 10%),
and they are operated in a fiscally responsible manner.
6.4 PHYSICAL RESOURCES
6.4.0
Physical resources, including buildings and equipment both on and off
campus, must be adequate to serve the needs of the institution in relation to
its stated purpose, programs and activities. The physical environment of the
institution should contribute to an atmosphere for effective learning.
Troy Campus
The quality of programs and activities depends on the adequacy of the University’s
physical resources. This adequacy includes proper management of the physical resource space;
maintenance of the buildings, grounds, and equipment; and administration of appropriate safety
and security measures. The future growth of the University requires organizational planning and
development provided in a facilities master plan.
The adequacy of the University’s physical resources is determined through the
examination of the policies and procedures of the Physical Plant and by eliciting responses
regarding the Troy campus by conducting an annual facilities management survey. A standard
operating procedures manual is maintained at the Physical Plant and updated as the needs of the
University change. The most recent facilities management survey for fall 2001 is summarized in
Table 6.4.0-1 and Table 6.4.0-2.
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Table 6.4.0-1
TSU Physical Plant and Maintenance
Survey: Student Overall Satisfaction
Results
50%
40%
30%
20%
10%
0%
47%
43%
10%
Highly Satisfied
(10-8)
Moderately
Satisfied
(7-5)
Dissatisfied
(4-1)
NOTE: Student Overall Satisfaction Survey is based on a scale of one to 10 with 10 being highly
satisfied and one being dissatisfied. Students were asked their overall satisfaction with the Plant
and Maintenance Department and its operations, personnel, and project management.
Table 6.4.0-2
TSU Physical Plant and Maintenance Survey:
Faculty/Staff Overall Satisfaction Results
80%
60%
40%
61%
33%
20%
6%
0%
Highly Satisfied
(10-8)
Moderately
Satisfied
(7-5)
Dissatisfied
(4-1)
NOTE: Faculty/Staff Overall Satisfaction Survey is based on a scale of one to 10 with 10 being
highly satisfied and one being dissatisfied. Faculty and Staff were asked the same question as
students.
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Survey results indicate that the overall satisfaction of the Physical Plant is positive. For the
majority of the facility issues, the management of resources is adequate.
The University is currently reviewing the allocated space for the campus. This assessment
is being conducted in conjunction with the update to the Facilities Master Plan that will be
completed and published in 2003. The current University database for space utilization needs
updating.
Since the Spring Semester 2000, the Director of Physical Plant and Vice President for
Financial Affairs have made adequacy and quality of the physical resources a major priority. A 5year deferred maintenance plan is maintained and updated as needed; the most recent update and
study were completed in February 2002. The current work to update the Facilities Master Plan is
also a part of the commitment to adequacy and quality.
Phenix City
Physical facilities for TSUPC are adequate. A new academic building was completed
December 2000, and was occupied January 2001, in time for the Spring Semester. The building
has ten classrooms, two computer labs, faculty and staff offices, conference room, and several
storage rooms. Two of the classrooms are designated and equipped as distance learning
classrooms. The building houses the Education Department, the Management Information
Services Department, and the Professional Development Center. All office and classroom furniture
was new at the time of occupancy. The personal computers in the computer labs were new at the
beginning of the Spring Semester 2001 and are the latest technology.
The Higginbotham Building was completed in April 1994 and was occupied in Summer
Quarter 1994. The building has eight classrooms, one computer lab, faculty and staff offices, as
well as a conference room. Higginbotham currently houses the Counseling and Psychology
Department. All office and classroom furniture was new at the time of occupancy. The personal
computers in the computer lab are updated regularly and are equipped with the latest technology.
The Adams Administrative/Classroom Building was completed in December 1988 and was
occupied Winter Quarter 1989. The building has sixteen classrooms and a large media room that
serves as both an auditorium and a distance learning classroom. The Adams Building houses the
administrative offices and the Business Department. All office and classroom furniture was new at
the time of occupancy. The personal computers in the computer lab are updated regularly and are
equipped with the latest technology.
The Annex, remodeled in 1991, houses the Bookstore, offices of the Admissions
Department and Registrar, and the Nursing Department. The building has a break area where
students can congregate.
All buildings are designated as smoke-free facilities. All classrooms have windows, airconditioning, and marker boards. Technological tools for instruction, such as computers equipped
with PowerPoint for presentations, overhead machines, and VCRs are available to instructors.
Paved parking areas adjacent to all buildings are well lighted and guarded.
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University College
At locations where military or other hosts do not provide facilities, University College
attempts to lease, rent, or purchase facilities which are adequate to serve the needs of the
Institution in relation to its purpose, programs, and activities and which provide an environment for
effective learning. Furthermore, University College Regional Directors work with the various
constituencies to ensure effective space management, proper facilities maintenance, and
appropriate safety and security.
6.4.1 Space Management
6.4.1.1 Space allocated to any institutional function must be adequate for
the effective conduct of that function.
Troy Campus
Most academic departments of the University (the exceptions are the very small
departments) schedule their courses in the classrooms over which they have scheduling priority.
Additional classroom space for a semester is requested through the Office of the Provost.
Departments that do not have classroom space allocated to them schedule their classes through
the Office of the Provost. All academic space allocation is handled through the Office of the
Provost; all other space allocation is determined by each program director.
Table 6.4.1.1
STUDENT RATINGS
OF CAMPUS FACILITIES, GROUNDS, AND MAINTENANCE 2000-2001
Survey
Item
Undergraduate
Survey N= 584
Graduate Survey
N=166
Campus Facilities
Overall
Campus Facilities
Graduating Student
Survey
N=766
Maintenance of
Buildings and
Grounds
Buildings and
Grounds at TSU
% Rating Good or
Excellent
70%
72%
77%
78%
Based on results shown in the table above, students believed that space allocated for their
institutional functions was adequate (Compendium of Survey and Test Results 2000-2001).
6.4.2
Buildings, Grounds, and Equipment Maintenance
6.4.2.1
An institution must have a plan for the upkeep of its
property.
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6.4.2.2
6.4.2.3
At a minimum, the plan must address routine, preventative
and deferred maintenance of buildings, equipment, and
grounds.
The plan must be operational and evaluated annually.
Troy Campus
Sodexho Campus Services through the Physical Plant is contracted to maintain and
operate the University’s physical resources which include 76 permanent buildings on 577 acres.
The Plant maintains a computerized maintenance management system, which manages work
orders, labor, preventive maintenance, building and space inventory warehouse inventory, deferred
maintenance, and other areas. All work and project requests are adequately managed through a
work control center operated at the Physical Plant. During AY 2000-2001, 96.9% of all work
requests were completed. A five-year deferred maintenance plan is maintained and updated as
needed. The most recent update and study were completed in February 2002 and published in July
2002.
On an annual basis, the quality of service is evaluated during the Facilities Management
Survey. Survey results are assessed, action plans developed, and results presented to the
University administration.
Phenix City
Troy State University Phenix City has developed a plan for the upkeep of its property,
which includes preventive maintenance for the elevator and heating and air-conditioning
equipment. Preventive maintenance contracts are utilized for some regularly scheduled
inspections, and routine repairs are outsourced as needed. Personal computers are maintained on
an as-needed basis; buildings are maintained as required. The upkeep of TSUPC property is
maintained through routine inspections, and repairs are made when necessary. Facilities are
regularly inspected for needed maintenance and repairs.
6.4.3
Safety and Security
6.4.3.1 The institution must take reasonable steps to provide a healthful,
safe and secure environment for all members of the campus
community.
6.4.3.2 Administrative responsibility for environmental health and safety
programs must be assigned.
6.4.3.3 A comprehensive safety plan must be developed, implemented and
evaluated regularly.
Troy Campus
The primary responsibility for providing a healthful, safe, and secure environment for all
members of the campus community lies with the University Police, who report to the Vice President
for Student Affairs. “The safety and security of the campus is the primary responsibility of the
University Police.” (Safety and Security Procedures Manual, p. 8) “The purpose of the Troy State
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University Police Department is to provide a safe and secure environment that is conducive to
learning, research, and service” (SPIE-University Police). In an effort to provide a healthful, safe,
and secure environment for all members of the campus community, the University utilizes and
coordinates the efforts of uniformed police officers, safety security monitors, (Health Center) health
professionals, (Wellness Center) certified counselors, and faculty monitors. Also, the University
Police work closely with the Physical Plant Department on safety matters.
Twenty-four hours a day, the University Police patrol the campus grounds and surrounding
areas and physically check all University buildings and facilities to safeguard life and property.
Moreover, the Chief of Police and his staff are vigilant in their efforts to improve conditions to
increase safety measures. The University Police Department has developed various programs to
elevate awareness of crime prevention and increase personal safety. The campus programs
initiated by University Police as stated in the department’s SPIE report include the following:

Public Safety Brochures

Operation ID

Stay-Safe-after-Dark Program

Security Tips for Office Personnel Program

Motorist Assist Program

Escort Service

Golf Cart Patrol

Rape Aggression Defense (RAD) Course

Exterior Lighting Project

Crime Prevention Displays and Exhibits.

Campus Landscape Program

Building Safety Alert System

Vehicle Registration

Residence Hall Security Program

Bicycle Patrol

Arrive Alive Program
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
Traffic Control Program

Daily Crime Log

Campus Safety Annual Report
The University has a published safety plan that establishes procedures for any emergency
on campus. Copies of this plan are widely distributed. Evacuation procedures for each building are
not posted for visual reference. Evacuation diagrams should be designed for all buildings and
posted in an appropriate area in each specific building.
In order to safeguard against safety violations from OSHA and other agencies and in an
effort to provide a safe campus environment, the Physical Plant currently acts as the first point of
contact in response to training, identifying, and addressing environmental health and safety issues.
A complete program for safety and environmental health is maintained and operated by the
Physical Plant and is available for review upon request. The program covers all facility aspects of
the campus ranging from grounds to the building structures of the University.
School of Nursing—Montgomery Campus
The University recently completed a state-of-the-art nursing facility in downtown
Montgomery, Alabama. To ensure the safety of the students and University personnel, security
guards are on duty with heightened awareness during peak travel times. In addition, security
cameras are used to monitor access to the parking deck. The building complies with all state and
federal regulations and provides a healthful, safe and secure environment for the campus
community.
Phenix City
Security guards are on duty prior to and during class hours to patrol the parking lots and
classroom buildings and are visible at all times. The guard assists the Evening/Weekend
Coordinator with securing the campus when classes are completed each evening. A lab attendant
is on duty when the computer lab is open. The Director of Student Affairs is responsible for
environmental health and safety programs.
6.4.4
Facilities Master Plan
6.4.4.1 The institution must maintain a current written physical facilities master
plan that provides for orderly development of the institution and relates it
to other institutional planning efforts.
Troy Campus
The original master plan for the campus was developed in 1930 by Olmsted Brothers,
Incorporated, an architectural firm based in Brookline, Massachusetts. Adherence to this plan
made for an orderly physical development of the University through the first thirty years of growth.
6-64
A need for more space and updated facilities in the early 1960s led University officials to consult
with architects for projection of a revised master plan. Although an official revision was not
commissioned, ideas gained from these consultations led to much growth on campus. In the
1970s, the building of a new student center highlighted a number of construction and renovation
projects. In the 1980s, a new administration building was constructed on the site where Kilby Hall
had stood for many years. Today, the administration building is a dramatic centerpiece for the main
quadrangle of the campus, blending old and new architecture and symbolizing the growth of the
University. In 1994, a conference facility was constructed in the Arboretum to provide a meeting
facility located in a wooded area of the campus to showcase the University’s natural beauty. In
1995, a facilities master plan (developed by Raymond Wheat and Associates) was adopted to
guide campus growth and to establish implementation projects to provide for the needs of expected
enrollment through the year 2010. In 1997, the Hawkins, Adams, Long Hall of Honor was
constructed to house the National Band Association Hall of Fame and the Alabama Bandmasters
Hall of Fame, as well as to provide meeting and office space. These additions along with numerous
renovations have greatly improved the University’s facilities. Additional facility improvements have
been scheduled.
Presently, the University is updating the Facilities Master Plan. The update is focused on
the adequacy of space allocation, deferred maintenance, and needed capital improvements to
buildings in need of renovation. The focus of the planning committee is to prepare a plan that will
be used as a guide for the next five years.
Troy State University Phenix City
Troy State University Phenix City’s master plan was developed in 1997. Since that time,
TSUPC has been following its master plan. A new academic building was completed in 2000, and
parking spaces were added in 1999. These facilities were added to accommodate enrollment
growth and future projected enrollment growth.
6.5 EXTERNALLY FUNDED GRANTS AND CONTRACTS
6.5.1
6.5.2
Externally funded grants and contracts must be related to the stated
purpose of the institution.
The institution’s policy on such grants and contracts must provide for an
appropriate balance between grant and contract activity and instruction, and
guarantee institutional control over the administration of research projects.
The University has an effective policy concerning externally funded grants and contracts. The
policy to ensure conformity of externally funded grants and contracts to the stated purpose is a part
of the Office of Sponsored Programs Manual Policy Statement: “Because funding opportunities
should be related to the predetermined interests of the University, the Office of Sponsored
Programs will verify that all proposals are related to the purpose and goals of Troy State
University.” Section 3.8.6.1 of the current Faculty Handbook (p. 63) clearly sets forth the
necessary balance between research (including grants and contracts) and instruction:
Although research, as defined in Section 3.4.5, ‘Research and Creative Work,’ has
not been placed high on the list of faculty responsibilities, it is, nonetheless,
6-65
considered important, and a reasonable amount of time should be devoted to it.
Troy State University recognizes that in higher education both teaching and
research are essential to a vigorous institution and a sound curriculum. However,
as a teaching institution, Troy State University places far greater emphasis on the
teaching function than on the research function.
The policy, which guarantees institutional control of the administration of research projects,
is described in the Office of Sponsored Programs Manual which includes the “Procedures for
Proposal Development.” Following these procedures guarantees institutional control of the
administration of research projects.
6.5.3
The researcher’s freedom to investigate and report results must be
preserved.
6.5.4 The institution must establish a clear policy concerning a faculty member’s
division of obligations between research and other academic activities
6.5.5 It must ensure that this policy is published in such documents as the faculty
handbook and made known to all faculty members.
6.5.6 Where applicable the institution must develop policies regarding summer
salaries paid from grant and contract funds, salary supplements paid from
grants during the regular academic year, and fees.
6.5.7 These policies must also be published and made known to the faculty.
6.5.8 In accepting funds from outside agencies, the institution must ensure that it
maintains control over research and instruction.
6.5.9 Because many agencies attach stringent regulations directing and limiting
the activities for which they provide funding, the institution must safeguard
control over its own activities.
6.5.10 Continuity of support for general institutional activities must not be
endangered by acquisition of research grants and contracts.
6.5.11 Grants must be awarded
6.5.12 and contracts must be made for specified periods of time.
In Section 3.9.1, “Academic Freedom”, of the Faculty Handbook, the University supports
the researcher’s freedom to investigate and report results. An excerpt of the section states:
Troy State University affirms and is guided by the ideal that all members of the faculty,
whether tenured or not, are entitled to academic freedom as set forth in the 1971
‘Statement of Academic Freedom and Responsibility’ formulated by the American
Association of State Colleges and Universities: Academic freedom is the right of members
of the academic community freely to study, discuss, investigate, teach, conduct research,
publish, or administer as appropriate to their respective roles and responsibilities. It is the
responsibility of administrators to protect and ensure these rights within the governing
framework of the Institution.
The policy concerning a faculty member’s balance between research and other academic
activities is found in Section 3.4.5, “Research and Creative Work,” of the Faculty Handbook. An
excerpt from this section states the following:
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A requisite for effective teaching is an active involvement in the intellectual and
scholarly developments of an individual’s field. Because what is considered
appropriate research in one discipline may not be recognized as appropriate in
another discipline, an individual’s research or creative work should be evaluated in
terms of its quality, its level of recognition among peers, and its significance to the
particular discipline. Moreover, the University recognizes that not all research
ends in publication and that the significance of all research and creative endeavors
is that it underscores and illumines excellent classroom teaching. Evidence of
appropriate endeavors and activities includes the following:






publications
research grants and projects
inventions and patents
artistic works and performances
review of creative and scholarly work
creation of educational materials
The University informs its faculty regarding the policy related to division of obligation to
research and to other academic activities by distributing to each faculty member a copy of the
Faculty Handbook. The Institution publishes other policies, including summer salaries, salary
supplements, and consultation fees in the Faculty Handbook. Through utilization of the “Transmittal
Form for Sponsored Programs” the University maintains controls in the pre-award stage of
proposals by adhering to the procedures presented in the Office of Sponsored Programs Policy
Manual. In addition to the guidelines and policies cited in the Faculty Handbook, specific conditions
are agreed upon at the outset and take into account any agency-directed regulations which direct
and limit funded activities. Support for general institution activities comes from the educational and
general expenditures line item in the University’s budget, which is not dependent upon research
contracts. Each sponsored grant and contract is assigned a University budget account in
accordance with the time period specified by the sponsor, and the Office of Sponsored Programs
requires periodic reports for the work accomplished.
6.6 RELATED CORPORATE ENTITIES
6.6.1
6.6.2
When an institution is reliant upon such an entity, or when a separatelyincorporated or related entity is reliant upon the institution, documentation
outlining the mutual relationship must be maintained by the institution.
This documentation must include the following: a description of the
separately-incorporated unit’s activities; a statement demonstrating the
manner in which the activities relate to the purpose of the institution; a
current roster of board members of the unit, including institutional
personnel and board members who have responsibilities with both the
institution and the incorporated entity, whether they are additionally
compensated by the entity or not; a copy of the separately incorporated
unit’s annual financial audit report for the most recently completed year; and
copies of the charter and bylaws of the unit.
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The University has the appropriate documentation that clearly delineates its relationship
with Separately Incorporated Units. Troy State University has relationships with two separately
incorporated entities: the Troy State University Foundation and Center Services, Incorporated.
The Troy State University Foundation was incorporated on July 16, 1968, after approval by
the Board of Trustees (Minutes of the TSU Board of Trustees, January 16, 1968, Resolution
Number 1). The Foundation is a tax exempt organization under Section 501 (c) (3) of the U. S.
Internal Revenue Code, and gifts to the Foundation are deductible under Section 170 (c) (2) of the
Code. A current file outlining the mutual benefit and mutual relationship is maintained by the Vice
President of Institutional Advancement. The file contains a description of the Foundation's
activities, a purpose statement of the Foundation, a current roster of the Foundation's board, the
annual financial statements, the audit report dated March 2001, and copies of the charter and
bylaws.
The Troy State University Foundation complements the University's purpose and
objectives and contributes to the University's effectiveness. The purpose of the Foundation is, in
general, "to promote, sponsor, and carry out broader educational opportunities for and services to
the students and alumni of Troy State University." The Foundation is subject to proper operating
controls and risk-liability containment.
Center Services, Incorporated, (CSI) was incorporated on August 23, 1976, as a tax
exempt organization under Section 501 (c) (3) of the U. S. Internal Revenue Code, and gifts to CSI
are deductible under Section 170 (c) (2) of the Code. A current file, outlining the mutual benefit and
mutual relationship, is maintained by the Director of Auxiliary Services, who also serves as
president of CSI. The file contains a description of CSI's activities, a purpose statement, a current
roster of the CSI board, the annual financial statements, the audit report for the most recently
completed year, and copies of the charter and bylaws.
Center Services, Incorporated, complements the University's purpose and objectives and
contributes to the University's effectiveness. The purpose of CSI is, in general, "to promote,
sponsor, and carry out broader opportunities and services for the benefit of the students, faculty,
staff, alumni, and supporters of Troy State University." CSI is subject to proper operating controls
and risk-liability containment.
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RESOURCES

Administrative Report-Office of the Vice President for Financial Affairs (November 1,
1992)

Anderson, Rod: Six Points of Institutional Effectiveness (SPIE) – TSU University Police

Annual Financial Statement (latest copy as of 9/30/2000)

Bylaws of the Board of Trustees of The Troy State University System (Adopted May
31, 1996)

Code of Alabama revised 1997 (http://www.legislature.state.al.us/code of
Alabama/1975/coatoc.htm)

Copy of the Board of Trustee's Resolutions #3 and #4 (dated October 20, 1989)

Facilities Management Report (2001)

Fact Book published by the Office of Institutional Research, Planning, and
Effectiveness [latest copy dated March 2002]

Memo (dated January 28, 2002) from the Office of the Vice President of Financial
Affairs describing the terms of bonding insurance policies

Southern Regional Education Board Fact Book on Higher Education (2000/2001)

State of Alabama Department of Examiners of Public Accounts: Report on the Troy
State University System (October 1, 1999 through September 30, 2000)

State of Alabama Department of Examiners of Public Accounts: Report on the WTSUFM Radio Troy State University System (October 1, 1996 through September 30,
1997)

Troy State University Campus Safety Annual Report (2000-2001)

Troy State University Department of Biological Sciences Laboratory Safety
Regulations

Troy State University Facilities Master Plan (1995)

Troy State University Faculty Handbook (revised 2001)

Troy State University Financial Administration Policies and Procedures Manual (March
1993)
6-69

Troy State University Graduate Bulletin 2001-03

Troy State University Institutional Self-Study Plan and Manual (2001-2003)

Troy State University Manual for Annual Planning (October 2000)

Troy State University Policies and Procedures for the Departments of Purchasing,
Accounts Payable, Inventory Control (revised September 1998)

Troy State University Policies and Procedures Manual (1992)

Troy State University Undergraduate Bulletin 2001-03

Troy State University: A Strategic Plan: 2001-2005 (dated May 24, 2001)

TSU Auxiliary Services, A Guide for Using Facilities at Troy State University

TSU Oracle – Student Handbook (2000-2001)

University of Delaware study comparing the instructional cost of the University to that
of other Universities

Wilson, Price, Barranco, Blankenship & Billingsley, P.C.: Audit Report for the TSU
Foundation (report dated March, 2001)

Wilson, Price, Barranco, Blankenship & Billingsley, P.C.: Internal Audit Report on the
Troy State University-University College-Florida Region (April, 1998)
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STRENGTHS

Troy State University Phenix City has consistently exceeded all goals established for fund
raising.

The University's diversity of revenue structures across the three components (Troy, Troy
State University Phenix City, and University College) lessens its vulnerability to changing
environments.

The University's system of controls ensures sound budgetary management. The budgetary
information is readily accessible through the Datatel system. The Vice President for
Financial Affairs issues budget statements on a monthly basis to unit heads for their
guidance in adhering to budgetary allocations. Budget revisions are made only when actual
conditions require change and are communicated to those affected within the University.

Sodexho’s computerized maintenance management system for record keeping of
operations is utilized on the Troy campus.

At Troy State University Phenix City, buildings and grounds are exceptionally attractive and
functional.

The University has continued to improve facilities through renovations and construction on
the Troy campus.

The nursing facility in downtown Montgomery, Alabama, provides state-of-the-art security.

Policies related to the University’s externally funded grants and contracts ensure conformity
to the University’s purpose, provide an appropriate balance between this activity and
instruction, and guarantee the University’s control of the administration of research projects.

The University is committed to preserving the researchers’ freedom to report and investigate
results. Research support from external parties does not undermine these research
principles.

When funds are solicited from external sources, the University maintains its independence
in research and public service.
6-71
AGENDA FOR EXCELLENCE

Suggestion 6.2.1A: The Committee suggests that University alumni survey results for
Troy State University Phenix City be routinely forwarded to the Troy State University
Phenix City campus for analyzing.

Suggestion 6.2.1B: The Committee suggests that alumni from the Troy State
University Phenix City provide their own alumni activities.

Suggestion 6.3.2.1: The Committee suggests that the Administrative Report for Vice
President for Financial Affairs be updated.

Suggestion 6.3.6.12: The Committee suggests that the University’s internal auditing
and financial control procedures be reviewed and, if necessary, modified annually to
resolve any reportable conditions noted in the State of Alabama Department of Public
Accounts report.

Suggestion 6.4.1.1: The Committee suggests that when the Facilities Master Plan is
updated for the University, a comparison of the current space allocations against
national space allocation standards be made.
RECOMMENDATIONS/
PLANS FOR IMPROVEMENT

Recommendation 6.1.4.1: The Committee recommends that the TSU Policies and
Procedures Manual be updated.
o Plan for Improvement 6.1.4.1: Under the direction of the Vice Chancellor for
Administration, the TSU Policies and Procedures Manual is being revised as
the TSU Policies and Procedures Index during the current academic year.
The Index will reference all policy and procedure documents.

Recommendation 6.3.2.1: The Committee recommends that the Troy State University
Financial Administration Policy Manual be reviewed and updated on a regular basis.
o Plan for Improvement 6.3.2.1: Under the direction of the Vice President for
Financial Affairs, the Financial Administration Policy Manual will be updated
during the current academic year.

Recommendation 6.3.6.4: The Committee recommends that an annual audit of the
books for Center Services, Inc., be performed under the guidance of the Director of
Auxiliary Services.
6-72
o Plan for Improvement 6.3.6.4: The Director of Auxiliary Operations will
make arrangements to have an annual basis an audit of the books for
Center Services, Inc.
o Implementation of Plan 6.3.6.4: An audit of Fiscal Year 2001-2002 has
been requested. This audit is scheduled to begin on January 2003.

Recommendation 6.3.9.2: The Committee recommends that methods of centralizing
cashiering functions in University College and segregating duties related to the
cashiering function be developed and implemented.
o Plan for Improvement 6.3.9.2: A process to centralize the cashiering
function for all University College sites and to segregate duties related to
the cashiering function is being formulated by the Vice President for
Financial Affairs. By spring 2003, this process will be developed and
implemented.
o Implementation of Plan 6.3.9.2: A plan has been developed to centralize
University College’s cash receipting. Elements of this plan are already in
place. The plan will be fully implemented by the Office of the Vice
President for Financial Affairs by the fall of 2003.

Recommendation 6.4.3.1A: The Committee recommends that evacuation
blueprints (floor plans) be designed and posted in each building.
o Plan for Improvement 6.4.3.1A: Evacuation blueprints (floor plans) will
be designed and posted, and evacuation procedures will be distributed to
all occupants.

Recommendation 6.4.3.1B: The Committee recommends that copies of the Troy
State University Phenix City comprehensive safety plan be distributed to all
personnel at the Phenix City campus and that evacuation procedures and
blueprints be posted in each building.
o Plan for Improvement 6.4.3.1B: The Director for Student Affairs at Troy
State University Phenix City will disseminate copies of the safety plan to
all personnel at the Phenix City campus. Evacuation blueprints will be
designed and posted in all buildings, and evacuation procedures for each
building will be distributed to its occupants during the current academic
year.

Recommendation 6.4.4.1: The Committee recommends that Troy State
University update the Facilities Master Plan for the Troy campus.
o Plan for Improvement 6.4.4.1: The Director of the Physical Plant working
with the Vice Presidents on the Troy campus (University’s Facilities
Planning Committee) will update to the Facilities Master Plan (developed
by Raymond Wheat and Associates, Inc.).
6-73
COMPLIANCE CHART
COMPLIANCE
Must
Statement
6.1
6.1.1
6.1.1.1
Yes
No
NA
Supporting Documentation
Location
Code of Alabama
TSU Fact Book
Faculty Handbook
Undergraduate Bulletin
Graduate Bulletin
Self-Study
Resource Rm.
Self-Study
Resource Rm.
ORGANIZATION AND ADMINISTRATION

6.1.2
GOVERNING BOARD
6.1.2.1
6.1.2.2

6.1.2.3

6.1.2.4

6.1.2.5

6.1.2.6

6.1.2.7

Code of Alabama
Bylaws, Bd. of Trustees
Minutes, Board Meetings
Code of Alabama
Faculty Handbook
Bylaws, Bd. of Trustees
Minutes, Board Meetings
Code of Alabama
Bylaws, Bd. of Trustees
Code of Alabama
University Bulletin
Graduate Bulletin
Faculty Handbook
Code of Alabama
Code of Alabama
6.1.2.8

Bylaws, Board of Trustees
6.1.2.9

Bylaws, Board of Trustees

6.1.3 Should
6.1.4
6.1.4.1
OFFICIAL POLICIES

6.1.5
6.1.5.1
ADMINISTRATIVE ORGANIZATION

6.1.5.2

6.1.5.3

6.1.5.4

Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Selof-Study
Resource Rm.
Faculty Handbook
Policy/Proced. Manual
Undergraduate Bulletin
Graduate Bulletin
Staff Handbook
Self-Study
Resource Rm.
Undergraduate Bulletin
Graduate Bulletin
Faculty Handbook
TSU Fact Book
Faculty Handbook
TSU Fact Book
Faculty Handbook
TSU Fact Book
Faculty Handbook
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
6-74
COMPLIANCE
Must
Statement
6.1.5.5
Yes
Supporting Documentation
Location

Personnel Files
6.1.5.6

Personnel Files
Office of Human
Resources
Office of Human
Resources
6.2
6.2.0
INSTITUTIONAL ADVANCEMENT

6.2.1 Should
6.2.2
6.2.2.1
6.2.2.2
6.2.2.3
6.3
6.3.1
6.3.1.1
6.3.1.2
6.3.2
NA
SPIE
Annual Plans
Self-studies
Audit Report of TSU
Foundation
OIRPE
SPIE
Annual Plans
Self-studies
Audit Report of TSU
Foundation
SPIE
Annual Plans
Self-studies
Audit Report of TSU
Foundation
SPIE
Annual Plans
Self-studies
Audit Report of TSU
Foundation
OIRPE
VPFA's Office
FUND RAISING



VPFA's Office
OIRPE
VPFA's Office
OIRPE
VPFA's Office
FINANCIAL RESOURCES
Fact Book
Annual Financial Statements
Strategic Planning Council
Report
University of Delaware Study
Fact Book

Annual Financial Statements
Strategic Planning Council
Report
University of Delaware Study
ORGANIZATION FOR ADMINISTRATION OF FINANCIAL RESOURCES

6.3.2.1
6.3.2.2
No


OIRPE
VPFA's Office
Chancellor's
Office
OIRPE
OIRPE
VPFA's Office
Chancellor's
Office
OIRPE
Fact Book [organizational
chart]
SPIE for VPFA
Résumés for business office
Financial Administration
Policies and Procedures
Manual
OIRPE
BOT Resolutions
Chancellor’s
Office
VPFA's Office
Office of Human
Resources
6-75
COMPLIANCE
Must
Statement
Yes
6.3.3
6.3.3.1
6.3.3.2
6.3.3.3
6.3.4.2
6.3.4.3
6.3.4.4
6.3.5 Should
6.3.5.1
6.3.6
6.3.6.1
6.3.6.2
6.3.6.3
6.3.6.4
NA
Supporting Documentation
Location
Annual Budgets
BOT Resolutions
BOT Minutes
BOT Bylaws
Financial Administration
Policies and Procedures
Manual
BOT Resolutions
BOT Minutes
BOT Bylaws
Financial Administration
Policies and Procedures
Manual
VPFA’s Office
Chancellor's
Office
BUDGET PLANNING



6.3.4
6.3.4.1
No
VPFA's Office
Chancellor's
Office
VPFA's Office
BUDGET CONTROL
Monthly budget reports and
VPFA's Office
revisions
Financial Administration
Policies and Procedures
Manual
Monthly budget reports and
VPFA's Office

revisions
Financial Administration
Policies and Procedures
Manual
Monthly budget reports and
VPFA's Office

revisions
Financial Administration
Policies and Procedures
Manual
Monthly budget reports and
VPFA's Office

revisions
Financial Administration
Policies and Procedures
Manual
THE RELATION OF AN INSTITUTION TO EXTERNAL BUDGETARY CONTROL


ACCOUNTING, REPORTING, AND AUDITING

SPIE for VPFA
Code of Alabama
VPFA's Office
Resource room
Financial Administration
Policies and Procedures
Manual
VPFA's Office
Code of Alabama
Reports of the State of
Self-Study



6-76
COMPLIANCE
Must
Statement
6.3.6.5
6.3.6.6
6.3.6.7
6.3.6.8
6.3.6.9
6.3.6.10
6.3.6.11
6.3.6.12
6.3.6.13
6.3.7
6.3.7.1
Yes



PURCHASING AND INVENTORY CONTROL

6.4.8.2

Location
Alabama Department of
Examiners of Public
Accounts
Resource Rm.
Code of Alabama
Reports of the State of
Alabama Department of
Examiners of Public
Accounts
Self-Study
Resource Rm.
Code of Alabama
Reports of the State of
Alabama Department of
Examiners of Public
Accounts
Self-Study
Resource Rm.
Policies and Procedures for
the Departments of
Purchasing, Accounts
Payable, and Inventory
Control
Accounts
Payable,
Inventory Control,
and Purchasing
Office
Oracle
Undergraduate Bulletin
Graduate Bulletin
Oracle
Undergraduate Bulletin
Graduate Bulletin
Self-Study
Resource Rm.
Financial Administration
Policies and Procedures
Manual
VPFA's Office
Financial Administration
Policies and Procedures
Manual
Insurance Policies
VPFA's Office
Financial Administration
Policies and Procedures
VPFA's Office
Chancellor's
VPFA's Office
VPFA's Office
VPFA's Office
REFUND POLICY
Self-Study
Resource Rm.
CASHIERING

6.3.9.2


6.3.10
6.3.10.1
Supporting Documentation


6.3.9.3
NA





6.3.8
6.3.8.1
6.3.9
6.3.9.1
No
VPFA's Office
INVESTMENT MANAGEMENT

6-77
COMPLIANCE
Must
Statement
6.3.10.2
Yes

6.4.2
Location
Manual
BOT Resolutions
Financial Administration
Policies and Procedures
Manual
BOT Resolutions
Office
Financial Administration
Policies and Procedures
Manual
Fact Books
VPFA's Office
OIRPE
2001 Facilities Management
Report
Self-Study
Resource Rm.
A Guide for Using Facilities
at TSU
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
Self-Study
Resource Rm.
VPFA's Office
Chancellor's
Office
PHYSICAL RESOURCES

SPACE MANAGEMENT
6.4.1
6.4.1.1
Supporting Documentation
AUXILIARY ENTERPRISE
6.4
6.4.0
NA

6.3.11
Should
6.3.12
6.3.12.1
No

BUILDINGS, GROUNDS, AND EQUIPMENT
MAINTENANCE
6.4.2.1

Facilities Master Plan
6.4.2.2

Facilities Master Plan
6.4.2.3

Facilities Master Plan
SAFETY AND SECURITY
6.4.3

6.4.3.1
6.4.3.2

6.4.3.3

SPIE – University Police,
Oracle – Student Handbook
2000-2001
Laboratory Safety
Regulations – Biology
Department
TSU Campus Safety Annual
Report
Self-Study
Resource Rm.
Facilities Master Plan
SACS Resource
Rm.
Faculty Handbook
Office of Grants and
Contracts Pamphlet
Faculty Handbook
Provost
Office of Grants
and Contracts
Provost
Self-Study
Resource Rm.
SACS Resource
Rm.
FACILITIES MASTER PLAN
6.4.4
6.4.4.1

EXTERNALLY FUNDED GRANTS AND
CONTRACTS
6.5
6.5.1
6.5.2


6.5.3

6-78
COMPLIANCE
Must
Statement
Yes
6.5.4
6.5.5
6.5.6
6.5.7
6.5.8





6.5.9

6.5.10

6.5.11

6.5.12

6.6
No
NA
Supporting Documentation
Location
Faculty Handbook
Faculty Handbook
Faculty Handbook
Faculty Handbook
Transmittal Sheet for Grants/
Transmittal Sheet for
Contracts
Transmittal Sheet for Grants/
Transmittal Sheet for
Contracts
Transmittal Sheet for Grants
Provost
Provost
Provost
Provost
Office of Grants
and Contracts
Transmittal Sheet for
Contracts
Transmittal Sheet for
Contracts
Office of Grants
and Contracts
Office of Grants
and Contracts
Office of Grants
and Contracts
Office of Grants
and Contracts
RELATED CORPORATE ENTITIES
6.6.1

BOT Resolutions
Current File
6.6.2

BOT Resolutions
Current File
Chancellor’s
Office
Office of Vice
President for
Institutional
Advancement
Chancellor’s
Office
Office of Director
of Auxiliary
Services
6-79