Administrative Financial Policies & Procedures
7.1 PROCEDURE FOR CLOSING OFFICES BECAUSE OF SEVERE SNOW OR ICE STORMS OR OTHER EMERGENCY
All offices will be closed and classes may be canceled when extreme weather conditions exist and the New York State Police inform the University that no unnecessary travel is advisable, or when the President determines there is an emergency situation that could endanger employees.
The Director of Campus Safety will secure travel information from the State Police and inform the Director of Human Resources (or in his or her absence the Associate Director of Human Resources).
The Director of Human Resources will then inform the President, who will make the decision whether or not to close University offices. If the President is not on campus, the Director of Human Resources will contact the Vice President for Academic Affairs or, in turn, the Vice President for Business and Financial Affairs, the Vice President for Student Affairs, the Vice President for Institutional Advancement or the Vice President for Enrollment Management.
If a decision is made to close University offices, the Director of Human Resources will then contact the Director of News Services and/or the Director of Public Relations to disseminate the information to local radio and television stations. The announcement will be made on WSLU-FM, WPDM-AM/WSNN-FM, WMSA-AM/WVLF-FM, WSLB-AM/WPAC-FM, WYBG-AM, WTNY/WCIZ-FM, WWNY TV 7, and WWTI TV 50.
If offices are being closed during the course of the workday, the Director of News Services will e-mail the message to all employees and the Director of Human Resources will implement a telephone chain to contact all University offices.
Essential and emergency employees may be asked to remain on campus to maintain safe and healthy conditions.
NOTE: HUMAN RESOURCES WILL ONLY NOTIFY OFFICES WHEN THE UNIVERSITY IS OFFICIALLY CLOSED.
Revised December 1986
Revised July 1989
Revised September 1993
Revised January 2001
7.2 USE OF RESTRICTED FUNDS
For many years the University has received solicited and unsolicited grants of a restricted nature. University practice and intention has been to honor the restrictive requests of donors. Each year the University receives several grants which are restricted to use by specified individual departments, but unrestricted as to specific use within the department. In order to clarify the control and assure the optimum use of such funds to achieve the objectives of the departments and schools involved, the following are the procedures for handling restricted grants of this nature.
1. The grant will be placed in a reserve account and restricted in use to the department specified by the donor.
2. Expenditures from the account for a purchase or project which requires more than $1,000 should have the approval of the dean of the school as well as the department chair.
October 1969
Editorial Revision August 1971
Editorial Revision 1974
7.3 DISTRIBUTION OF INFORMATION TO THE UNIVERSITY COMMUNITY
1. To provide for the timely and orderly dissemination of information relating to the
University, the following provisions are in effect:
A. Clarkson This Week. Items for distribution to the entire campus community should be placed in Clarkson This Week , a daily on-line publication from University Communications. A printed edition is also distributed weekly on campus, for those with limited access to computers. All items must be submitted via the Clarkson This Week web page.
B. E-mail Distribution. If the Director of University Marketing or the Director of News Services judges an item to be of immediate importance to all or a majority of employees, and the form of the item lends itself to e-mail, University News Services will e-mail the message to all employees. The Vice President for Student Affairs must first approve e-mail distributions to all students, but the Director of University Marketing or Director of News Services may also approve these distributions if necessary.
C. Paper Distribution. If the Director of University Marketing or the Director of News Services judges an item to be of immediate importance to all or a majority of employees or students, and the form of the item does not lend itself to e-mail (large schedules, etc.) a paper distribution will be implemented. The vice President for Student Affairs must first approve mass distributions to students, but the Director of University Marketing or Director of News Services may also approve these distributions these distributions if necessary.
A paper distribution is defined as unaddressed, multiple and identical copies of a document disseminated via interoffice mail to a targeted group. Personally addressed envelopes to multiple individuals do not need approval.
All items for paper distribution through the interoffice mail, should bear on the lower right-hand corner of the first page, the word ADistribution@followed by the appropriate Roman numeral as indicated below:
I. Faculty
II. Administration
V. Technicians, supervisory, clerical, campus safety, and facilities personnel.
VIII. All persons on University payroll.
IX. All undergraduate student mailboxes (primary approval should come from VP of Student Affairs, but may also be approved by the Director of University Marketing or Director of News Services).
Sufficient copies will be included in the interoffice mail to effect the distribution requested. The department secretaries will see that copies reach those for whom they are intended.
2. Items of general information nature relating to affairs outside the University, should be submitted via Clarkson This Week. Their inclusion is at the discretion of the Director of University Communications and Public Relations or the Director of News Services. As with on-campus announcements, all outside items must also be submitted via the Clarkson This Week web page. Distribution of outside materials via e-mail or paper distribution is limited, and at the discretion of the Director of University Communications and Public Relations or the Director of News Services.
3. All proposed questionnaires, surveys, or request for information generated by students or student organizations, that are to be issued to Clarkson faculty, students, administrators, alumni or trustees through e-mail, the campus mail, or other means must be approved by the Vice President for Student Affairs subsequent to review and signatory approval by the faculty advisor or course instructor.
Each survey prepared as part of a course requirement must open with the following disclaimer:
"This questionnaire is part of a study to fulfill a course requirement for COURSE NAME, COURSE NUMBER, and is for instructional purposes only. It has no official University sponsorship or affiliation. If part or the whole of this questionnaire seems inappropriate, inaccurate or undesirable to you, you may refuse to participate in this study, or offer corrective an constructive comments as you wish."
Questionnaires, surveys, or requests for information that are not student generated or directed at students must be approved by the Executive Assistant to the President. Surveys related to sponsored research should be directed to the Director of Research for consideration by the Institutional Review Board.
If the Vice President for Student Affairs or the Executive Assistant to the President questions the approval of the survey, questionnaire, or request for information based on ethical concerns, the survey will be referred to the Institutional Review Board for consideration and further recommendations.
It is therefore important for students, faculty and others to submit such materials to appropriate offices in a timely manner, allowing several days for consideration as described above.
Revised February 1977
Item 3 added August 1977
Editorial Revision August 1982
Editorial Revision November 1983
Editorial Revision September 1991
Revised March 1996
Revised November 1997
Revised March 2000
7.4 PUBLICATIONS AND PRINTING
The preparation of all University publications is to be handled through University Communications.
It is the responsibility of each University officer who is responsible for any publication to bring the requirement to the attention of University Communications in sufficient time to allow the material to be ready when needed. Both copy preparation and proofreading are responsibilities of the officer requesting the publication
University Communications will provide assistance with publications that are funded by an academic or administrative account. During especially busy periods, priority must be given to the following major University-wide publications: Catalog and Course Descriptions, Clarkson Closeup, President's Report, Viewbook, and other admissions projects.
Most publications require six to eight weeks in production after the typed manuscript and illustrative materials are submitted.
Editorial Revision March 1982
Editorial Revision September 1991
7.5 HEALTH AND SAFETY
1. Safety
It is the policy of the University to promote a positive program to make all employees aware of the need to practice proper health and safety measures. Employees should be conscious of, and concerned with, the health and safety of themselves, their fellow employees, students, and visitors to the campus. They should be alert in performing their duties so as to prevent the unexpected accident. Reasonable care and common sense will eliminate many hazards and potential danger areas.
The University is also committed to compliance with the OSHA Hazard Communication Standard relating to each employee's "Right-to-Know" regarding actual or potential hazardous substances in the workplace.
It is the mutual responsibility of department heads, supervisors, and employees to keep the University a safe and healthy workplace. Department heads and supervisors are requested to instruct their employees in the safe way to do their particular jobs, to provide "Right-to-Know" information regarding hazardous substances (Hazard Communication), and not to assume that each person is skilled and safety conscious.
Dangerous or potentially hazardous conditions should be reported at once to the person responsible for the department or section, or the Physical Plant office.
2. Fire Drills
Under New York State Education Law and the Village Code Enforcement Officer, fire drills will be conducted in every University building used by students.
The Director of Campus Safety will conduct such drills at least three times each year. All students, employees and visitors will vacate the building during such drills.
Failure to comply with this policy is in violation of Article 17, Section 807, Sub Paragraph 3 of New York State Education Law and is a misdemeanor.
July 1987
Revised July 1989
Revised September 1993
7.6 USE OF UNIVERSITY PROPERTY
University property is intended solely for use that promotes and enhances education and scholarship, and for activities supporting these missions, such as housing, feeding, and recreation of students, staff, faculty members, conference participants, and guests.
I. University Property
University property includes, but shall not be limited to, the following:
A. The name Clarkson University, all derivations thereof, and all letterheads, stationery, logos, trademarks, and trade names incident to the business and activities of Clarkson University;
B. All campus buildings and facilities, fixtures, utilities, and real estate;
C. All University equipment, vehicles, furnishings, artworks, supplies, and inventory;
D. All University computing resources, library holdings, telephone and communication systems, keys, and campus mail.
II. Unauthorized and Improper Use of University Property
Unauthorized and/or improper use of University property by any persons shall constitute cause for dismissal of and financial restitution by such persons.
Improper use of University property shall include, but not be limited to, the following:
A. Use for any illegal or immoral purpose;
B. Use that is personal in nature and/or incident to or connected with an institutional mission for which the user has not received authorization from the University;
C. Use for which the specific property is not intended or designed, or which could result in damage to University property;
D. Any use which creates a hazardous or dangerous condition posing a threat to persons or property;
E. Use infringing the rights or freedoms of members of the academic community, or which disrupts or obstructs the institutional mission;
F. Use which promotes the interests of business, political, or religious organizations to the exclusion of the interests of others, similar organizations, or organizations with other points of view;
G. Any unauthorized loan or rental of University property.
III. Loan of University Equipment
University equipment may not be loaned to individuals. Occasionally, at the discretion of the vice presidents or deans, or an authorized designee, it may be desirable to loan equipment to institutions or industrial companies in the interest of good public relations. In all such cases where such equipment is removed from the University premises, the vice president or dean or authorized designee must secure a signed receipt for the equipment embodying a guarantee of its return by a specific date in good condition. It is the responsibility of the vice president or dean to see that the terms of the receipt are carried out.
July 1987
7.7 USE OF UNIVERSITY FACILITIES
1. Scheduling of Facilities
Facilities for regularly scheduled classes during the academic year and summer sessions are scheduled through the Student Administrative Services Center and given priority.
Campus facilities, i.e., classrooms, auditoria, etc., used for meetings or events are reserved through the Student Activities Office. Certain types of reservations may require prior approval before confirmation is given, depending upon the location and time of year requested.
All arrangements by scheduling officers shall be forwarded to the Physical Plant Office and Office of Campus Safety.
It is expected that all events held in University facilities will be conducted in a manner appropriate to an academic community. All events must meet the other conditions found in Section 7.6 before a reservation will be finalized.
2. Student Organizations
Student organizations recognized by the Student Senate may schedule campus facilities for normal academic or extra-curricular activities. In instances where these student groups wish to sponsor activities with off-campus groups having related interests, they are expected to take on full sponsorship of the activities in order to avoid situations where their endorsement simply is used to enable outside groups to secure campus facilities, or where they find themselves shouldering the responsibility for events which they have not run.
Student organizations are usually not charged for the use of facilities except for unusual activities entailing special expenses or University services. See paragraph 7 of this section for exceptions regarding political clubs.
3. Clarkson Affiliates
Clarkson affiliates scheduling space for external organizations will be governed by the policy related to use by non-University groups.
4. Non-University Groups
The University recognizes its responsibility to the community and makes many of its facilities available to non-University, politically nonpartisan, nonprofit groups offering the community services. These groups may use the facilities on an occasional, non-continuing basis. Charges may be incurred for use of University facilities.
Requests for use of facilities by such groups should be addressed to the director of Cheel Campus Center. A certificate of insurance must be filed with the office of Budgeting, Planning and Insurance.
5. Security Arrangements
In the case of programs where a security problem may be involved, the organization in question has the responsibility for making security arrangements. However, if the University feels that the security arrangements are inadequate, it reserves the right to cancel the scheduled event.
6. Admission Charge
In order to protect the University's tax exempt status, spectators may be charged admission only when the proceeds accrue to the support of a recognized University organization or a University-approved charitable group.
7. Political Clubs
The University traditionally has recognized and provided facilities on an impartial basis to various on-campus activities which have a partisan political bent, such as the Democratic, the Republican, and other political clubs. This represents no problem. However, to the extent that such organizations extend their activities beyond the campus and intervene or participate in campaigns on behalf of candidates for public office, or permit nonmembers of the University community to avail themselves of University facilities or services, the University must make certain that proper and appropriate charges are made and collected for all facilities and services provided.
April 1968
Revised August 1971, 1976, 1977, 1989
Items I and IV revised and approved by Administrative Council May 1979
Approved by President May 1979;
Editorial Revision December 1986, September 1993
Editorial Revision September 1996
7.8 POLICY STATEMENT AND GUIDELINES ON EDUCATIONAL BUSINESS ACTIVITIES OF CLARKSON UNIVERSITY
I. Education-Related Activities
The primary mission of Clarkson University is the creation and dissemination of knowledge. To carry out this mission, it is often desirable for the institution and its affiliated units to charge fees for providing goods and services that enhance, promote or support its instructional, research, public service, and all other educational and support functions in order to meet the needs of the students, faculty, staff, and members of the public participating in University events.
Educational business activities shall be established and carried on only when pursuant to, and in accordance with, an authorization and statement of purpose approved by the University's governing board and/or chief executive officer.
Each educational business activity shall meet the following three conditions:
A. The activity is deemed to be an integral part in the fulfillment of the University's educational, research, public service, and campus support functions, and other educational and support activities, without regard to profit.
B. The activity is needed to provide an integral good or service at a reasonable price, on reasonable terms, and at a convenient location and time.
C. The activity is carried out for the primary benefit of the campus community but with sensitivity to its impact on the total community.
II. Unrelated Activities
The University should comply with applicable laws and regulations pertaining to such activities, and educational business activities not falling within the guidelines established above may be unrelated business income activities.
July 1987
7.9 EXPENSES
It is the policy of Clarkson University to reimburse necessary and reasonable expenses incurred in the conduct of official University activities. Both the person who incurs expenses and the person who approves reimbursement of expenses are responsible for achieving maximum economy in the expenditure of funds.
Reimbursement of expense is requested, substantiated, and approved on an Expense Account Form, No. 23-A. The amounts reimbursed are charged to departmental accounts. Charges are reported on the monthly budget statement.
Within the framework of this general policy and procedure, more specific details may be developed as needed for contractual or other purposes.
I. Travel Authorization
A. Individuals who expect reimbursement for their expenses of travel, entertainment, or other similar expenses incurred in the conduct of official University activities, must obtain prior authorization for such expenditures. Authorization is granted by the head of the department, dean, or other person authorized to approve such travel authorizations.
B. Travel authorization requests should be submitted by the individual on University Travel Authorization Form, No. 81-B.
II. Accountability for Expenses
A. Individuals ordinarily will not be required to substantiate expense account information on their own income tax returns if a statement of expenses is made to their employer. The University provides the Expense Account Form, No. 23-A, for this purpose.
B. According to current Internal Revenue regulations, amounts reimbursed would be reportable by the University at the end of the year as income to the individual for tax purposes only if there is insufficient detail or substantiation of expenditures, excessive amounts or rates, or where the expense report is not approved by someone other than the person being reimbursed. If it is necessary for the University to report reimbursed amounts as income, it becomes the responsibility of the individuals to account for such expenses on their own income tax returns.
III. Approval of Reimbursements
A. An Expense Account Form must have two signatures: the signature of the person who incurred the expenses, and an approval signature by the head of the department, dean, or other person authorized to review expenses and approve requests for reimbursement.
B. Reimbursement may be limited to something less than the full amount of expenses because of budget limitations or other reasons.
IV. Reimbursable Expenses
A. Reasonable and necessary expenses incurred by the individual in the conduct of official University activities may be approved for reimbursement, provided the expenses are detailed and substantiated properly on Expense Account Form, No. 23-A.
B. Travel costs and related expenses may be approved for reimbursement if common practice and the limitations established by the University are followed. All travel expenses must be essential to the purpose of the trip. (The Expense Account Form must be supported by receipts for any expense of $25 or more and by lodging and commercial travel bills.) When other receipts are available, they should be attached to the expense report.
1. Transportation
Transportation arrangements are made by the traveler.
a. Airline reservations should be made at a cost less than first class fare when practical.
b. Railroad accommodations should be the least costly that will be suitable to the duration of the trip. Accommodations are normally limited to first class, including any premium fare, and the lowest priced enclosed space available not exceeding a bedroom.
c. Personal automobile for extended travel should be considered only in comparison with costs of alternate transportation, e.g., air travel plus car rental. The standard mileage allowance, determined annually by University guidelines, is intended to cover the owner's cost of operating, depreciation, and insurance. Costs of parking, tolls, etc. will be reimbursed.
If long distance trip by personal automobile for the traveler's convenience is approved, reimbursement is authorized at the highway mileage allowance for the shortest distance between points, not to exceed the cost of travel between the same points by public transportation.
2. Meals and Lodging
It is the University's policy to pay reasonable and necessary travel expenses related to meals and lodging incurred on official University business subject to appropriate documentation and approvals by designated officials.
a. Lodging will be reimbursed in the actual and reasonable amounts when properly documented. Accommodations are expected to be comfortable and appropriate to the particular purpose of the trip and not luxurious or extravagant. Tax exemption certificates should be used whenever possible, particularly when traveling within New York State. Claims for lodging must be supported by the original billing and other expenses charged to the room account must be segregated on the Travel Expense Account Form into telephone, meals, or other charges.
b. Meals will be reimbursed for the actual and reasonable amount upon submission of the daily worksheet supporting the Travel Expense Account subject to some limitations. If the amount claimed for a day does not exceed $26.00, no receipts are required. When the daily amount exceeds $26.00, then receipts will be required for each meal claimed for that day regardless of the amount. If guests, not University employees, were present for a meal, there must be supporting documentation reflecting the names, place, and the purpose of the meeting and these costs reflected as entertainment. When other University employees are present for a meal, the names and purpose of the meeting must be supplied. A reminder that alcoholic beverages are not to be included as a meal cost; and if approved by the responsible University official, must be classified as entertainment on the Travel Expense Account Form.
3. Entertainment Expenses
Entertainment expenses directly related to University activities may be reimbursed. Receipts are needed for each expense of $25 or more; any other available receipts of paid bills should be attached to the Expense Account Form. A statement of the purpose of the entertainment expenditures is needed on the report as well as the identity of the persons or groups entertained, the place, the nature, and the cost of entertainment.
4. Other Expenses Related to Overnight Travel
a. Related expenses which may be approved for reimbursement include seminar and conference fees, telephone and telegraph charges, limousine service, bus and taxi fares, car rentals, and the like.
b. Local one-day travel reimbursement usually is limited to transportation or mileage costs, fees for conferences and seminars, telephone calls, and other minor expenses.
5. Travel Expenses of Persons Accompanying the Traveler
a. It is understood that from time-to-time persons traveling for official University business may have a travel companion (i.e., spouses, etc.) Such a companion is neither an employee nor an invited guest of the University for purposes of claiming travel expenses for that individual.
b. If the individual University traveler desires to have a person travel with him/her, it is understood that the University will not reimburse any expenses for that person unless the appropriate vice president or president approved the travel and reimbursement from University funds on the Travel Authorization prior to the commencement of the travel. All expenses relating to the accompanying traveler should be separately accounted for and reflected on the entertainment line of the Travel Expense Account Form. Likewise, all such expenditures should be charged to the entertainment object code 2526. Since such expenses are unallowable under Federal guidelines, they could never be charged to sponsored agreement accounts.
c. Where approval for the travel of the accompanying person is not authorized, it is the responsibility of the traveler to reimburse the University for any costs attributable thereto, such as the extra cost for a double room.
1971
Editorial Revision August 1973
Revised August 1977, 1979, 1980, 1982
(Item IV-B) November 1983; (Item IV-B) January 1984, October 1985, July 1989
Revised December 1992
7.10 LAND USE POLICY
Clarkson University is fortunate to have many acres of land available for its use. These lands, grounds, forests, roads, walks, streams, ponds, and other geographical areas owned and operated by the University are to be used primarily for the academic enrichment and the recreational enjoyment of the University community. The land use policy provides for proper planning, care, and administration of these land areas to encourage and develop their responsible use.
I. Planning and Development
Planning and development of the University lands shall be the responsibility of the Physical Plant Department. The master land use plan shall be maintained and updated as necessary to accommodate the University long-range plan requirements. All requests for ground use changes and/or construction will be directed to the Physical Plant Department.
II. General Maintenance and Upkeep
General responsibility for the maintenance and upkeep of the University lands is with the Physical Plant Department. In those instances where University land is assigned and used primarily by an academic or recreational department, and it is felt to be the best operating procedure, the general maintenance and upkeep may be delegated to the pertinent operating department. The safety, security, and proper use and care of the land is also under its delegated assignment.
Any unsafe, unsightly, and improperly cared for land areas should be reported to the Physical Plant Department.
III. Delegated Areas of Responsibility
The following major areas of delegated operating responsibility have been established within the land use policy:
A. Athletic. Certain areas of the University lands are delegated to the Athletic Department and are to be used specifically for athletic purposes. Uses of these areas for other than athletic functions must be approved by and scheduled with the Chair of the Athletic Department.
These areas are designated on the land use map as Zone A areas.
B. Athletic-Recreation. Certain areas of the University lands are delegated to the Athletic Department and are primarily available for athletic purposes. These same areas are less intensively used for athletic functions and are available more frequently for recreational purposes. Uses of these areas for other than athletic functions must be approved by and scheduled with the Chair of the Athletic Department.
These areas are designated on the land use map as Zone A-R areas.
C. Recreation-General. Many sections of the University lands are available for the general and unscheduled recreational use and enjoyment of the University community.
These are the responsibility of the Physical Plant Department and are subject to the general land use policies outlined herein.
Such areas are designated on the land use map as Zone R-G areas.
D. Recreation-Specific. Certain areas of the University lands are delegated to the Recreation Office for specific recreational uses. These areas may, at times, be used for other than their primary purposes. Such other uses will be approved by and scheduled with the Recreation Office.
These areas are designated on the land use map as Zone R-S areas.
E. Housing. Those University lands in the immediate vicinity of University student housing are delegated to the Housing Department and are available for the unscheduled light recreational, aesthetic, and quiet enjoyment of the University residents. Use of these areas for other purposes must be approved and scheduled with Student Life.
These areas are designated on the land use map as Zone H areas.
F. Academic. University lands adjacent to the academic facilities are reserved for the general academic uses of the University and the necessary traffic to accomplish these purposes. Use of these areas for other than academic purposes must be approved and scheduled by the director of the Cheel Campus Center with the concurrence of the Physical Plant Department.
These areas are designated on the land use map as Zone A-C areas.
G. Roads & Parking Lots. These areas are to be used for the moving and storage of all mechanized traffic. A separate policy concerning traffic and use of roads and parking lots exists and is included as part of Clarkson University traffic regulations.
H. Walks. The University walks are intended and reserved for foot traffic only.
IV. Prohibited Uses of Land
A. Hunting and the Discharge of Arms. Hunting on any University owned and/or operated land is strictly prohibited. The discharge of arms, including bow and arrow, rifles, and pistols, etc. is not permitted. The use of certain approved areas for this purpose under competent supervision and strictly enforced safety conditions is permitted (ROTC, Rifle Range, etc.).
B. Motorized Vehicles. The use of motorized vehicles on any area not paved or surfaced and specifically designated for that purpose is prohibited.
Recreational Vehicles (snowmobiles, ATV's, unregistered dirt bikes, etc.) are not allowed on Clarkson University's property at any time. Use of mechanized vehicles on University ski trails is prohibited.
C. Grounds Disruption. No cutting, digging, planting, transplanting, excavating, or other disruption of any nature on any grounds owned by Clarkson University is allowed without the written permission of or accomplishment by the Physical Plant Department.
D. Unauthorized Construction. No construction or destruction of walls, fences, walks, paths, ponds, roads, or structures of any type is permitted without the written permission and approval of the Physical Plant Department. Such work, if approved, will be performed only under the direction and supervision of the Physical Plant Department.
E. Wood Cutting. Permission to cut and remove fallen timber by other than University grounds crews for University use, can be obtained only from the Physical Plant Department. A signed permit must be obtained from the Physical Plant office in order to cut and/or remove timber or forest products of any kind from University owned and/or operated properties and grounds.
Pages 7.10(4) through 7.10(6) are maps of Clarkson.
June 1978
Revised September 1993
7.11 USE OF UNIVERSITY NAME AND LETTERHEAD
Each member of the staff is obligated to see that the name of the University is not used in advertising or promotional activities of outside organizations, or misused in consulting work, public addresses, or sponsored research activities. Individual faculty members should be careful to distinguish their individual statements from those which might be interpreted as official statements of University policy. It particularly should be understood that opinions expressed by faculty members in making an industrial report are their opinions and not those of the University.
August 1962
7.12 DEALING WITH THE NEWS MEDIA
The director of University Communications is the official spokesperson to the news media.
All University faculty and staff who wish to release any information to the media should contact University Communications; they should not contact the news media on their own. University Communications has worked very hard to build a relationship with them, and can usually get a receptive response from them. This enables Clarkson to insure: 1) that information going to the public is both accurate and complete; 2) that news is written to meet journalistic requirements; and 3) that news is released in a coordinated manner so as to avoid several Clarkson stories competing for an editor's attention.
Anyone contacted by the news media should politely tell the caller that they must first contact the director of University Communications. The employee should then contact University Communications. This allows the office to advise employees on such important matters as: 1) how to insure that main points are not overlooked by the reporter; 2) how to minimize the chance of being misquoted; and 3) how to avoid breaking etiquette with the media.
Revised August 1969
Editorial revisions August 1974, 1977
Revised April 1979, October 1991
7.13 CHARITABLE FUND DRIVES
Clarkson University encourages the principle of charitable contributions by its members to eleemosynary organizations of each individual's choice. Organized fund drives within the University should meet these three criteria:
1. A volunteer organizer who is a member of the faculty, staff, or administration of the University will take personal responsibility for the fund raising effort;
2. The fund raising effort will be carried out without cost to the University (i.e., no University funds, materials, or duplicating machines will be used unless the University is reimbursed) except that internal use of University mail distribution is permitted;
3. The organizations involved will have qualified for I.R.S. income tax deduction.
March 1974
7.14 CAMPUS AESTHETICS
Campus aesthetics includes the image of the University portrayed in publications, and the appearance of the building and grounds.
In order that there be a single focus of responsibility for campus aesthetics, the vice president for Institutional Advancement is charged with approving all changes which affect our image. This includes, but is not limited to, the following:
1. All publications and stationery which carry the Clarkson name;
2. The exterior and interior (public areas) of all buildings;
3. Permanent signs, whether inside or outside of buildings;
4. Alterations of paths, plantings, and outside lighting which will make significant changes in the appearance of the campus.
October 1977
Revised September 1991
7.15 FIREARMS ON CAMPUS
Subdivision 10 of Section 265.01 of the penal law of New York State has the following provision:
Persons who knowingly have in their possession a rifle, shotgun or firearm in or upon a building or the grounds used for educational purposes of any school, college, or University without the written authorization of such educational institution, are guilty of a class A misdemeanor, and are guilty of a class D felony if they have previously been convicted of a crime.
April 1969
7.16 PROCEDURE WHEN THERE IS A DEATH IN THE CLARKSON COMMUNITY
To ensure that the University responds appropriately when there is a death in the Clarkson community, the following procedures have been established.
Anyone who hears of a death in the Clarkson community, i.e., trustee, former trustee, former president, faculty, professors emeriti, honorary degree recipient, staff, retired staff, students, current or former officers of the Alumni Association, special "friends" of the University, and the spouses and children of any of these individuals, should notify the Institutional Advancement Office as soon as possible.
The Insitituional Advancement Office will then notify the president's office which will see that a condolence letter goes to the family. The president's office will also be notified to arrange for the flag in front of Snell Hall to be lowered to half-mast if the deceased is a trustee, former trustee, former president, current employee or student of the University, or a professor emeritus. If the funeral is in Potsdam, the flag will remain lowered until the funeral. If the funeral is out of town, the flag will be lowered for a day. In the case of spouses and children of the above individuals, the flag will not be lowered.
The Institutional Advancement Office should notify the University Communications Office, the Human Resource Office and the Alumni Data Center.
In the case of trustees, former trustees, former presidents, and their spouses, the president's office will decide on the appropriate expression of sympathy. If flowers are to be sent to places of worship or funeral parlors, the Institutional Advancement Office will be asked to order a University spray (gold and dark green). The Institutional Advancement Office will automatically order a similar spray for members of the other groups listed above.
If there are designated contributions in memory of the deceased, i.e., Heart Fund, Clarkson University, etc. that information will be printed in Clarkson This Week as soon as possible. If the funeral is in Potsdam, the Office of University Communications will send out a campus-wide distribution announcing the death, funeral arrangements, and other related information.
July 1989
Editorial Revision September 1991, April 1992
Editorial Revision December 1996
7.17 RELATIONS WITH EXTERNAL AUDITORS
Scope
The University is subject to audits by various agencies of the government for either financial accountability or regulatory compliance audits. In addition, the University may subject itself to audits by external organizations for its own purpose. This policy is intended to establish a central control and liaison for all audits being performed regardless of the type of persons performing the audit.
Designation
The vice president for Business and Financial Affairs or his designated representative is the central contact for all audits being performed on the campus.
If contacted directly by any auditor that is not being directed by the Office of the Comptroller, the auditor should be directed to contact the vice president for Business and Financial Affairs. This will insure that the auditor is being properly assisted and provided with all support necessary to complete the assigned tasks with a minimum of disruption to operations and insure a continuity with regard to information.
Entrance Conference
Normally an entrance conference will be held to establish the purpose, scope, and timing of the audit. This will enable the vice president for Business and Financial Affairs to determine the physical facilities needed and arrange for contact with other departments on campus for availability of information and/or knowledgeable personnel affected by the audit.
Contact During Ongoing Audits
After the audit commences and until conclusion, it is important for the vice president for Business and Financial Affairs to maintain contact with the auditor-in-charge. As requested, the vice president for Business and Financial Affairs will arrange additional interviews, secure additional required documents, answer questions, and supplement interviewee statements. The purpose of such contact is to expedite the audit and to correct any erroneous information which may have been given inadvertently.
Availability of University Records
Auditors should request from the chief accountant or comptroller the records required. The chief accountant or comptroller will inform the auditor as to the best place, time and method of securing records. University personnel will furnish the auditors with all records or data requested. Auditors should not have access to any records or data except those provided by University personnel.
University personnel will inform auditors where to return records. All refiling will be done by University personnel.
In cases where it is necessary to remove records from an office, the auditor will secure the approval of the supervisor. The auditor will comply with the office procedures for identifying records removed from the files, including listing and signing for records removed.
Any problems should be referred to the vice president for Business and Financial Affairs.
Use of University Computer Facilities
There may be instances where the auditors require the use of University computer resources to facilitate an audit. In such cases, the auditor-in-charge should transmit a request through the vice president for Business and Financial Affairs describing the need for programming, system analysis, and computer time in the most specific terms possible. The request should be made sufficiently in advance of need for the services so that arrangements can be made.
Availability of Findings and Exit Conferences
The purpose of the exit conference is to inform University representatives of the audit findings, to clarify possible misunderstandings, and to identify the issues that are unresolved.
In some circumstances, the University may be asked to make preliminary comments on findings concerning specific transactions. In such cases, auditors are expected to provide sufficient information, including reference to specific sponsor policy, to enable the University to adequately review the question(s) and provide a meaningful response.
When audits are of limited scope and a formal exit conference involving several people is not practical or justified, the auditors should notify the vice president for Business and Financial Affairs when the field work is complete.
Scheduling of exit conferences will be the responsibility of the vice president for Business and Financial Affairs.
Audit Reports and Responses
A copy of the audit report will normally be sent by the auditors to the vice president for Business and Financial Affairs whose office will then secure comments, coordinate or prepare the University response and maintain a central file of all audit reports, responses, and related correspondence.
February 1992
7.18 COMPUTER USE POLICY
All computing resources and facilities of the University shall be used solely for University academic, instructional, research, administrative or contract purposes. Any unauthorized or illegitimate use of University computing resources or facilities is a violation of University policy. Violators will be disciplined and are subject to legal action. To be authorized, one must receive special permission from an academic unit and the Educational Resources Center to use university facilities. Clarkson students, staff and faculty, when provided with personal computers and/or software by the University, are authorized to use them and are responsible for safekeeping of the computer and software.
Uses other than for the purposes specified above are illegitimate. In addition, without permission of the Educational Resources Center and other interested parties as appropriate, illegitimate use includes:
1. Unauthorized modifications of Clarkson computing hardware or software;
2. Unauthorized use of a computer access account;
3. Unauthorized access into program libraries, data files and personal computer hard drive and diskettes;
4. Unauthorized modifications and/or destruction of information stored in program libraries, data files, and personal computer hard drives and diskettes, whether owned by Clarkson or any member of the Clarkson community;
5. Illegal copying of the computer software. Violators will be disciplined and are subject to legal action.
It is illegal to copy copyrighted software unless specific permission is obtained from the copyright holder. It is also illegal to copy software in which the author possesses a proprietary interest. At times copyrighted or proprietary software may be made available for educational purposes to Clarkson students, faculty and administrators, but absence of licenses or usage agreements does not imply permission to copy.
March 1996
7.19 COMPUTER SOFTWARE POLICY
The purpose of the software policy is to clarify the rights and responsibilities of all parties concerned with development of software and its documentation. This policy is established to encourage the production and sharing of software products within the Clarkson community.
1. Any member of the Clarkson community-faculty, administration, staff and students-who has developed software is free to publish and/or market such software as he or she sees fit, provided that Clarkson has not commissioned the software to be developed and directly paid for its development. In case Clarkson contributed to the development of software and/or documentation that was not commissioned by Clarkson, and in the event software is marketed, the author(s) should determine how Clarkson would be compensated for its contribution.
2. Clarkson is willing to consider assisting software developers in marketing activities. Toward this end the Computer Software Committee, appointed by the president, has the responsibility to determine if it is appropriate for Clarkson to participate in the marketing of a product brought to the committee for its consideration. If the committee feels it is appropriate for Clarkson to market the product, it will then determine the extent to which the University should participate in the marketing effort. The Computer Software Committee will negotiate with the author(s) on such matters as:
a. Clarkson's participation in the marketing
b. external fee level
c. copyright procedures
d. reimbursement for the production and marketing expenses
e. income division
f. naming the product.
3. If software commissioned by Clarkson is under consideration for marketing, the Computer Software Committee must be consulted before any marketing is accomplished.
4. The Division of Research must be consulted if software is developed with funds provided by external contracts and grants. Such software must be treated in keeping with the terms of the contract or grant.
5. Clarkson University shall receive a royalty?free license for internal use of any software product developed by its employees. The same privilege is expected for products developed by its students.
6. Software products developed at Clarkson shall be identified with the University in some manner.
7. Decisions of the Computer Software Committee can be appealed by submitting requests to the president.
March 1996
7.20 CONFLICT OF INTEREST POLICY
I. Introduction and Definition
Trustees, executive officers, deans, directors, faculty, and staff (hereafter AMembers@) all have an obligation to make decisions in a way that promote the best interests of the institution. This policy recognizes that all of the Members of the University community will conduct their relationships with each other and the University with honesty and integrity.
At the same time, it is also understood that Members retain their rights to interests and activities of a personal or economic nature. Members will make every effort to recognize and avoid possible perceptions of or actual adverse effects of their external activities on the best interests of the institution.
This statement confirms the University policy that faculty and other employees who accept full-time appointments have a primary commitment to the University and that they will be sensitive to the possible adverse effects of their external activities. It is recognized, however, that the quality of teaching, research, extension service, and the administration of University programs may be enhanced when members participate in extramural activities which enhance their value to the University, so long as their commitments to the University are not adversely affected.
Potential conflicts of interest exist when commitments and obligations to the University are likely to be (or may appear to be) compromised by the Member=s other interests or commitments, especially economic, particularly if those interests or commitments are not disclosed. A potential for conflict may also exist when a Member=s independence and objectivity of judgement in the discharge of duties to the University may be (or may appear to be) affected, or if the Member may receive financial or material benefit from knowledge of information confidential to the University. This policy requires that all Members identify, evaluate, and disclose potential conflicts of interest that may appear to compromise their obligation to the University. Disclosure is required at the time the appearance or potential for conflict is first identified. This policy covers Members of the University community (Board of Trustees, executive officers, deans, directors, faculty and staff), their spouses, and dependent children.
II. Scope of the Conflict of Interest Policy
A. Trustees
Trustees owe special care and loyalty to the University and must maintain the best interests of the University in all Board-related deliberations and decisions. This includes disclosing actual or perceived conflicts of interest at the earliest possible point of awareness. Trustees shall not make use of information relating to the University=s business for personal gain of any nature by the Trustee or his/her immediate family.
B. Executive Officers, and Administrators (Includes Vice Presidents, Deans, Department Executive Officers, Executive Directors and Directors)
Executive Officers and Administrators of the University owe special care and loyalty to the University and must exercise care in maintaining the best interests of the University in all University -related decisions by disclosing actual or perceived conflicts of interest. Since these officers will be involved in such decisions practically on a daily basis, the opportunity for creation of conflicts (as well as the appearance thereof) is greatest and must be avoided.
C. Faculty
Faculty who hold full time appointments have a primary commitment to the University. The University Operations Manual Sections 5.2 (Duties of a Faculty Member) and 6.4 (Consulting) define the faculty members= obligations to the University.
D. Staff
The University expects that staff members will recognize the possibility that their external activities, commitments, and interests may have adverse effects on the performance of their University obligations. This policy applies to both exempt and non-exempt staff.
E. Part-time Appointments
Part-time employees may have a high potential for conflict of interest because of multiple demands of their time. It is expected that part-time employees will disclose potential conflicts and fulfill their obligations.
III. Categories of Conflicts
The University thrives when its faculty and staff pursue sponsored research activities with vigor. Their activities include interactions with many external agencies. Predictably, some external relationships will have the potential to create conflicts of interest or commitment, or the appearance thereof. In many situations these conflicts will be apparent only and can be resolved by disclosure. Actual conflicts fall into two categories.
A. Conflict of Interest
A conflict of interest may arise when a member has the opportunity to influence the University=s business, administrative, academic or other decisions in ways that could lead to personal gain or advantage of any kind. Or, a conflict of interest may arise when the financial interest or personal considerations of a member may compromise or appear to compromise the member=s judgment or ability to perform his/her obligations to the University.
B. Conflict of Commitment
A conflict of commitment arises when a member undertakes external commitments which interfere with the member=s obligations and commitments to Clarkson
Examples of potential or actual conflicts
In this example, an investigator is defined as a principal investigator, or co-principal investigator, and any other person at the University who is responsible for the design, conduct, or reporting of research or educational activities funded, or proposed for funding by an external sponsor.
1. A member may not directly or indirectly lease, rent, trade or sell real or personal property to the University without full disclosure of the relevant facts.
2. A member may not possess a substantial interest in or participate in the profits of any organization that deals or seeks to deal with the University without full disclosure of the relevant facts. Participation through stockholdings, mutual funds and similar vehicles is not a conflict unless the stocks of the organization held by the individual constitute a stubstantial holding.
3. Giving well paid lectures or consulting for companies or organizations whose economic interests are affected by the investigator=s work that are supported by the sponsored funds.
4. Undertaking evaluative research with sponsored funds when the investigator or the investigator=s dependents or spouse have a financial, managerial, or ownership interest in the sponsoring company or in the company producing the product tested.
5. Providing privileged access to information, developed with University resources or supported by sponsored funds to an entity in which the principal investigator has a financial interest.
6. Purchasing equipment, instruments, or supplies from sponsored funds for research from a firm in which the principal investigator has a financial interest.
7. Commitments that involve frequent or prolonged absence from the University on non-University business.
8. Commitments that engage a substantial portion of the time a member is expected to spend in University related activities and which thereby dilutes the amount or quality of participation in the instructional, scholarly or administrative work of the University.
IV Conflict Disclosure, Avoidance and Resolution
Members are expected to evaluate and arrange their external interest and commitments in order to avoid compromising their ability to carry out their primary obligations to the University. In the first instance, conflicts should be avoided or resolved through the exercise of individual judgment or discretion.
Full disclosure of the circumstances surrounding a real or potential conflict should be made prior to making the commitment of initiating the activity which poses the possible conflict.
It is the institution=s responsibility for determining whether a conflict exists and conditions or restriction placed to resolve any perceived or actual conflict of interest. The policy is administered as defined below.
A. Trustees, President and Vice President for Business
Trustees, the President, and Vice president for Business and Financial Affairs (hereinafter referred to as the Vice President for Business) shall file an annual disclosure with the Chair of the Trustee Audit Committee. In the event of a reported conflict the Chair shall consult with the members for the Audit Committee and will provide the person disclosing the conflict with a memorandum outlining the disposition of the matter with a copy to the Chair of the Board.
If a conflict should arise between annual disclosure statements, each Trustee has the obligation to inform the Chair of the Audit Committee. In the event that an unforeseen conflict should arise at a Board meeting, a Trustee perceiving a conflict must recuse him/herself from discussion and voting on the matter. In such situations the Trustee will be excused from the meeting by the Chair who will direct that it be duly noted in the minutes.
If at any time a Trustee, the President, or the Vice President for Business may have a question about the interpretation of this policy, they are encouraged to ask for the opinion of the Audit Committee Chair.
B Members of the Faculty and Staff of Instruction and Research
All disclosure of the Faculty and Staff of Instruction and Research (hereinafter referred to as Principal Investigator) must be in writing and must fully disclose all information relevant for a complete understanding of the disclosure at the beginning of each fiscal year to meet the Federal rules (DHHS and NSF conflict of interest policies effective October 1, 1995 which will be maintained in the office of Division of Research. The Director of Research reviews each disclosure and may do the following:
1. Review the disclosure with the Principal Investigator to determine if a potential for conflict exists, and to resolve any potential conflict with the Principal Investigator.
2. Refer the disclosure to a Conflict of Interest Committee who will review the disclosure and determine if a conflict of interest exists, and recommend resolutions to any potential conflict interest to the Director of Research. The Committee consists of five members appointed by the Director of Research. The membership includes at least three faculty members who conduct research with external funds, one administrative member from the financial affairs staff of the University, and one additional staff member to be appointed in consultation with the investigator. The Director of Research serves as an ex-officio member.
Principal investigators may appeal a decision in #1 above, by requesting a review of their disclosure by the committee #2.
Principal investigators submitting research proposals must certify that there are no changes since the annual disclosure was submitted. If there are changes, the disclosure must be updated prior to submission of a proposal to an external agency, and during evaluation period of the award. Members are expected to evaluate and arrange their external interest and commitments in order to avoid compromising their ability to carry out their primary obligations to the University.
Examples of conditions or restrictions that may occur in the management of any potential conflict of interest may include, but are not limited to the following:
1. Disclosure of significant financial interests to the funding agency.
2. Monitoring research by an independent reviewer.
3. Modification of the research plan.
4. Disqualification from participation in the portion of research affected by the financial interests.
5. Divestiture of financial interests.
6. Severance of relationships that create the conflict.
7. The institution may notify the external agency that the University is unable to manage an actual or potential conflict of interest.
All financial disclosure records will be retained until three years after termination or completion of the award to which they relate, or the resolution of any government action involving those records.
1. All Other Members of the Staff
The Vice President for Business, on an annual basis, will review each disclosure to determine if a potential for conflict exists. Members involved in the following duties must be particularly conscious of the potential for conflict: the procurement, exchange or sale of goods, services or other assets; the negotiation or formation of contracts or other commitments affecting the assets or interests of the institution; and the handling of confidential information and the rendition of professional advice to the University. Members involved in such activities shall render a disclosure statement at the request of the appropriate Vice President/Dean of an organizational unit or on an annual basis if so directed by the Vice President for Business.
Disclosure statements are filed at the beginning of each fiscal year (July 1) and are maintained in the employee=s personnel file in the Office of Human Resources. All disclosures shall be sufficiently detailed to permit an accurate and objective evaluation. Each member is obliged to cooperate fully in the review of the pertinent facts and circumstances.
If the Member discloses any information in which an appearance of or actual conflict exists, the Vice President for Business will do either of the following:
2. Review the disclosure with the Member to determine if a potential for conflict exists, and to resolve any potential conflict with the Member. If a potential or actual
conflict exists, the Vice President for Business and the Member will execute a Memorandum of Understanding defining the resolution of the potential or actual conflict. The Memorandum of Understanding will be filed with the conflict of interest disclosure form in the Office of Human Resources.
3. Refer to the disclosure to a Conflict of Interest Committee who will review the
disclosure and determine if a conflict of interest exists, and recommend resolutions to any potential conflict of interest to the Vice President for Business. The Committee will consist of five members appointed by the Vice President for Business. The Membership includes at least two faculty members, two administrative members, and one additional staff member to be mutually agreed upon and selected from the 25 members of the University Grievance Committee.
Members may appeal a decision in #1 above, by requesting a review of their disclosure by the committee in #2.
As an example, a Member may not review, approve, or administratively control contracts when the contract is between the University and a company in which the Member has a substantial financial interest, or when the contract is with the member=s spouse or dependent child, or when a Member=s spouse or dependent child is an employee of the contract and directly involved with activities included under the contract. Resolution of the conflict of interest in this example may involve a written Memorandum of Understanding in which the Member agrees to remove him/herself from any discussions regarding such contracts, and to place responsibility for review and approval of such contracts with a Member who is not in a reporting relationship with him/her.
V. Disclosure Statement Forms
The Conflict of Interest Disclosure form (Exhibit 1) will be administered by the Vice President of Business in collaboration with the Division of Research and the Office of Human Resources.
June 1996
Clarkson University
Conflict of Interest Disclosure
Exhibit 1
To: Vice president for Business and financial Affairs, Box 5540
Name: _____________________________________ 9 Faculty/Staff of Instruction & Research 9 All Other Staff
PLEASE PRINT
I have read Policy 7.20 Conflict of Interest Policy for Clarkson University. This policy covers Members of the University community (Board of Trustees, Vice Presidents, executive Officers, directors, faculty and staff), their spouses and dependent children.
1.
__I do not have significant financial and commitment conflicts, as defined by the Clarkson University policy, that possibly could affect or be perceived to affect the results of the research or educational activities funded or proposed for funding or obligations to the University.
2.
__I am disclosing the following significant financial interest (check one) and attaching supporting documentation (in an envelope marked confidential) that identifies the business enterprise or entity involved and the nature and amount of the interest:
(Significant financial interests are defined as interests valued greater than $5,000 to $10,000 or an equity or ownership interest of more thatn five percent held by a member and the member=s spouse or dependent children. See page 1 for exempt interests.)
__Salary or other payment for services (e.g. consulting fees or honoraria).
__Equity interests (e.g. stocks, stock options, or other ownership interests).
__Other significant financial or commitment conflicts of the member that possibly could affect or be perceived to affect the results of the research or educational activities funded or proposed for funding or obligations to the University.
Further, I agree:
· To update this disclosure during the evaluation period of the award, either on an annual basis, or a new reportable significant financial interests are obtained.
· To cooperate in the development of a Memorandum of Understanding (MOU) that constitutes a conflict of interest "resolution plan".
· To comply with any conditions or restrictions imposed by the University to manage, reduce, or eliminate actual or potential conflicts of interest or forfeit the award.
Signed:________________________________________ Date:__________________________
(Original signature only "per" signature is not acceptable)