AGENDA
REGULAR MEETING OF THE UTAH STATE UNIVERSITY BOARD OF TRUSTEES Utah State University – Huntsman Hall
May 6, 2016
8:30 a.m.
Breakfast for the Trustees
L. Tom Perry Community Pavilion 4th floor, Huntsman Hall
9:00 a.m.
Regular Meeting
Douglas D. Anderson Executive Boardroom 4th floor, Huntsman Hall
9:05 a.m.
Executive Session
Douglas D. Anderson Executive Boardroom 4th floor, Huntsman Hall
10:00 a.m.
Regular Meeting
Douglas D. Anderson Executive Boardroom 4th floor, Huntsman Hall
Introductory Items Chair’s Report President’s Report Consent Agenda Action Agenda
11:30 a.m.
Lunch
L. Tom Perry Community Pavilion 4th floor, Huntsman Hall
12:30 p.m. 1:00 p.m. 1:30 p.m. 6:00 p.m.
Assemble for Graduate Hooding Ceremony Procession to Spectrum Graduate Hooding Ceremony Dignitaries Dinner
Nelson Field House Dee Glen Smith Spectrum David B. Haight Alumni Center
CHAIR’S REPORT
A. Information Items 1. Letter of Commendation and Appreciation to Trevor Sean Olsen 2. USUSA Report 3. Alumni Association Report 4. Department of Public Safety 2015 Annual Report: http://www.usu.edu/trustees/agenda/2016/pdf/dps-2015.pdf 5. Commencement 2016 Schedule 6. Date of the next Board of Trustees Meeting, June 24, 2016 to be held via conference call 7. B. Action 1. Oath of Office for Ashley Waddoups
UTAH STATE UNIVERSITY BOARD OF TRUSTEES May 6, 2016
RESOLUTION OF APPRECIATION AND COMMENDATION TO
Trevor Sean Olsen Trevor Sean Olsen, as student body president and member of the Utah State University Board of Trustees, you have served with honor and distinction. Your compassion, integrity, interpersonal skills, and professionalism set you apart from your peers. You approached the various tasks of student government with vision and passion as you advocated for the students of Utah State University (USU). Your commitment to USU was evident by your willingness to sacrifice and serve the Utah State University Student Association (USUSA). Your capable leadership was made evident through your year of service to USUSA while concurrently serving as the President of the Utah Student Association, representing 180,000 higher education students in Utah. Your presentations to various governing bodies were informative and effective. You are an example of tremendous veracity; someone who is true to his convictions. You have worked long hours representing students’ needs and worked diligently on the resolution that was recently acknowledged in both the State Senate and the House of Representatives this legislative session, raising awareness about the lack of funding for mental health services for university students. You successfully promoted the “Mental Health is NO Joke: Stand Up to Stigma,” campaign on our campus and initiated a statewide campaign and video. Because of your leadership, even-tempered maturity, and reliable listening skills, you and USUSA were able to create an atmosphere that enhanced the quality of student life. Your presidential term was marked with an ability to look at the big picture and make decisions with the entire student body in mind. Your service to USU and the state of Utah have left a lasting legacy and standard for future presidents to uphold. With sincere gratitude, we recognize your contributions in improving the quality of student life and making Utah State University a better institution of higher learning. We express to you our appreciation and we wish you the very best in your future endeavors. Ronald W. Jibson
Stan L. Albrecht
Chairman, Board of Trustees
President, Utah State University
PRESIDENT’S REPORT I. PRESIDENT’S REPORT A. Information Items
1.
Student Resolution of Commendation to Lizie Allen
B. Recent Events 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
USU Foundation Board Meeting – March 5, 2016 Mountain West Basketball Tournament – Las Vegas, Nevada, March 7-12, 2016 Mountain West Board of Directors Meeting – Las Vegas, Nevada, March 11, 2016 Council of Presidents – Salt Lake City, March 15, 2016 Remarks at Huntsman Hall Dedication Ceremony, Ribbon Cutting and Reception – March 16, 2016 Regence Blue Cross Blue Shield Community Board Meeting – Salt Lake City, March 17, 2016 Salt Lake Chamber Board of Governors – Salt Lake City, March 22, 2016 Remarks at Employee Recognition Luncheon – March 23, 2016 Inaugural Professor Lecture, Kristine Miller, President’s Home – March 23, 2016 Legislative Appreciation Dinner, President’s Home – March 24, 2016 Student Advisory Council Breakfast, President’s Home – March 29, 2016 Board of Regents – Dixie State University, St. George, April 1, 2016 Caine College of the Arts Awards Celebration and Donor Recognition – April 1, 2016 K-16 Alliance – April 4, 2016 Remarks at R. Fareed Zakaria, Dean of College of Humanities and Social Sciences Guest Lecture and Dinner – April 5, 2016 Aggie Football Banquet – April 6, 2017 Remarks at Diversity Awards Luncheon, President’s Home – April 7, 2016 Remarks at USU Retirement Dinner – April 7, 2016 USU Board of Trustees Teleconference Meeting – April 8, 2016 Aggie Auction Dinner – April 8, 2016
C. Upcoming Events 1. 2. 3. 4. 5. 6. 7. 8.
Remarks at Alumni Hall of Honor Luncheon– April 9, 2016 Merlin Olsen Fund Dinner – April 9, 2016 Utah Campus Compact Awards Luncheon, President’s Home – April 11, 2016 Remarks at Research Gala – April 11, 2016 Seely-Hinckley Scholarship Luncheon – April 12, 2016 Remarks at Salt Lake Chamber Giant in Our City – Salt Lake City, April 12, 2016 NCAA President Mark Emmert Visit to Utah State University – April 13-14, 2016 Present at Robins Awards – April 16, 2016
9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28.
Remarks at Emeriti Luncheon – April 18, 2016 USUSA Incoming/Outgoing Officers Breakfast, President’s Home – April 19, 2016 Aggie Passport Reception, President’s Home – April 20, 2016 USU-Southwest Commencement – Nephi, April 21, 2016 Remarks at Sunrise Session – Presenter: Student IGNITE Research Presenters – Salt Lake City, April 22, 2016 USU-Brigham City Commencement – Brigham City, April 22, 2016 USU-Tooele Commencement – Tooele, April 23, 2016 Northwest Commission on Colleges and Universities Executive Committee Meeting – Portland, Oregon, April 25-26, 2016 NCAA Board of Directors Meeting – Indianapolis, Indiana – April 27-28, 2016 USU-Moab Commencement – Moab, April 28, 2016 USU-Blanding Commencement – Blanding, April 29, 2016 USU Eastern Commencement – Price, April 30, 2016 USU-Uintah Basin Commencement – Vernal, April 30, 2016 Council of Presidents – Salt Lake City, May 3, 2016 Utah Campus Compact – Salt Lake City, May 3, 2016 Governor’s Medal Luncheon – Salt Lake City, May 5, 2016 USU Board of Trustees – May 6, 2016 USU Graduate Commencement and Hooding Ceremony – May 6, 2016 President’s Commencement Dinner – May 6, 2016 USU Undergraduate Commencement Ceremony – May 7, 2016
2
CONSENT AGENDA 1.
Minutes from the Executive Session held on April 8, 2016
2.
Minutes from the Regular Meeting held on April 8, 2016
3.
Certificate of Treasurer – 2015-12 – December
4.
Certificate of Treasurer – 2016-01 – January
5.
Contract/Grant Proposals and Awards – 2016-02 - February
6.
Contract/Grant Proposals and Awards – 2016-03 - March
7.
Delegation/Administrative Reports – 2016/01/2 to 2016/02/19
8.
Delegation/Administrative Reports – 2016/02/19 to 2016/03/25
9.
Faculty and Staff Adjustments
10. Report of Investments – 2015-12 – December 11. Report of Investments – 2016-01 – January 12. USU Policy 305 Discrimination Complaints 13. USU Policy 337 Safety and Health 14. USU Policy 339 Sexual Harassment 15. USU Policy 350 Educational Benefits 16. USU Policy 402.10.1 Apportionment of Elected Faculty Positions 17. USU Student Code of Policies and Procedures 18. Acceptance of Written Reports
Advancement/Alumni Athletics Business and Finance Classified Employees Association Executive Vice President and Provost Extension and College of Agriculture Faculty Senate Innovation and Commercialization Professional Employees Association Public Relations and Marketing Research and Graduate Studies Student Services USU Eastern USUSA
EXECUTIVE SESSION UTAH STATE UNIVERSITY BOARD OF TRUSTEES HELD AS A CONFERENCE CALL April 8, 2016
Minutes of the Executive Session of the Utah State University Board of Trustees held at Utah State University, Old Main room 136, commencing at 9:35 a.m.
MEMBERS PARTICIPATING Ronald W. Jibson Chair – via telephone Scott R. Watterson Vice Chair – via telephone Karen H. Huntsman via telephone J. Scott Nixon via telephone Frank Peczuh, Jr. via telephone Lane L. Thomas via telephone MEMBERS EXCUSED Jody K. Burnett Linda Clark Gillmor Mark K. Holland Susan D. Johnson Trevor Sean Olsen UNIVERSITY REPRESENTATIVES PRESENT Stan L. Albrecht President Noelle E. Cockett Executive Vice President and Provost Sydney M. Peterson Chief of Staff and Secretary to the Board of Trustees
Chair Jibson conducted the meeting. Personnel and property issues were discussed. The Executive Session adjourned at 10:03 a.m. ___________________________________ Ronald W. Jibson, Chair
________________________________ Date Approved
__________________________________ Sydney M. Peterson, Secretary
REGULAR MEETING UTAH STATE UNIVERSITY BOARD OF TRUSTEES HELD AS A CONFERENCE CALL APRIL 8, 2016 Minutes of the Regular Meeting of the Utah State University Board of Trustees held as a conference call in Old Main room 136 commencing at 9:33 a.m. MEMBERS EXCUSED Ronald W. Jibson Scott R. Watterson Karen H. Huntsman J. Scott Nixon Frank Peczuh, Jr. Lane L. Thomas
Chair – via telephone Vice Chair – via telephone via telephone via telephone via telephone via telephone
MEMBERS EXCUSED Jody K. Burnett Linda Clark Gillmor Mark K. Holland Susan D. Johnson Trevor Sean Olsen UNIVERSITY REPRESENTATIVES PRESENT Stan L. Albrecht President Noelle E. Cockett Executive Vice President and Provost Sydney M. Peterson Chief of Staff and Secretary to the Board of Trustees
Chair Jibson called the meeting to order. Action: Trustee Thomas moved that in accordance with 52-4-205 of the Utah Code the Trustees go into a closed Executive Session for the sole purpose of discussing the character, professional competence, or physical or mental health of individuals, pending or reasonably imminent litigation, and the possible sale of real property. Trustee Huntsman seconded the motion. The voting was unanimous in the affirmative. Chair Jibson called the meeting back to order at 10:07 a.m. I.
Chairman’s Report A. Date of next Board of Trustees Meeting The next Board of Trustees meeting will be held on Friday, May 6, 2016, on the USU Campus.
B. USU Commencement Ceremonies Chair Jibson mentioned the upcoming commencement ceremonies and asked that the Trustees confirm which events they plan to attend.
II.
Consent Agenda Trustees were given the following consent agenda material for their consideration: A. Minutes from the Executive Session held on March 4, 2016 B. Minutes from the Regular Meeting held on March 4, 2016 Action: Trustee Thomas moved the approval of the consent agenda. Trustee Huntsman seconded the motion. The voting was unanimous in the affirmative.
III.
Action Agenda A. Tenure and Promotion Decisions 2016 Chair Jibson explained that the main purpose of the meeting is to approve promotion and tenure decisions. The Trustees were given the list of those decisions prior to the meeting. Provost Cockett recommended that the Board approve the decisions for promotion and/or tenure effective July 1, 2016. Chair Jibson asked if there were any questions for the Provost; none were expressed. Action: Trustee Peczuh moved the approval of Resolution 16-04-01, Tenure and Promotion Decisions 2016. Trustee Watterson seconded the motion. The voting was unanimous in the affirmative.
Chair Jibson expressed his appreciation to the Provost and the Promotion/Tenure Committee for the tremendous amount of work involved in this process.
Action: Trustee Huntsman made a motion to adjourn the Regular Meeting. Trustee Nixon seconded the motion. The voting was unanimous in the affirmative. The regular meeting adjourned at 10:13 a.m.
___________________________________ Ronald W. Jibson, Chair
__________________________________ Sydney M. Peterson, Secretary (Minutes taken by Carolyn Brittain)
___________________________________ Date Approved 2
6 May 2016 ITEM FOR ACTION RE: Certificate of Treasurer for December 2015 The Certificate of Treasurer for December 2015 is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The State Appropriated Funds budget at 31 December 2015 totaled $354,583,035 up $14,917,063 (4.39%) over the same 2014-2015 period. The year-to-date state appropriated funds expenditures totaled $149,399,397, up $647,077 (0.44%) over the same 2014-2015 period and represented 42% of the total budget. The percent of budget expended, 42%, was 8% less than would be expected to be spent on a strict time of budget year expired basis. Total expenditures for all funds totaled $368,843,561, up $1,047,643 (0.28%) over the same 2014-2015 period.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the Certificate of Treasurer for December 2015.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Authorized invoices and supporting papers have been filed pertaining to those expenditures listed on the attached Certificate of Treasurer; and WHEREAS, Expenditures listed on the attached Certificate of Treasurer have been reviewed and approved for payment by the USU Controller's Office, Purchasing Department, and other departments; and WHEREAS, The expenditures listed on the attached Certificate of Treasurer are in accordance with the laws and rules of Utah State University and the State of Utah; and WHEREAS, The Chief Financial Officer for Utah State University, David T. Cowley, Vice President for Business and Finance, has certified to the best of his knowledge and belief that all expenditures listed on the attached Certificate of Treasurer were legitimate claims against Utah State University and funds were available for payment of said claims; and WHEREAS, Vice President Cowley requests approval of the listed expenditures by fund for the period 1 July 2015 to 31 December 2015 on the attached Certificate of Treasurer; and WHEREAS, The President of Utah State University has reviewed the attached Certificate of Treasurer and recommends its approval of those expenditures listed thereon by the Utah State University Board of Trustees; and WHEREAS, The USU Board of Trustees has reviewed and given due consideration, review, and authorization of the expenditures listed on the attached Certificate of Treasurer; NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the attached Certificate of Treasurer as presented and ratifies the expenditures listed on said Certificate of Treasurer for December 2015.
===================================================================== RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
___________________ Date
CERTIFICATE OF TREASURER I, David T. Cowley, Vice President for Business and Finance, of Utah State University, do hereby certify as follows and request approval of the listed expenditures by fund for the period 1 July 2015 to 31 December 2015. Authorization, invoices, and supporting papers have been filed pertaining to the following enumerated expenditures, which have been reviewed and processed for payment by the Controller's Office, Purchasing Department, and other departments; according to the laws, rules, and regulations of Utah State University and the State of Utah. To the best of my knowledge and belief, all are legitimate claims against Utah State University and funds were available for payment of said claims.
State Appropriated Funds
Percent of Budget Expended (50% Fiscal Year Expired)
Budget
Education and General (Except Athletics) Athletics E&G - O&M Agricultural Experiment Station UWRL Appropriation UWRL Apportionment Tooele - Cont. Ed. Center Educationally Disadvantaged Southeastern Utah - Cont. Ed. Center Uintah Basin - Cont. Ed. Center Cooperative Extension Brigham City - Cont. Ed. Center USTAR AWSF - USTAR Funding E&G - Vet Med Price (USU Eastern) Blanding Campus (USU Eastern) Educationally Disadvantaged (USU Eastern) Prehistoric Museum (USU Eastern) Workforce Education (USU Eastern) Total State Appropriated Funds
$224,933,632 6,431,431 2,128,300 16,402,609 3,652,808 5,112,154 11,774,853 100,033 2,300,368 6,126,943 16,491,719 30,862,544 699,494 100 5,269,900 15,490,263 4,220,044 187,520 559,443 1,838,877 $354,583,035
Total State Appropriated Funds 2014-2015
$339,665,972
Increase from 2014-2015 Percent Increase from 2014-2015
$14,917,063 4.39%
43% 43% 5% 34% 24% 35% 52% 41% 48% 51% 36% 49% 13% 30% 38% 41% 48% 0% 38% 32% 42%
1-Dec-15 31-Dec-15 $11,877,276 399,275 55,532 891,292 130,347 311,431 1,177,552 5,082 268,067 621,512 969,440 3,912,469 (4,165) 5 258,748 1,090,823 326,476 29,447 91,997 $22,412,606
Year to Date 95,638,441 2,764,363 116,035 5,602,736 890,929 1,768,859 6,127,143 41,087 1,100,394 3,109,688 5,961,789 15,027,608 89,988 30 2,004,407 6,333,176 2,022,713 212,455 587,556 $149,399,397
Prior Year to Date $97,991,898 2,524,507 5,335,924 898,438 1,637,998 5,313,953 27,629 1,011,553 3,027,370 6,019,901 13,247,872 2,951,354 28,968 5,963,655 1,973,948 49,055 215,332 532,965 $148,752,320
Increase (Decrease) from Prior Year ($2,353,457) 239,856 116,035 266,812 (7,509) 130,861 813,190 13,458 88,841 82,318 (58,112) 1,779,736 (2,861,366) (28,938) 2,004,407 369,521 48,765 (49,055) (2,877) 54,591 $647,077
Percent Increase (Decrease) from Prior Year (2.40) 9.50 5.00 (0.84) 7.99 15.30 48.71 8.78 2.72 (0.97) 13.43 (96.95) (99.90) 6.20 2.47 (100.00) (1.34) 10.24 0.44
% % % % % % % % % % % % % % % % % % % % %
6 May 2016 ITEM FOR ACTION RE: Certificate of Treasurer for January 2016 The Certificate of Treasurer for January 2016 is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The State Appropriated Funds budget at 31 January 2016 totaled $354,503,214, up $14,837,242 (4.37%) over the same 2014-2015 period. The year-to-date state appropriated funds expenditures totaled $173,141,133, down $1,035,355 (0.59%) from the same 2014-2015 period and represented 49% of the total budget. The percent of budget expended, 49%, was 9% less than would be expected to be spent on a strict time of budget year expired basis. Total expenditures for all funds totaled $465,459,555, up $35,055,779 (8.14%) over the same 2014-2015 period.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the Certificate of Treasurer for January 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Authorized invoices and supporting papers have been filed pertaining to those expenditures listed on the attached Certificate of Treasurer; and WHEREAS, Expenditures listed on the attached Certificate of Treasurer have been reviewed and approved for payment by the USU Controller's Office, Purchasing Department, and other departments; and WHEREAS, The expenditures listed on the attached Certificate of Treasurer are in accordance with the laws and rules of Utah State University and the State of Utah; and WHEREAS, The Chief Financial Officer for Utah State University, David T. Cowley, Vice President for Business and Finance, has certified to the best of his knowledge and belief that all expenditures listed on the attached Certificate of Treasurer were legitimate claims against Utah State University and funds were available for payment of said claims; and WHEREAS, Vice President Cowley requests approval of the listed expenditures by fund for the period 1 July 2015 to 31 January 2016 on the attached Certificate of Treasurer; and WHEREAS, The President of Utah State University has reviewed the attached Certificate of Treasurer and recommends its approval of those expenditures listed thereon by the Utah State University Board of Trustees; and WHEREAS, The USU Board of Trustees has reviewed and given due consideration, review, and authorization of the expenditures listed on the attached Certificate of Treasurer; NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the attached Certificate of Treasurer as presented and ratifies the expenditures listed on said Certificate of Treasurer for January 2016.
===================================================================== RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
___________________ Date
CERTIFICATE OF TREASURER I, David T. Cowley, Vice President for Business and Finance, of Utah State University, do hereby certify as follows and request approval of the listed expenditures by fund for the period 1 July 2015 to 31 January 2016. Authorization, invoices, and supporting papers have been filed pertaining to the following enumerated expenditures, which have been reviewed and processed for payment by the Controller's Office, Purchasing Department, and other departments; according to the laws, rules, and regulations of Utah State University and the State of Utah. To the best of my knowledge and belief, all are legitimate claims against Utah State University and funds were available for payment of said claims.
State Appropriated Funds
Percent of Budget Expended (58% Fiscal Year Expired)
Budget
Education and General (Except Athletics) Athletics E&G - O&M Agricultural Experiment Station UWRL Appropriation UWRL Apportionment Tooele - Cont. Ed. Center Educationally Disadvantaged Southeastern Utah - Cont. Ed. Center Uintah Basin - Cont. Ed. Center Cooperative Extension Brigham City - Cont. Ed. Center USTAR AWSF - USTAR Funding E&G - Vet Med Price (USU Eastern) Blanding Campus (USU Eastern) Educationally Disadvantaged (USU Eastern) Prehistoric Museum (USU Eastern) Workforce Education (USU Eastern) Total State Appropriated Funds
$225,006,132 6,431,431 2,128,300 16,402,609 3,652,808 5,112,154 11,774,853 100,033 2,300,368 6,126,943 16,491,719 30,862,544 699,494 100 5,117,579 15,490,263 4,220,044 187,520 559,443 1,838,877 $354,503,214
Total State Appropriated Funds 2014-2015
$339,665,972
Increase from 2014-2015 Percent Increase from 2014-2015
$14,837,242 4.37%
50% 52% 8% 40% 28% 40% 57% 41% 54% 57% 42% 55% 14% 35% 43% 48% 55% 0% 44% 37% 49%
1-Jan-16 31-Jan-16 $16,144,537 561,157 60,848 914,955 115,585 268,434 599,092 176 135,894 389,090 937,431 1,842,628 6,910 5 208,040 1,123,229 304,406 34,731 94,585 $23,741,733
Year to Date 111,782,979 3,325,519 176,884 6,517,691 1,006,514 2,037,294 6,726,236 41,263 1,236,288 3,498,778 6,899,220 16,870,236 96,898 35 2,212,447 7,456,405 2,327,119 247,186 682,141 $173,141,133
Prior Year to Date $115,677,361 2,938,511 6,143,475 1,039,347 1,917,631 6,146,856 27,666 1,175,847 3,448,946 6,924,726 15,070,894 3,400,253 32,061 6,965,368 2,329,882 52,155 254,600 630,909 $174,176,488
Increase (Decrease) from Prior Year ($3,894,382) 387,008 176,884 374,216 (32,833) 119,663 579,380 13,597 60,441 49,832 (25,506) 1,799,342 (3,303,355) (32,026) 2,212,447 491,037 (2,763) (52,155) (7,414) 51,232 ($1,035,355)
Percent Increase (Decrease) from Prior Year (3.37) 13.17 6.09 (3.16) 6.24 9.43 49.15 5.14 1.44 (0.37) 11.94 (97.15) (99.89) 7.05 (0.12) (100.00) (2.91) 8.12 (0.59)
% % % % % % % % % % % % % % % % % % % % %
6 May 2016
ITEM FOR ACTION RE:
Contract/Grant Proposals and Awards (February, 2016) The summary of the Status of Sponsored Program Awards, prepared by our Sponsored Programs Office for February 2016 is submitted for the Trustees’ consideration. They have received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The awards for the month of February 2016 amounted to $12,209,882 versus $5,723,191 for February 2015. The comparative graph, “Utah State University Sponsored Program Awards” indicates that through February 2016 cumulative award dollars were higher (11.5%) than last year for the same time period. Scholarships, fellowships and state appropriations for research are not included in either figure. The value of proposals submitted increased from $30,702,178 in February 2015 to $37,770,232 during February 2016 (15.2%). The total number of current year proposals (890) is less than FY2015 (974).
RECOMMENDATION The President and Vice President for Research recommend that the Board of Trustees approves the contract and grant status report for February 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The attached list of contract/grant proposals and awards (February 2016) are recommended by the President and the Vice President for Research to the Board of Trustees: NOW THEREFORE, BE IT NOW RESOLVED, That the USU Board of Trustees hereby approves the recommendation of the President and the Vice President for Research.
RESOLUTION APPROVED BY BOARD OF TRUSTEES: ______________________________________________________________________________
Date
6 May 2016
ITEM FOR ACTION RE:
Contract/Grant Proposals and Awards (March, 2016) The summary of the Status of Sponsored Program Awards, prepared by our Sponsored Programs Office for March 2016 is submitted for the Trustees’ consideration. They have received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The awards for the month of March 2016 amounted to $16,437,044 versus $21,468,277 for March 2015. The comparative graph, “Utah State University Sponsored Program Awards” indicates that through March 2016 cumulative award dollars were higher (5.9%) than last year for the same time period. Scholarships, fellowships and state appropriations for research are not included in either figure. The value of proposals submitted increased from $17,768,324 in March 2015 to $92,453,477 during March 2016 (420.3%). The total number of current year proposals (1,055) is less than FY2015 (1,149).
RECOMMENDATION The President and Vice President for Research recommend that the Board of Trustees approves the contract and grant status report for March 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The attached list of contract/grant proposals and awards (March 2016) are recommended by the President and the Vice President for Research to the Board of Trustees: NOW THEREFORE, BE IT NOW RESOLVED, That the USU Board of Trustees hereby approves the recommendation of the President and the Vice President for Research.
RESOLUTION APPROVED BY BOARD OF TRUSTEES: ______________________________________________________________________________
Date
6 May 2016
ITEM FOR ACTION
RE:
Delegation/Administrative Reports –01/22/16 to 02/19/16 Utah State University has been given authority by the Division of Facilities Construction and Management (DFCM) to exercise direct supervision of the design and construction of all alterations, repairs, and improvements to existing facilities on individual projects with budgets of less than $4 million. The supervision of new construction can also be delegated to USU on a project-by-project basis and can exceed the $4 million amount. As part of the delegation authority, administrative reports are prepared by USU and presented to the Utah State Building Board at each of its meetings. The monthly format of USU’s reports is similar to that of the DFCM’s reports presenting professional and construction contracts issued during the reporting period, contingency and project reserves status, and a delegated projects list showing budget and status. On a quarterly basis, additional reports are prepared showing contingency fund cumulative transfers, a summary of the statewide (paving) account, and a construction contract status. The Board of Regents has transferred its authority to review the delegation/ administrative reports to the Board of Trustees. The reports have received the appropriate administrative review and approval. EXECUTIVE SUMMARY
The following is a summary of the administrative reports for USU for the period 01/22/16 to 02/19/16. Professional Contracts, 5 contracts issued (Page 1) Comments are provided on the report. Construction Contracts, 11 contracts issued (Page 2) Comments are provided on the report. Report of Contingency Reserve Fund (Page 3) One project needed funds from the contingency reserve fund during this reporting period. The contingency fund is in good order. Report of Project Reserve Fund Activity (Page 4) One project closed and contributed funds to the project reserve fund during this reporting period. The project reserve fund is in good order. Current Delegated Projects List (Pages 5-7) Of USU’s 69 projects, 9 are pending, 12 are in the design/study phase, 35 are in construction, 7 are substantially complete, and 6 are complete. The projects that were completed during this period were Access Control FY15, Animal Science HVAC Upg 2014, BNR Fire Protection, NFS Kitchen Remodel, Tooele Admin Office Remodel and Fine Arts Ctr West Wing.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the delegation/ administrative reports for the current reporting period be approved as presented.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The Utah Legislature appropriates state funds through the Division of Facilities Construction and Management to Utah State University for the purpose of capital improvements; and WHEREAS, The Division of Facilities Construction and Management has delegated its authority to exercise direct supervision of the design and construction of such capital improvements to Utah State University; and WHEREAS, Non-state funded projects with budgets of less than $4 million are also delegated to Utah State University; and WHEREAS, Projects in excess of $4 million can also be delegated to Utah State University with specific approval of the Utah State Building board; and WHEREAS, Utah State University presents reports on the status of all its delegated projects to the Utah State Building Board on a regular basis; and WHEREAS, The State Board of Regents has transferred its authority to review the delegation/ administrative reports to the Board of Trustees; and WHEREAS, The President and Vice President for Business and Finance have reviewed the delegation/ administrative reports for the current reporting period and recommend approval of the reports to the Board of Trustees; and WHEREAS, The Board of Trustees has reviewed and given due consideration to the delegation/ administrative reports: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the delegation/ administrative reports as presented.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES
_________________ Date
Professional Contracts Awarded From 01/22/16 to 02/19/16 Project Name
Firm Name
A/E Budget
1 NE Auxiliary Tunnel Extension
Cache Landmark Engineering
2 Merrill Cazier Library Testing Center
Method Studio
3 PDP Refreshment
Architectural Design West
$23,900.00
4 Vet Science Electrical Upgrade FY16
Sine Source
$33,000.00
5 Merrill Cazier Library Testing Center
Dixon Information
$40,100.00
Fee Amount Comments
$183,850.00 $183,850.00 Design services for tunnel extension $1,630,000.00 $158,700.00 Design services for testing center $23,900.00 Design & coordination services for the Campus Service & Stores 2nd floor remodel
MISCELLANEOUS CONTRACTS
Page 1 of 7
$1,500.00 Analysis of electrical system $300.00 Testing of 10 air samples
Construction Contracts Awarded From 01/22/16 to 02/19/16 Project 1 Romney Stadium Scoreboard
Firm Name Samsung Electronics America
Design Firm AJP
Const Budget $2,621,098.00
Contract Amt Comments $1,992,163.00 Installation of scoreboards
2 Merrill Cazier Library Testing Center
DWA Construction
Method Studio
$1,630,000.00
$1,148,000.00 Construct testing center
3 Romney Stadium Scoreboard
Guys Inc
AJP
$2,621,098.00
$441,862.00 Installation of new sound system
4 Medium Voltage Upgrades FY16
Tec Electric
USU Facilities Planning and Design
$988,506.00
$323,988.00 12.5kV medium voltage upgrade
5 Health, LS, Code, Asbestos FY16
USU Facilities Operations
USU Facilities Planning and Design
$175,800.00
$10,963.27 Public safety north exterior drainage
MISCELLANEOUS CONTRACTS 6 Medium Voltage Upgrade FY15
G&W Electric
$394,540.00
$96,980.00 Insulate vault switches
7 Classroom/Auditorium Upgs FY15
School Outfitters
$254,435.00
$25,667.10 Upgrade to classrooms in Old Main
8 Classroom/Auditorium Upgs FY15
Source Utah
$254,435.00
$7,493.26 Interface carpet tile for FAV 210
9 Health, LS, Code, Asbestos FY16
Eagle Environmental
$175,800.00
$3,764.00 Floor tile and mastic removed from rooms 125 & 125A in Engineering Lab
10 USUE Library Concrete Replace
RCP Construction
$270,928.00
$2,124.00 Dowel #4 rebar into existing concrete
11 Health, LS, Code, Asbestos FY16
Eagle Environmental
$175,800.00
$1,243.00 Abatement of 9 mud fittings from mechanical room #11 in the NFS
Page 2 of 7
Report of Contingency Reserve Fund From 01/22/16 to 02/19/16
Project Title BEGINNING BALANCE
Current Transfers $595,797.11
Total Transfers To (From) Contingency
% to Construction Budget
Project Status
% Completed (Paid)
INCREASES TO CONTINGENCY RESERVE FUND NONE DECREASES FROM CONTINGENCY RESERVE FUND Elevator Upgrades FY14 Additional cost for jack hole cleanout (Maeser/Morgan)
ENDING BALANCE
Page 3 of 7
(7,974.13)
$587,822.98
(7,974.13)
2.85% Construction
100.00%
Report of Project Reserve Fund Activity From 01/22/16 to 02/19/16
Project Title BEGINNING BALANCE INCREASES TO PROJECT RESERVE FUND BNR Fire Protection Upgrade Phase 3
Transfer Amount $498,889.10
7,943.10 Close Project
DECREASES TO PROJECT RESERVE FUND None ENDING BALANCE
Page 4 of 7
Description
% of Construction Budget
$506,832.20
1.28%
Current Delegated Projects List 2/19/2016 Project Number Project Name CAPITAL DEVELOPMENT/IMPROVEMENT A27146 Campus Controls Upgrade FY13 A27147 Campus-wide Bike Racks FY13 A28997 NFS Kitchen 243/208 Remodel A28999 Building Commissioning FY14 A29000 Campus Controls Upgrade FY14 A29001 Classroom/Auditorium Upgrades FY14 A29003 Elevator Upgrades FY14 A29004 Emergency Generator FY14 A29005 Health, LS, Code, Asbestos FY14 A29006 Medium Voltage Upgrades FY14 A29007 Misc Critical Improvements FY14 A29011 Planning and Design FY14 A30560 Innovation Campus Water Line A30682 Tooele Admin Office Remodel A31318 1200 E Walk Way Improvements A31319 Access Control FY15 A31320 BNR Fire Protection Upg Phase 3 A31321 Classroom/Auditorium Upgrade FY15 A31322 Concrete Replacement FY15 A31324 Elevator Upgrades FY15 A31325 Emergency Generator FY15 A31327 Health, LS, Code, Asbestos FY15 A31328 HVAC Controls Upgrade FY15 A31329 Medium Voltage Upgrade FY15 A31330 Morgan Theater Upgrade Page 5 of 7
Phase Substantial Completion Construction Complete Commissioning Construction Construction Construction Construction Construction Construction Construction Design/Study Substantial Completion Complete Construction Complete Complete Construction Construction Construction Pending Construction Pending Construction Construction
Project Budget 245,098 54,074 410,532 196,296 473,409 308,965 294,396 250,000 148,205 368,637 249,979 157,256 161,349 282,510 943,030 64,207 701,721 276,045 310,403 400,000 229,872 137,637 228,311 460,460 1,594,942
A31332 A31333 A31334 A31335 A32689 A33054 A33654 A33996 A34282 A34283 A34284 A34285 A34286 A34287 A34289 A34290 A34291 A34292 A34293 A34294 A34295 A34296 A34297 A34298 A34299 A34300 A34301 A34468 A35181 A35463 A35569 A35570 A35676 A35677 Page 6 of 7
Old Main Reroof Planning and Design FY15 Sign System FY15 Site & Safety Lighting Animal Sci HVAC Upg 2014 Uintah Basin Nursing Lab Remodel Romney Stadium Scoreboard USU Brigham City Robotics Lab Access Control FY16 Chilled Water Infrastructure FY16 Classroom/Auditorium Upgrades FY16 Concrete Replacement FY16 Fine Arts Ctr West Wing Health, LS, Code, Asbestos FY16 Irrigation Controller Replacement FY16 Medium Voltage Upgrades FY16 NFS Mechanical System Phase I Old Main Fire Alarm Upgrades FY16 Old Main Roof Replacement North Wing Planning and Design FY16 RBW/Family Life Chilled Water Piping South Farm Fire Lane/Hydrants FY16 Spectrum Emergency Lighting Upgrade UBC Infrastructure Improvements Univ Inn/Widstoe Steam Line Replacement VCT Tile Replacement in Hallways Vet Science Electrical Upgrade FY16 Roosevelt Ed Ctr Aggie Station Remodel Living Learning Center Parking Garage Vestibules Spectrum ADA Seating Townhouse Stucco Proj Bldg 3 Athletics Refueling Station Merrill Cazier Lib Testing Ctr PDP Air Handling Units
Substantial Completion Design/Study Construction Construction Complete Substantial Completion Construction Substantial Completion Construction Design Pending Construction Complete Construction Substantial Completion Pending Construction Construction Substantial Completion Design/Study Design Construction Design Construction Design Pending Pending Design Construction Construction Pending Construction Construction Design
117,830 165,473 47,193 322,525 239,317 142,845 2,857,730 602,731 54,795 344,773 275,847 243,096 2,500,000 183,300 66,353 1,088,506 739,627 437,577 630,573 109,849 786,918 231,559 187,319 1,158,887 75,000 328,890 98,753 37,550 103,824 31,090 139,470 139,538 2,108,650 340,000
A35868 A35971 A35997 C11368 C11375 C11461 C11508 C11560 C11614 C11615 TOTAL (69)
Page 7 of 7
Summit Hall Remodel PDP Refreshment (NEW PROJECT) NE Auxiliary Tunnel Extension (NEW PROJECT) USUE Mechanical/Lighting upgrade USUE Library Concrete Replacement USUE Infrastructure/Automation Upgrade USUE Career Center Upgrades USUE Cosmetology Relocation USUE Blanding Campus Mechanical FY16 USUE Geary Theatre Bldg Upgrades FY16
Pending Design Design Construction Construction Construction Construction Construction Pending Design
1,118,368 700,000 183,850 877,397 297,173 461,857 834,234 338,960 45,662 1,992,786 $32,735,008
6 May 2016
ITEM FOR ACTION
RE:
Delegation/Administrative Reports –02/19/16 to 03/25/16 Utah State University has been given authority by the Division of Facilities Construction and Management (DFCM) to exercise direct supervision of the design and construction of all alterations, repairs, and improvements to existing facilities on individual projects with budgets of less than $4 million. The supervision of new construction can also be delegated to USU on a project-by-project basis and can exceed the $4 million amount. As part of the delegation authority, administrative reports are prepared by USU and presented to the Utah State Building Board at each of its meetings. The monthly format of USU’s reports is similar to that of the DFCM’s reports presenting professional and construction contracts issued during the reporting period, contingency and project reserves status, and a delegated projects list showing budget and status. On a quarterly basis, additional reports are prepared showing contingency fund cumulative transfers, a summary of the statewide (paving) account, and a construction contract status. The Board of Regents has transferred its authority to review the delegation/ administrative reports to the Board of Trustees. The reports have received the appropriate administrative review and approval. EXECUTIVE SUMMARY
The following is a summary of the administrative reports for USU for the period 02/19/16 to 03/25/16. Professional Contracts, 5 contracts issued (Page 1) Comments are provided on the report. Construction Contracts, 5 contracts issued (Page 2) Comments are provided on the report. Report of Contingency Reserve Fund (Page 3) Two projects needed funds from the contingency reserve fund during this reporting period. The contingency fund is in good order. Report of Project Reserve Fund Activity (Page 4) Two projects closed and contributed funds to the project reserve fund during this reporting period. Two projects needed funds from the project reserve fund during this reporting period. The project reserve fund is in good order. Current Delegated Projects List (Pages 5-7) Of USU’s 63 projects, 6 are pending, 13 are in the design/study phase, 34 are in construction, 7 are substantially complete, and 3 are complete. The projects that were completed during this period were the Old Main Roof Replacement North Wing, Health, LS, Code, Asbestos FY14, and USU Brigham City Robotics Lab.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the delegation/ administrative reports for the current reporting period be approved as presented.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The Utah Legislature appropriates state funds through the Division of Facilities Construction and Management to Utah State University for the purpose of capital improvements; and WHEREAS, The Division of Facilities Construction and Management has delegated its authority to exercise direct supervision of the design and construction of such capital improvements to Utah State University; and WHEREAS, Non-state funded projects with budgets of less than $4 million are also delegated to Utah State University; and WHEREAS, Projects in excess of $4 million can also be delegated to Utah State University with specific approval of the Utah State Building board; and WHEREAS, Utah State University presents reports on the status of all its delegated projects to the Utah State Building Board on a regular basis; and WHEREAS, The State Board of Regents has transferred its authority to review the delegation/ administrative reports to the Board of Trustees; and WHEREAS, The President and Vice President for Business and Finance have reviewed the delegation/administrative reports for the current reporting period and recommend approval of the reports to the Board of Trustees; and WHEREAS, The Board of Trustees has reviewed and given due consideration to the delegation/ administrative reports: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the delegation/administrative reports as presented.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES
_________________ Date
Professional Contracts Awarded From 02/19/16 to 03/25/16 Project Name
Firm Name
A/E Budget
Fee Amount Comments
1 Medium Voltage Upgrade FY15
Spectrum Engineers
$136,110.00
$35,190.00 Design on the 12.5kV Distribution System Upgrade
2 Medium Voltage Upgrade FY15
NEI Electric Power Engineering
$136,110.00
$35,000.00 Document existing design, review settings & test relaying in the CEP 15kV switchgear
3 Sign System FY15
Interpretive Graphics Signs & Systems
$4,000.00
$2,000.00 Provide develop identification signs for the USU Historical Quad District
MISCELLANEOUS CONTRACTS 4 Health, LS, Code, Asbestos FY16
Dixon Information
$175,800.00
$50.00 Two air samples to test for mold
5 Health, LS, Code, Asbestos FY16
Dixon Information
$175,800.00
$35.00 One rush sample from BRASC 102
Page 1 of 7
Construction Contracts Awarded From 02/19/16 to 03/25/16 Project 1 Spectrum Emergency Lighting Upgrade
Firm Name TEC Electric
Design Firm Spectrum Engineers
Const Budget $192,427.00
Contract Amt Comments $192,427.00 Update the emergency egress lighting
2 Elevator Upgrades FY15
Thyssen Krupp
USU Facilities Planning and Design
$400,000.00
$53,243.00 Replace two electronic door edges at Lillywhite, door operators at Natural Resources & Engineering, and starter at Natural Resources
3 Health, LS, Code, Asbestos FY16
USU Facilities Operations
USU Facilities Planning and Design
$175,800.00
$28,745.51 Roosevelt Student Center (132D) fire alarm system upgrade
MISCELLANEOUS CONTRACTS 4 Health, LS, Code, Asbestos FY16
Thermal West Industrial
$175,800.00
$4,062.00 Pipe insulation at the USU Dairy Lab
5 Health, LS, Code, Asbestos FY16
Eagle Environmental
$175,800.00
$2,724.00 Remove floor tile and mastic from VSB 308 and 308B
Page 2 of 7
Report of Contingency Reserve Fund From 02/19/16 to 03/25/16
Project Title BEGINNING BALANCE
Current Transfers $587,822.98
Total Transfers To (From) Contingency
% to Construction Budget
Project Status
% Completed (Paid)
INCREASES TO CONTINGENCY RESERVE FUND NONE DECREASES FROM CONTINGENCY RESERVE FUND Campus Controls Upgrade FY14 Air handler replacement/controls Morgan Theater Upgrade Light fixtures in the air handler
ENDING BALANCE
Page 3 of 7
(21,657.65)
(21,657.65)
9.49% Construction
70.28%
(2,553.56)
(176,466.55)
12.65% Construction
98.46%
$563,611.77
Report of Project Reserve Fund Activity From 02/19/16 to 03/25/16
Project Title BEGINNING BALANCE INCREASES TO PROJECT RESERVE FUND Old Main Roof Replacement North Wing Health, LS, Code, Asbestos FY14 DECREASES TO PROJECT RESERVE FUND Spectrum Emergency Lighting Elevator Upgrades FY15 ENDING BALANCE
Page 4 of 7
Transfer Amount
Description
% of Construction Budget
$506,832.20
30,673.39 Close project 8,487.09 Close project
(65,186.00) Award construction contract (5,596.81) Award construction contract $475,209.87
8.59% 6.11%
50.27% 1.53%
Current Delegated Projects List 3/25/2016 Project Number Project Name CAPITAL DEVELOPMENT/IMPROVEMENT A27146 Campus Controls Upgrade FY13 A27147 Campus-wide Bike Racks FY13 A28999 Building Commissioning FY14 A29000 Campus Controls Upgrade FY14 A29001 Classroom/Auditorium Upgrades FY14 A29003 Elevator Upgrades FY14 A29004 Emergency Generator FY14 A29005 Health, LS, Code, Asbestos FY14 A29006 Medium Voltage Upgrades FY14 A29007 Misc Critical Improvements FY14 A29011 Planning and Design FY14 A30560 Innovation Campus Water Line A31318 1200 E Walk Way Improvements A31321 Classroom/Auditorium Upgrade FY15 A31322 Concrete Replacement FY15 A31324 Elevator Upgrades FY15 A31325 Emergency Generator FY15 A31327 Health, LS, Code, Asbestos FY15 A31328 HVAC Controls Upgrade FY15 A31329 Medium Voltage Upgrade FY15 A31330 Morgan Theater Upgrade A31332 Old Main Reroof A31333 Planning and Design FY15 A31334 Sign System FY15 A31335 Site & Safety Lighting Page 5 of 7
Phase Substantial Completion Construction Commissioning Construction Construction Substantial Completion Construction Complete Construction Construction Design/Study Substantial Completion Construction Construction Construction Construction Pending Substantial Completion Pending Construction Construction Substantial Completion Design/Study Construction Construction
Project Budget 244,629 54,074 196,296 495,067 308,965 302,370 250,000 139,718 368,637 249,979 157,256 168,749 943,030 276,045 310,403 405,597 229,872 134,489 228,311 460,460 1,597,496 111,732 175,075 47,193 322,525
A33054 A33654 A33996 A34282 A34283 A34284 A34285 A34287 A34289 A34290 A34291 A34292 A34293 A34294 A34295 A34296 A34297 A34298 A34299 A34300 A34301 A34468 A35181 A35463 A35569 A35570 A35676 A35677 A35868 A35971 A35997 C11368 C11375 C11461 Page 6 of 7
Uintah Basin Nursing Lab Remodel Romney Stadium Scoreboard USU Brigham City Robotics Lab Access Control FY16 Chilled Water Infrastructure FY16 Classroom/Auditorium Upgrades FY16 Concrete Replacement FY16 Health, LS, Code, Asbestos FY16 Irrigation Controller Replacement FY16 Medium Voltage Upgrades FY16 NFS Mechanical System Phase I Old Main Fire Alarm Upgrades FY16 Old Main Roof Replacement North Wing Planning and Design FY16 RBW/Family Life Chilled Water Piping South Farm Fire Lane/Hydrants FY16 Spectrum Emergency Lighting Upgrade UBC Infrastructure Improvements Univ Inn/Widstoe Steam Line Replacement VCT Tile Replacement in Hallways Vet Science Electrical Upgrade FY16 Roosevelt Ed Ctr Aggie Station Remodel Living Learning Center Parking Garage Vestibules Spectrum ADA Seating Townhouse Stucco Proj Bldg 3 Athletics Refueling Station Merrill Cazier Lib Testing Ctr PDP Air Handling Units Summit Hall Remodel PDP Refreshment NE Auxiliary Tunnel Extension USUE Mechanical/Lighting upgrade USUE Library Concrete Replacement USUE Infrastructure/Automation Upgrade
Substantial Completion Construction Complete Construction Design Pending Construction Construction Substantial Completion Construction Construction Construction Complete Design/Study Design Construction Construction Construction Design Pending Design Design Construction Construction Pending Construction Construction Design Design Design Design Construction Construction Construction
142,845 2,857,730 550,997 54,795 344,773 275,847 243,096 183,300 66,353 1,088,506 777,966 437,577 599,900 96,687 786,918 231,559 252,505 1,158,887 75,000 328,890 98,753 37,550 103,824 31,090 139,470 139,538 2,108,650 340,000 1,122,568 700,000 183,850 877,397 297,173 461,857
C11508 C11560 C11614 C11615 TOTAL (63)
Page 7 of 7
USUE Career Center Upgrades USUE Cosmetology Relocation USUE Blanding Campus Mechanical FY16 USUE Geary Theatre Bldg Upgrades FY16
Construction Construction Pending Design
834,234 332,486 45,662 1,992,786 $28,578,987
06 May 2016
ITEM FOR ACTION
RE:
Faculty and Staff Adjustments The attached faculty and staff adjustments are submitted for the Trustees consideration. They have received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The faculty and staff adjustment includes two (2) new appointments.
RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the attached faculty and staff adjustments.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The President and the Provost recommend that the Board of Trustees approve two (2) new appointments.
NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approve the recommendation of the faculty and staff adjustments.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
Date
06 May 2016 Faculty and Staff Adjustments a. New Appointment College of Humanities and Social Sciences Thomas Kim Hixson, Head and Associate Professor, Department of Journalism and Communication, College of Humanities and Social Sciences; effective 1 July 2016; replacing Tammy M. Proctor. B.S. University of Tennessee at Chattanooga, 1986; M.A. University of Tennessee at Chattanooga, 1991; Ph.D. Southern Illinois University, 2000. Salary to be $125,000/12 months. USU Uintah Basin Regional Campus James Y. Taylor, Executive Director, USU Uintah Basin Regional Campus; effective 1 June 2016; replacing Derrik R. Tollefson. B.S. University of Utah, 1992; M.S. Montana State University, 1995; D.Ed. Grand Canyon University, 2014. Salary to be $140,000/12 months.
6 May 2016
ITEM FOR ACTION RE: Report of Investments for December 2015 The Report of Investments for December 2015 is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY This set of investment reports presents investment activity for December 2015 and comparative year-to-date totals for FY 2015-2016 and FY 2014-2015; investment portfolios at 31 December 2015; and Summary of Total Investment Returns for the quarter ended 31 December 2015 and year-to-date 1 July 2015 to 31 December 2015. CASH MANAGEMENT INVESTMENT POOL The average daily fair value invested during December 2015 was $326,890,636, down $4,601,815 from November 2015. Total investment loss was $393,730, down $416,797 from November 2015, reflecting the decrease in the amount available for investing and a decrease in total investment return. The annualized total investment return was -1.45%, down 1.53% from November 2015. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $319,435,463, up $28,047,732 (9.63%) over FY 2014-2015. Total interest income for FY 20152016 amounted to $2,746,087, down $159,988 (5.51%) from FY 2014-2015, reflecting an increase in the amount available for investing and a decrease in interest rates. The total amount invested at 31 December 2015 was $334,174,692, up $40,775,002 (13.90%) over 31 December 2014. Unrealized losses at 31 December 2015 were $1,108,242. ENDOWMENT POOL The average daily fair value invested during December 2015 was $138,787,141, down $805,461 from November 2015. Interest and dividend income of $456,320 minus net realized losses of $3,779 totaled $452,541 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $138,156,169, up $3,471,610 (2.58%) over FY 2014-2015. Total realized income for FY 20152016 was $1,563,446, down $347,314 (18.18%) from FY 2014-2015. This decrease resulted from $45,725 more in interest and dividends and $393,039 more net realized losses during FY 2015-2016.
The total amount invested at 31 December 2015 was $138,212,803, up $1,785,373 (1.31%) over 31 December 2014. Unrealized gains at 31 December 2015 were $12,206,596. OTHER INVESTMENTS The average daily fair value invested during December 2015 was $87,557,881, down $722,280 from November 2015. Interest and dividend income of $469,128 plus net realized gains of $18,379 totaled $487,507 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $86,672,449, up $10,825,103 (14.27%) over FY 2014-2015. Total realized income for FY 20152016 was $1,836,023, up $747,571 (68.68%) over FY 2014-2015. This increase resulted from $444,714 more in interest and dividend income and $302,857 more in net realized gains during FY 2015-2016. The total amount invested at 31 December 2015 was $87,269,774, up $3,171,511 (3.77%) over 31 December 2014. Unrealized gains at 31 December 2015 were $8,429,727.
ENDOWMENT TRUSTS The average daily fair value invested during December 2015 was $5,774,219 down $227,600 from November 2015. Interest and dividend income of $25,096 plus net realized gains of $2,044 totaled $27,140 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $5,869,162, down $845,993 (12.60%) from FY 2014-2015. Total realized income for FY 20152016 was $196,459, down $142,097 (41.97%) from FY 2014-2015. This decrease resulted from $6,946 less interest and dividend income and $135,151 less net realized gains during FY 20152016. The total amount invested at 31 December 2015 was $5,565,039, down $787,581 (12.40%) from 31 December 2014. Unrealized losses at 31 December 2015 were $707,518. PLANT FUND TRUSTS The average daily fair value invested during December 2015 was $76,734,117, down $4,162,953 from November 2015. Interest income of $56,032 plus net realized gains of $96,216 totaled $152,248 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $61,552,494, up $26,333,712 (74.77%) over FY 2014-2015. Total realized income for FY 20152016 was $359,788, up $163,860 (83.63%) over FY 2014-2015. This increase reflects the increased amount available for investing and an increase in the rate of return.
The total amount invested at 31 December 2015 was $75,350,572, up $45,832,993 (155.27%) over 31 December 2014. Unrealized gains at 31 December 2015 were $290,155. SUMMARY OF INVESTMENT TRANSACTIONS The University’s average daily fair value invested for the month of December was $635,743,994. Purchases totaled $35,025,466 and sales totaled $28,670,690. From this activity the University realized net gains of $112,860 and earnings of $1,477,653. SUMMARY OF TOTAL INVESTMENT RETURNS The Endowment Pool composite benchmark is established based on the asset allocation of the Endowment Pool. At 31 December 2015 the Endowment Pool asset allocation was 9.68% cash, 25.81% fixed income, 64.51% equities. The benchmarks used include the Barclay’s Capital U.S. Aggregate Bond Index, MSCI ACWIXUS, and the Russell 3000 Index. The composite benchmark for the Endowment Pool at 31 December 2015 was -0.49% The Endowment Pool trailing 12-month rate of return was 0.41% at 31 December 2015. The Endowment Pool outperformed its benchmark by 90 bp at 31 December 2015. The Cash Management Investment Pool trailing 12-month rate of return was 1.77% at 31 December 2015. The benchmark for the Cash Management Investment Pool is the Utah Public Treasurers’ Investment Fund (PTIF). The PTIF trailing 12-month rate of return was 0.60% at 31 December 2015. The Cash Management Investment Pool outperformed its benchmark by 117 bp at 31 December 2015. ENDOWMENT FUNDS The fair value of invested endowment funds at 31 December 2015 was $324.3 million, up $13.7 (4.41%) over 30 September 2015. This increase includes the change in fair value and new gifts received through 31 December 2015. Year-to-date, the endowment funds have increased $4.7 million (1.47%) over 30 June 2015. Endowment funds are currently invested 38.57% in the Endowment Pool, 32.82% in the Cash Management Investment Pool, 1.71% in the various Endowment Trusts and 26.90% in Other Investments.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the Report of Investments for December 2015.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The attached Report of Investments containing authorized transactions, documentation, and supporting papers has been filed for review by the Board of Trustees pertaining to the investment activities; and WHEREAS, The investment transactions listed on the attached Report of Investments have been approved by the USU Controller’s Office; and WHEREAS, The investment activities listed on the attached Report of Investments are in accordance with the Utah State Money Management Act, the rules of the Utah State Money Management Council, the Utah State Uniform Prudent Management of Institutional Funds Act, and the laws and rules of Utah State University and the State of Utah; and WHEREAS, The Chief Financial Officer for Utah State University, David T. Cowley, Vice President for Business and Finance, has certified to the best of his knowledge and belief all investment transactions listed on the attached Report of Investments were made in accordance with the guidelines, rules, and laws; and WHEREAS, Vice President Cowley requests approval of the attached Report of Investments for the period 1 December 2015 to 31 December 2015 and comparative year-to-date totals for the periods 1 July 2015 to 31 December 2015 and 1 July 2014 to 31 December 2014, and the investment portfolios at 31 December 2015; and WHEREAS, The President of Utah State University has reviewed the attached report and recommends its approval by the Utah State University Board of Trustees; and WHEREAS, The USU Board of Trustees has reviewed and given due consideration, review, and authorization of the investment transactions listed on the attached Report of Investments for the period 1 December 2015 to 31 December 2015 and comparative year-to-date totals for the periods 1 July 2015 to 31 December 2015 and 1 July 2014 to 31 December 2014 and the investment portfolios at 31 December 2015; NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the attached Report of Investments as presented and ratifies the transactions listed on said Report of Investments for December 2015.
===================================================================== RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________________ Date
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
$294,364,021 296,212,724 307,365,953 331,938,337 334,828,053 322,028,749
$14,946,300 16,000,000 56,406,000 25,377,935 3,616,000 18,000,000
$14,000,000 5,000,000 32,965,000 22,000,000 15,985,000 4,989,250
Comparative Totals: Year-to-date FY 2015-16 $294,364,021 FY 2014-15 275,112,783 Amt Change % Change
$134,346,235 145,167,993
$94,939,250 131,335,000
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Sales Proceeds
Change in Fair Value
Schedule A-1
Ending Fair Value
Average Daily Fair Value
$902,403 153,229 1,131,384 (488,219) (430,304) (864,807)
$296,212,724 307,365,953 331,938,337 334,828,053 322,028,749 334,174,692
$297,423,682 301,951,282 329,296,083 329,558,646 331,492,451 326,890,636
$451,055 436,797 472,353 461,434 453,371 471,077
$1,929 0 (245) 5,148 (75) (2,060)
$449,126 436,797 472,598 456,286 453,446 473,137
$403,686 4,453,914
$334,174,692 293,399,690 40,775,002 13.90%
$319,435,463 291,387,731 28,047,732 9.63%
$2,746,087 2,906,075 (159,988) -5.51%
$4,697 2,672 2,025 75.79%
$2,741,390 2,903,403 (162,013) -5.58%
Note: The Cash Management Investment Pool includes cash of all funds over estimated daily operating requirements.
Total Interest Income
Less Service Charges
Net Interest Income
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL PORTFOLIO 31 December 2015
Description
Interest Rate
Date Acquired
Maturity Date
Cost
Schedule A-1-A Page 1 of 3
Fair Value
Unrealized Gain/(Loss)
Money Market Bank of Utah - Public Treasurer Acct Cache Valley Bank
0.6600% 0.5000%
$6,100,000 1,000,000 7,100,000
$6,100,000 1,000,000 7,100,000
$0 0 0
Public Treasurers' Investment Fund Utah Public Treasurers' Investment Fund
0.7145%
48,100,000 48,100,000
48,100,000 48,100,000
0 0
Commercial Paper and Corporate Notes Citigroup JP Morgan Morgan Stanley JP Morgan Bank of America HSBC Rio Tinto Wells Fargo & Company Citigroup Bank of America Bank of America American Express Mississippi Power Co Fifth Third Bank Duke Energy Alfac Inc BMW US Capital Morgan Stanley Canadian Imperial Bank
1.2500% 2.6000% 1.6430% 3.4500% 1.4060% 0.8440% 1.3660% 0.8470% 1.7000% 6.5000% 6.5000% 2.8000% 2.3500% 1.1500% 1.7500% 2.6500% 0.7560% 3.5000% 0.5120%
5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 5,617,399 5,000,000 4,000,000 5,000,000 1,000,000 5,000,000 3,406,000 5,000,000 6,000,000 1,000,000 3,616,000 3,377,935 2,184,000 4,946,300
5,000,635 5,002,090 5,004,190 5,020,860 5,000,080 5,639,898 4,982,540 4,003,636 5,015,950 1,029,166 5,145,830 3,449,382 5,028,590 5,993,238 1,005,510 3,663,612 3,377,935 2,239,220 4,923,795
12/08/14 12/29/14 05/14/13 01/22/15 06/20/13 06/20/13 02/09/15 07/29/13 09/01/15 06/10/15 08/14/15 09/01/15 07/14/15 09/14/15 09/09/15 11/13/15 10/21/15 09/30/14 07/13/15
01/15/16 01/15/16 02/25/16 03/01/16 03/22/16 06/01/16 06/17/16 07/20/16 07/25/16 08/01/16 08/01/16 09/19/16 10/15/16 11/18/16 12/15/16 02/15/17 06/02/17 09/30/17 11/16/17
635 2,090 4,190 20,860 80 22,499 (17,460) 3,636 15,950 29,166 145,830 43,382 28,590 (6,762) 5,510 47,612 0 55,220 (22,505)
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL PORTFOLIO 31 December 2015
Description
Interest Rate
Date Acquired
Maturity Date
Cost
Schedule A-1-A Page 2 of 3
Fair Value
Unrealized Gain/(Loss)
Commercial Paper and Corporate Notes (continued) Morgan Stanley Goldman Sachs Goldman Sachs
1.0640% 1.5220% 1.4620%
01/26/15 06/26/15 12/15/15
01/05/18 04/30/18 11/15/18
$5,000,000 5,000,000 5,000,000 95,147,634
$4,995,895 5,022,710 5,020,305 95,565,067
($4,105) 22,710 20,305 417,433
Obligations of U. S. Government Freddie Mac FHLMC Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Agriculture FAMCA Fannie Mae FNMA Federal Farm Credit FFCB Freddie Mac FHLMC Freddie Mac FHLMC Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Farm Credit FFCB Federal Farm Credit FFCB Freddie Mac FHLMC Fed Home Loan Bank FHLB Federal Farm Credit FFCB Fannie Mae FNMA Freddie Mac FHLMC Freddie Mac FHLMC Freddie Mac FHLMC Federal Farm Credit FFCB
1.0000% 1.0400% 1.3300% 1.6400% 1.4800% 1.5400% 1.8500% 1.8750% 1.6800% 1.5000% 1.2500% 1.9400% 2.0400% 1.9400% 2.2700% 1.5000% 2.5400% 2.7000% 2.1250% 3.0000% 3.0000% 3.0000% 2.9000%
01/28/14 09/02/15 09/03/15 01/14/15 01/22/15 04/01/15 01/28/15 02/13/15 04/27/15 09/30/15 09/30/15 10/13/15 09/30/15 10/13/15 10/21/15 10/27/15 01/11/13 01/16/13 08/27/12 08/27/12 08/27/12 09/13/12 11/26/12
04/28/17 03/01/18 12/03/18 01/14/19 01/22/19 04/01/19 01/28/20 02/13/20 04/27/20 09/30/20 09/30/20 07/13/21 09/29/21 10/13/21 10/21/22 10/27/23 12/27/24 12/24/25 08/27/27 08/27/27 08/27/27 09/13/27 11/26/27
5,000,000 5,000,000 7,000,000 7,000,000 5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 10,000,000 7,000,000 7,000,000 7,000,000 5,000,000 5,000,000 5,000,000 10,125,000 5,000,000 10,000,000 10,000,000 7,000,000 7,500,000 7,000,000
5,001,145 4,971,120 7,000,140 7,001,204 5,001,645 4,988,860 5,002,570 4,984,455 5,010,000 9,955,590 7,003,815 6,935,418 7,005,467 4,936,550 4,924,500 4,965,435 9,857,973 4,797,680 9,839,550 9,779,520 6,741,623 7,258,013 6,740,601
1,145 (28,880) 140 1,204 1,645 (11,140) 2,570 (15,545) 10,000 (44,410) 3,815 (64,582) 5,467 (63,450) (75,500) (34,565) (267,027) (202,320) (160,450) (220,480) (258,377) (241,987) (259,399)
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL PORTFOLIO 31 December 2015
Description
Interest Rate
Obligations of U. S. Government (continued) Fed Home Loan Bank FHLB Federal Farm Credit FFCB Freddie Mac FHLMC
2.9500% 2.9700% 3.0000%
Municipal Bonds West Valley City Bonds West Valley City Bonds West Valley City Bonds Utah State Building Owners Salt Lake City Municipal West Valley City Bonds Utah County UT Bonds West Valley City Bonds Utah County UT Bonds West Valley City Bonds Beaver County School Bond
4.8500% 4.8500% 4.8500% 1.5000% 2.0700% 4.8500% 4.9200% 4.8500% 5.1700% 4.8500% 5.5000%
Total Cash Management Investment Pool
Date Acquired
01/15/13 12/24/12 01/18/13
10/20/10 10/20/10 10/20/10 05/05/14 03/30/15 10/20/10 01/17/14 10/20/10 01/17/14 10/20/10 02/01/11
Maturity Date
12/06/27 12/24/27 01/18/28
11/01/16 11/01/17 11/01/18 05/15/19 10/01/19 11/01/19 12/01/19 11/01/20 12/01/20 11/01/21 02/01/27
Schedule A-1-A Page 3 of 3
Cost
Fair Value
$5,000,000 5,000,000 7,000,000 168,625,000
$4,784,715 4,859,245 6,792,184 166,139,018
1,050,000 1,115,000 1,180,000 965,300 1,000,000 1,255,000 1,000,000 1,330,000 1,000,000 1,415,000 5,000,000 16,310,300
1,050,000 1,115,000 1,180,000 977,317 1,017,040 1,255,000 1,107,500 1,330,000 1,112,850 1,415,000 5,710,900 17,270,607
$335,282,934
$334,174,692
Unrealized Gain/(Loss)
($215,285) (140,755) (207,816) (2,485,982) 0 0 0 12,017 17,040 0 107,500 0 112,850 0 710,900 960,307 ($1,108,242)
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL SUMMARY OF INVESTMENT TRANSACTIONS AND PERFORMANCE For the Month of December 2015
Sales Purchases
Cost
Receipts
Money Market Account Utah Public Treasurers' Investment Fund
$13,000,000
Commercial Paper and Corporate Notes
5,000,000
$4,989,250
$4,989,250
Obligations of U. S. Government Municipal Bonds Total
$18,000,000
$4,989,250
$4,989,250
Earnings
Change in Fair Value
Schedule A-2
Total Investment Income
Average Daily Fair Value
Annualized Total Investment Return
$3,844
$3,844
$7,100,000
0.65%
24,434
24,434
39,712,903
0.74%
78,308
($199,556)
(121,248)
95,142,433
-1.53%
304,134
(623,206)
(319,072)
168,625,000
-2.27%
60,357
(42,045)
18,312
16,310,300
1.35%
$471,077
($864,807)
$326,890,636
-1.45%
($393,730)
UTAH STATE UNIVERSITY SUMMARY OF CASH MANAGEMENT INVESTMENT POOL TRANSACTIONS
Schedule A-3
For the Month of December 2015 Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Cash Management Investment Pool Money Market Account Utah Public Treasurers' Investment Fund Commercial Paper & Corporate Notes Obligations of U. S. Government Municipal Bonds Total Cash Management Investment Pool
$3,844 $13,000,000 5,000,000
$4,989,250
$4,989,250
$0
$18,000,000
$4,989,250
$4,989,250
$0
24,434 78,308 304,134 60,357 $471,077
UTAH STATE UNIVERSITY ENDOWMENT POOL SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Change in Fair Value
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Schedule B-1
Realized Gain or (Loss)
Total Realized Income
Purchases
$140,117,856 140,647,017 135,819,307 134,120,157 139,823,726 139,361,478
$2,520,525 1,837,952 1,926,694 2,202,941 1,110,008 2,546,307
$2,173,100 1,713,829 1,588,867 1,249,036 986,298 2,089,989
$181,736 (4,951,833) (2,036,977) 4,749,664 (585,958) (1,604,993)
$140,647,017 135,819,307 134,120,157 139,823,726 139,361,478 138,212,803
$140,382,437 138,233,162 134,969,732 136,971,942 139,592,602 138,787,141
$347,424 134,772 337,826 183,235 134,169 456,320
($8,843) (2,640) (7,985) (6,070) (983) (3,779)
$338,581 132,132 329,841 177,165 133,186 452,541
$0 10,649 0 7,483 10,459 0
$338,581 121,483 329,841 169,682 122,727 452,541
Comparative Totals: Year-to-date FY 2015-16 $140,117,856 FY 2014-15 133,500,784 Amt Change % Change
$12,144,427 33,931,885
$9,801,119 30,206,006
($4,248,361) (799,233)
$138,212,803 136,427,430 1,785,373 1.31%
$138,156,169 134,684,560 3,471,610 2.58%
$1,593,746 1,548,021 45,725 2.95%
($30,300) 362,739 (393,039) -108.35%
$1,563,446 1,910,760 (347,314) -18.18%
$28,591 12,449 16,142 129.67%
$1,534,855 1,898,311 (363,456) -19.15%
*Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Less Expenses
Net Realized Income/(Loss)
Sales Proceeds
Note: The Endowment Pool includes endowment funds designated for long-term investment. Included in this pool are endowment funds invested in the University's Cash Management Investment Pool (CMIP) consisting of $13,386,847 principal beginning balance, a $13,140,694 ending balance, and a $13,345,392 average daily balance for the current month. Current month interest and dividends from the CMIP were $19,082 bringing the total to $112,782 year-to-date. These amounts have also been reported in Schedules A-1 and A-2. *The July beginning fair value has been adjusted to reflect the amount distributed to expendable accounts at fiscal year end.
UTAH STATE UNIVERSITY ENDOWMENT POOL INVESTMENT PERFORMANCE
Total Number of Units
Beginning of Month
Fair Value Per Unit End of Month
Schedule B-1-A
Percent Change
Net Earnings
Earnings Per Unit
July 2015
533,704.19
$262.5384
$263.5299
0.38%
$347,424
$0.6510
August 2015
533,704.19
263.5299
254.4842
-3.43%
134,772
0.2525
September 2015
533,704.19
254.4842
251.3006
-1.25%
337,826
0.6330
October 2015
536,800.70
251.3006
260.4761
3.65%
183,235
0.3413
November 2015
536,800.70
260.4761
259.6149
-0.33%
134,169
0.2499
December 2015
536,800.70
259.6149
257.4751
-0.82%
456,320
0.8501
January 2016 February 2016 March 2016 April 2016 May 2016 June 2016
UTAH STATE UNIVERSITY ENDOWMENT POOL PORTFOLIO December 31, 2015
Description
Face Value
Number of Shares
Cash Management Investment Pool Total Cash Management Investment Pool Equity funds Dimensional (DFA) RhumbLine QSI Index SIT Dividend Growth Vanguard Russell 3000 Vanguard FTSE All-World ex-US Index Fund UTS SPDR Trust Ser 1 (SPY) Total Equities Fixed Income funds Longfellow High Yield Bond Fund Oaktree Senior Loan Fund, L.P. Paydenfunds - Emerging Markets Bond Fund Stone Harbor Emerging Market Vanguard ST Inflation Protected Securities Index Total Fixed Income Funds Alternatives Commonfund CEP VII CEP VIII CNR VIII CNR IX CVP X Constitution Capital Ironsides Co-Investment Fund III Ironsides Partnership Fund III
146,586.571 818,468.887 60,752.453 157,105.157 46,989.000
681,555.711 219,506.598 289,776.115 198,455.702
Interest Rate
Date Acquired
Schedule ScheduleB-1-B B-2-A Page 1 of 3
Maturity Date
Cost
Fair Value
Unrealized Gain/(Loss)
$13,140,694 13,140,694
$13,140,694 13,140,694
4,277,913 9,985,035 10,000,000 8,551,591 14,541,988 3,983,736 51,340,263
2,990,366 13,137,017 12,783,045 10,973,716 13,451,344 9,579,647 62,915,135
(1,287,547) 3,151,982 2,783,045 2,422,125 (1,090,644) 5,595,911 11,574,872
9,997,915 7,321,431 9,249,431 2,989,331 3,075,788 4,924,688 37,558,584
9,823,954 6,512,423 8,995,027 2,796,514 2,747,078 4,798,659 35,673,655
(173,961) (809,008) (254,404) (192,817) (328,710) (126,029) (1,884,929)
374,035 635,595 1,012,092 652,500 646,785
824,358 807,138 1,031,148 566,233 916,411
450,323 171,543 19,056 (86,267) 269,626
765,833 122,619
871,082 122,449
105,249 (170)
$0 0
UTAH STATE UNIVERSITY ENDOWMENT POOL PORTFOLIO December 31, 2015
Description Alternatives (continued) Goldman Sachs Vintage Fund VI International Fund Services AQR International Equity Fund II, L.P. Morgan Stanley JP Morgan Prime Property Fund Pinehurst Institutional Ltd. Corbin Solamere Capital Solamere Founders Fund I, LP Solamere Founders Fund II, LP Woodbury Woodbury Strategic Partners Fund, L.P. Woodbury Capital II, LP WSP Centre Point Co-Investors, LLC WSP Wilmington, Phase I WSP Wilmington, Phase II Total Alternatives
Face Value
Number of Shares
Interest Rate
Date Acquired
Schedule ScheduleB-1-B B-2-A Page 2 of 3
Maturity Date
Fair Value
Cost
Unrealized Gain/(Loss)
$990,802
$1,286,900
$296,098
5,000,000
4,837,287
(162,713)
304.181
4,263,800
5,023,908
760,108
2,570.327
4,000,000
4,044,164
44,164
975,620 922,274
1,668,768 855,480
693,148 (66,794)
2,211,143 596,734 119,938 100,000 334,414 23,724,184
2,301,776 584,119 65,202 100,000 334,414 26,240,837
90,633 (12,615) (54,736) 0 0 2,516,653
Money Market Funds Money Market - 05374002 Goldman Sachs Bank Deposit Total Money Market
2 1 3
2 1 3
0 0 0
Accrued Income / Other 05374002 Cash Wells Fargo - High Yield Wells Fargo - SPY
26,962 32,694 56,930
26,962 32,694 56,930
0 0 0
UTAH STATE UNIVERSITY ENDOWMENT POOL PORTFOLIO December 31, 2015
Description Accrued Income / Other (continued) 05374004 Cash Interest Accrual Total Accruals Total Endowment Pool
Face Value
Number of Shares
Interest Rate
Date Acquired
Schedule ScheduleB-1-B B-2-A Page 3 of 3
Maturity Date
Cost
Fair Value
Unrealized Gain/(Loss)
$64,444 61,449 242,479
$64,444 61,449 242,479
$0 0 0
$126,006,207
$138,212,803
$12,206,596
UTAH STATE UNIVERSITY SUMMARY OF ENDOWMENT POOL TRANSACTIONS For the Month of December 2015
Purchases Shares
Schedule Schedule F B-2 Page 1 of 1
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Endowment Pool Transactions Cash Management Investment Pool Utah State University CMIP Interest Equity funds Dimensional (DFA) Vanguard Russell 3000 Vanguard FTSE All-World ex-US Index Fund UTS SPDR Trust Ser 1 (SPY) Fixed Income funds Longfellow Wells Fargo High Yield Bond Fund Paydenfunds - Emerging Markets Bond Fund Stone Harbor Emerging Market Alternatives Commonfund CEP VII CNR VIII CNR IX CVP X Constitution Capital Ironsides Partnership Fund III Morgan Stanley JP Morgan Prime Property Fund Solamere Capital Solamere Founders Fund II, LP Woodbury Woodbury Capital II, LP Accrued Income / Other 05374002 Cash Wells Fargo - High Yield Wells Fargo - MM Wells Fargo - SPY 05374004 Cash Interest Accrual Total Endowment Pool Transactions
$265,235
$265,235
$0
$19,082
$19,082 2,178.050 377.154 1,227.066
44,323 66,836 103,503
554,301 3,555.954 1,241.118 4,527.751
44,323 66,835 103,503 56,930 434,827
431,048
(3,779)
34,930 15,824 42,787
3,750 26,250 25,000
26,138 32,694 15,825 42,788
23,000 10,413
23,000 10,413
0 0
73,985 2.918
48,202 165,000
48,202 18,976
18,976
0
800,392 34,929 3,266
800,392 34,929 3,266
0 0 0
377,225 28,389
481,807 20,923
481,807 20,923
0 0
$2,546,307
$2,093,768
$2,089,989
150,000
677,296 32,694 56,930
($3,779)
$456,320
UTAH STATE UNIVERSITY OTHER INVESTMENTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
Sales Proceeds
$85,525,373 86,160,885 85,392,929 85,522,988 88,714,334 87,845,987
$1,171,824 2,287,414 1,717,966 7,154,696 4,974,331 11,188,303
$901,845 1,842,208 1,365,967 5,261,462 5,858,304 10,747,738
Comparative Totals: Year-to-date FY 2015-16 $85,525,373 FY 2014-15 54,409,537 Amt Change % Change
$28,494,534 75,642,800
$25,977,524 44,882,977
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Change in Fair Value
Schedule C-1
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Realized Gain or (Loss)
Total Realized Income
$365,533 (1,213,162) (221,940) 1,298,112 15,626 (1,016,778)
$86,160,885 85,392,929 85,522,988 88,714,334 87,845,987 87,269,774
$85,843,129 85,776,907 85,457,959 87,118,661 88,280,161 87,557,881
$369,263 222,820 357,380 318,333 276,901 469,128
$3,153 2,998 (23,272) (51,784) (127,276) 18,379
$372,416 225,818 334,108 266,549 149,625 487,507
($772,609) (1,071,097)
$87,269,774 84,098,263 3,171,511 3.77%
$86,672,449 75,847,346 10,825,103 14.27%
$2,013,825 1,569,111 444,714 28.34%
($177,802) (480,659) 302,857 63.01%
$1,836,023 1,088,452 747,571 68.68%
UTAH STATE UNIVERSITY OTHER INVESTMENTS PORTFOLIO 31 December 2015
Description Corporate Bonds and Notes U.S. Treasury Bond
Face Value
Number of Shares
$100,000
8.000%
Utah Public Treasurers' Investment Fund Fixed Income Wells Fargo JPMorgan Chase Bank NA Federal Farm Credit Bank Federal Farm Credit Bank Federal Home Loan Bank Chicago Ill Genl Obligation Bonds Chicago Ill Genl Obligation Bonds Chicago Ill Genl Obligation Bonds Fresno California Water Sys Rev BAB Southern Ill Univ Revs Build America Bonds Assured Guarany Muni AXA SA Security Benefit Life Bank of America CitiBank Wachovia Zions Bancorp Zions Bancorp Bed Bath & Beyond Inc Diamond Offshore Drill General Electric Halliburton Company Oneok, Inc Prudential Financial Barclays Bank BHP Billiton Fin USA Ltd
Interest Rate
0.715%
15,000.000 50,000.000 47,970.000 46,750.000 10,000.000 7,250.000 10,000.000 10,000.000 16,450.000 10,000.000 10,000.000 20,350.000 5,000.000 26,110.000 10,000.000 10,000.000 10,000.000 5,000.000 9,570.000 11,843.000 10,000.000 5,000.000 10,000.000 20,000.000 10,000.000
Schedule C-1-A Page 1 of 4
Date Acquired
Maturity Date
11/15/91
11/15/21
Cost
Fair Value
Unrealized Gain/(Loss)
$125,313 125,313
$133,527 133,527
$8,214 8,214
841,224 841,224
841,224 841,224
0 0
1,500,000 5,000,000 4,797,000 4,675,000 1,060,567 715,909 1,030,170 1,027,500 1,772,471 936,000 1,019,450 2,249,591 575,000 2,611,000 1,000,000 1,000,000 1,000,000 443,170 920,385 1,115,000 1,264,270 467,784 972,100 1,980,000 1,029,625
1,200,750 4,861,400 4,601,666 4,516,284 1,049,500 598,836 803,720 1,129,030 1,779,693 720,000 1,075,000 2,483,644 508,750 2,020,261 963,250 957,500 1,068,750 423,505 654,243 1,181,339 1,238,840 310,000 1,022,500 2,167,380 965,000
(299,250) (138,600) (195,334) (158,716) (11,067) (117,073) (226,450) 101,530 7,222 (216,000) 55,550 234,053 (66,250) (590,739) (36,750) (42,500) 68,750 (19,665) (266,142) 66,339 (25,430) (157,784) 50,400 187,380 (64,625)
UTAH STATE UNIVERSITY OTHER INVESTMENTS PORTFOLIO 31 December 2015
Description Fixed Income (continued) Wells Fargo Electricite De France QBE Cap Funding III LTD Equity Commonwealth Preferred Public Storage Allstate Corp American Financial Group Berkley (WR) Corporation Capital One Financial Charles Schwab Citigroup Inc 5.800% Cobank ACB 6.125% Cobank ACB 6.250% Hancock Holding Co HSBC USA Inc New JP Morgan Chase & Co 6.125 JP Morgan Chase & Co 6.100 Qwest Corp 6.875% Southern Co 6.25% State Street Corp Texas Capital Bancshares Wells Fargo & Co Wells Fargo & Co Mutual Funds American Funds CI A American Balanced Fund - Class A AMCAP Fund-F1 The Growth Fund of America - Class A The Growth Fund of America - Class A The New Economy Fund-Fund1 New World Fund-F1
Face Value
Number of Shares
Interest Rate
Date Acquired
Schedule C-1-A Page 2 of 4
Maturity Date
Cost
Fair Value
Unrealized Gain/(Loss)
10,000.000 20,000.000 42,000.000 20,000.000 24,400.000 60,000.000 40,000.000 20,000.000 20,000.000 20,000.000 13,000.000 10,000.000 61,000.000 20,000.000 60,120.000 20,000.000 100,000.000 40,000.000 80,000.000 40,000.000 20,000.000 20,000.000
$1,001,400 2,158,200 950,250 500,000 613,660 1,500,000 935,000 500,000 500,000 500,000 1,235,000 1,101,290 1,518,375 485,800 1,499,994 494,000 2,494,400 1,000,000 2,000,000 990,000 483,000 500,000 63,122,361
$940,000 2,202,580 1,029,420 503,000 677,100 1,563,000 1,016,800 525,800 538,600 519,000 1,177,719 1,026,563 1,493,280 520,600 1,570,334 517,800 2,575,000 1,075,600 2,125,600 1,016,800 522,400 525,000 61,962,837
($61,400) 44,380 79,170 3,000 63,440 63,000 81,800 25,800 38,600 19,000 (57,281) (74,727) (25,095) 34,800 70,340 23,800 80,600 75,600 125,600 26,800 39,400 25,000 (1,159,524)
734.586 2,380.280 253.365 14,623.042 1,822.596 1,034.060
12,740 64,604 8,486 489,768 69,466 51,509
17,505 61,268 10,461 603,785 65,668 51,331
4,765 (3,336) 1,975 114,017 (3,798) (178)
UTAH STATE UNIVERSITY OTHER INVESTMENTS PORTFOLIO 31 December 2015
Description Mutual Funds (continued) American Funds CI A Washington Mutual Investors Fund-F1 Commonfund CEU Title III Multi-Strategy Bond Multi-Strategy Equity Putnam Funds Class A Putnam High Yield Cl-A Vanguard 500 Index Fund Admiral Shares Total Bond Market Index Fund Admiral Shares 500 Index Fund Admiral Shares Total Bond Market Index Fund Admiral Shares Alternatives Dakota Pacific Real Estate Group Dakota Pacific Real Estate InvenTrust Properties Inventrust Properties Corp Morgan Stanley Smith Barney MS Opp Mortgage Inc Fund vSpring Kickstart Seed Fund 1, L.P. Woodbury Woodbury Strategic Partners Fund Woodbury Capital II, LP WSP Wilmington, Phase I WSP Wilmington, Phase II Xenia Hotels & Resorts Xenia
Face Value
Number of Shares
Cost
Fair Value
1,505.987
$60,657
$57,709
355,752.911 44,445.436
4,451,225 4,169,254
5,142,866 12,842,467
3,017.492
22,653
21,153
(1,500)
131.960 1,573.839 134.175 2,086.339
15,136 17,158 15,252 22,746 9,470,654
24,872 16,746 25,289 22,199 18,963,319
9,736 (412) 10,037 (547) 9,492,665
57,548
57,548
132,246
75,375
2,000,000
2,067,222
67,222
154,297
228,175
73,878
746,446 600,000 35,000 465,000
767,259 584,119 35,000 465,000
20,813 (15,881) 0 0
51,987 4,242,524
51,198 4,330,896
(789) 88,372
18,843.839
2355.000
Interest Rate
Date Acquired
Schedule C-1-A Page 3 of 4
Maturity Date
Unrealized Gain/(Loss)
($2,948)
691,641 8,673,213
0 (56,871)
UTAH STATE UNIVERSITY OTHER INVESTMENTS PORTFOLIO 31 December 2015
Description Money Market / Cash Edward Jones Morgan Stanley Bank N.A. Morgan Stanley SEI - Prime Obligation Fund Wells Fargo - Cash
Receivable / In Transit / Unsettled Purchases Commonfund Wells Fargo - Receivable U.S. Treasury Bond
Total Other Investments
Face Value
Number of Shares
Interest Rate
Date Acquired
Schedule C-1-A Page 4 of 4
Maturity Date
Cost
Fair Value
Unrealized Gain/(Loss)
$2 40,851 7 75 414,929 455,864
$2 40,851 7 75 414,929 455,864
$0 0 0 0 0 0
84,512 496,573 1,022 582,107
84,512 496,573 1,022 582,107
0 0 0 0
$78,840,047
$87,269,774
$8,429,727
UTAH STATE UNIVERSITY SUMMARY OF OTHER INVESTMENT TRANSACTIONS For the Month of December 2015
Purchases Shares
Schedule C-2 Page 1 of 2
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Other Investments Corporate Bonds and Notes U.S. Treasury Bond Common and Preferred Stock Edward Jones Columbia Seligman Comms & Info A Cisco Systems, Inc Morgan Stanley The Walt Disney Company Agilent Technologies Alaska Air Group Amazon.com Apple Inc. Apple Inc. General Electric Co. Gilead Science HealthEquity Inc Com Lockheed Martin Corp Newell Rubbermain Inc Wells Fargo & Co New Wells Fargo & Co New Snap Finance, LLC Snap Finance Utah Public Treasurers' Investment Fund Fixed Income Federal Farm Credit Bank Southern Ill Univ Revs Build America Bonds General Electric Bed Bath & Beyond Inc General Electric Wells Fargo - Earnings Mutual Funds American Funds CI A American Balanced Fund - Class A AMCAP Fund - C AMCAP Fund-F1 The Growth Fund of America - Class A The Growth Fund of America - Class A The New Economy Fund-C
$689
185.556 73.000
$10,089 1,920
185.556 73.000
$10,089 1,920
10,064 1,837
($25) (83)
2,470.000 18.000 2,239.000 9.000 284.000 40,000.000 68.000 300.000 47.000 32.000 110.000 100.000
100,455 1,489 1,501,216 1,070 31,415 1,216,600 6,899 8,229 10,172 1,468 5,987 5,410
9.000 2,470.000 18.000 2,239.000 9.000 284.000 40,000.000 68.000 300.000 47.000 32.000 110.000 100.000
1,030 100,455 1,489 1,501,216 1,070 31,415 1,216,600 6,899 8,229 10,172 1,468 5,987 5,410
1,002 99,959 1,371 1,479,675 1,007 30,698 1,216,435 6,888 7,722 10,080 1,267 5,782 5,353
(28) (496) (118) (21,541) (63) (717) (165) (11) (507) (92) (201) (205) (57)
42,711.000
375,003
42,711.000
375,002
375,002
0
517
16,450.000
1,772,471
5,000.000 11,843.000
443,170 1,115,000
517 3,250.000
325,000
312,049
10,000.000
1,115,000
1,115,000
(12,951) 0
375,230
25.281
599
670 2,474.970
2,380.280 20.727 1,196.234
49,083
61,577
12,494
64,604 852 49,189
3,027 852 49,189 1,867.279
46,064
65,710
19,646
UTAH STATE UNIVERSITY SUMMARY OF OTHER INVESTMENT TRANSACTIONS For the Month of December 2015
Purchases Shares Mutual Funds (continued) American Funds CI A The New Economy Fund-Fund1 New World Fund-C New World Fund-F1 Washington Mutual Investors Fund-C Washington Mutual Investors Fund-F1 Commonfund CEU Title III Multi-Strategy Bond Multi-Strategy Equity Putnam Funds Class A Putnam High Yield Cl-A Vanguard 500 Index Fund Admiral Shares Total Bond Market Index Fund Admiral Shares 500 Index Fund Admiral Shares Total Bond Market Index Fund Admiral Shares Alternatives Woodbury Woodbury Capital II, LP Money Market / Cash Morgan Stanley Wells Fargo - Cash Receivable / In Transit / Unsettled Purchases Commonfund Morgan Stanley - Unsettled Purchases Wells Fargo - Receivable U.S. Treasury Bond Total Other Investments
1,822.596 1,034.060 1,505.987
Schedule C-2 Page 2 of 2
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
$69,466
$3,756 1,060.600
$43,462
$51,248
$7,786
1,448.621
45,309
58,017
12,708
51,509
261
60,657
2,639
90.105 11.951
1,019 732
1,303 3,453
284 2,721
14,905 13,249
43.588
314
314
0.782 10.987 0.795 14.564
145 117 147 156
144 117 147 156
150,000
3,266
2,867,239 822,309
2,869,619 2,374,823
2,869,619 2,374,823
0 0
44,636 536,161
44,636 536,161
0 0
$10,729,359
$10,747,738
$18,379
28,153 413,578 689 $11,188,303
$469,128
UTAH STATE UNIVERSITY ENDOWMENT TRUSTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Purchases
Sales Proceeds
Change in Fair Value
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Schedule D-1
Realized Gain or (Loss)
Total Realized Income
$6,163,191 6,105,217 5,749,711 5,492,293 6,020,238 5,983,399
$345,495 67,548 198,010 47,466 328,472 46,832
$322,446 46,278 173,103 22,120 306,374 145,760
($81,023) (376,776) (282,325) 502,599 (58,937) (319,432)
$6,105,217 5,749,711 5,492,293 6,020,238 5,983,399 5,565,039
$6,134,204 5,927,464 5,621,002 5,756,266 6,001,819 5,774,219
$23,699 28,954 24,933 25,998 22,082 25,096
$35,725 0 (16,141) (15) 24,084 2,044
$59,424 28,954 8,792 25,983 46,166 27,140
Comparative Totals: Year-to-date FY 2015-16 $6,163,191 FY 2014-15 6,933,646 Amt Change % Change
$1,033,823 3,088,388
$1,016,081 2,988,862
($615,894) (680,552)
$5,565,039 6,352,620 (787,581) -12.40%
$5,869,162 6,715,155 (845,993) -12.60%
$150,762 157,708 (6,946) -4.40%
$45,697 180,848 (135,151) -74.73%
$196,459 338,556 (142,097) -41.97%
Note: Endowment Trusts include externally managed endowment trusts.
Less Expenses $651 74 25 652 (15) 25
$1,412 1,475 (63) -4.27%
Net Realized Income/(Loss) $58,773 28,880 8,767 25,331 46,181 27,115
$195,047 337,081 (142,034) -42.14%
UTAH STATE UNIVERSITY ENDOWMENT TRUSTS PORTFOLIO 31 December 2015
Description Common and Preferred Stock Altria Group Inc. Apple Inc AT & T Inc BCE Inc (NEW) Blackstone Group LP BP Plc. Ads CenturyLink Inc. Chevron Corp Columbia PPTY TR Inc Com New ConocoPhillips Enterprise Prod Partners General Electric Glaxosmithkline PLC ADS HCP Incorporated JP Morgan Chase & Co Merck & Co Inc. New Com PBF Energy Inc PJT Partners Inc Com Class A Prospect Capital Corp SeaDrill Ltd. SeaDrill Partners LLC Verizon Communications Vodafone Group PLC Zions Bancorp Acadian Emerging Markets Causeway Intl Value Fund I Delaware US Growth Fd Goldman Sacs Small Cap Value Fund
Number of Shares
1,000.000 3,150.000 5,300.000 4,900.000 12,800.000 8,000.000 6,800.000 3,100.000 7,000.000 4,500.000 2,800.000 17,900.000 8,400.000 4,000.000 4,000.000 10,200.000 8,800.000 320.000 19,500.000 12,500.000 16,500.000 3,782.000 4,527.000 4,500.000 106.974 189.223 64.111 10.603
Schedule D-1-A Page 1 of 3
Cost
$16,108 252,322 174,711 214,422 544,799 402,692 248,010 318,906 175,153 285,535 78,049 178,339 392,297 151,617 145,207 425,455 206,400 1,219 203,690 404,045 468,619 187,010 239,344 138,225 2,042 3,057 1,429 532
Fair Value
$58,210 331,569 182,373 189,238 374,272 250,080 171,088 278,876 164,360 210,105 71,624 557,585 338,940 152,960 264,120 538,764 323,928 9,053 136,110 42,375 60,225 174,804 146,041 122,850 1,595 2,664 1,642 529
Unrealized Gain/(Loss)
$42,102 79,247 7,662 (25,184) (170,527) (152,612) (76,922) (40,030) (10,793) (75,430) (6,425) 379,246 (53,357) 1,343 118,913 113,309 117,528 7,834 (67,580) (361,670) (408,394) (12,206) (93,303) (15,375) (447) (393) 213 (3)
UTAH STATE UNIVERSITY ENDOWMENT TRUSTS PORTFOLIO 31 December 2015
Description Common and Preferred Stock (continued) Harbor International Fund Class Invesco Small Cap Growth Fund JP Morgan Small Cap Equity Fund Lazard Intl Equity Port - Instl #632 MFS Value Fund Northern Mid Cap Index Fund T Rowe Price Equity Income T Rowe Price Institutional Large CP Growth Vanguard 500 Index Fund - Adm #540 Wells Fargo Advantage Growth Fund Acadian Emerging Markets Causeway Intl Value Fund I Delaware US Growth Fd Goldman Sacs Small Cap Value Fund Harbor International Fund Class Invesco Small Cap Growth Fund JP Morgan Small Cap Equity Fund Lazard Intl Equity Port - Instl #632 MFS Value Fund Northern Mid Cap Index Fund T Rowe Price Equity Income T Rowe Price Institutional Large CP Growth Vanguard 500 Index Fund - Adm #540 Wells Fargo Advantage Growth Fund Mutual Funds Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund
Number of Shares
Schedule D-1-A Page 2 of 3
Fair Value
Cost
Unrealized Gain/(Loss)
47.766 16.732 34.077 159.798 80.130 314.082 92.980 107.447 58.046 36.467 106.957 189.193 64.100 10.601 47.759 16.726 34.072 159.772 80.118 314.030 92.965 107.429 58.037 36.463
$3,014 600 1,510 2,816 2,326 4,687 2,752 2,261 8,938 1,676 2,042 3,056 1,429 532 3,013 599 1,510 2,816 2,326 4,686 2,751 2,261 8,936 1,676 5,927,447
$2,839 590 1,497 2,729 2,641 4,959 2,646 3,104 10,941 1,677 1,595 2,664 1,642 529 2,838 590 1,497 2,729 2,641 4,959 2,646 3,104 10,939 1,677 5,229,653
($175) (10) (13) (87) 315 272 (106) 843 2,003 1 (447) (392) 213 (3) (175) (9) (13) (87) 315 273 (105) 843 2,003 1 (697,794)
2,356.762 2,953.500
32,728 33,522
31,321 31,455
(1,407) (2,067)
UTAH STATE UNIVERSITY ENDOWMENT TRUSTS PORTFOLIO 31 December 2015
Description Mutual Funds (continued) Metropolitan West Total Return Bond Fund Wells Fargo Advantage Core Bond Fund Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund Metropolitan West Total Return Bond Fund Wells Fargo Advantage Core Bond Fund
Money Market & Cash Funds Morgan Stanley Bank N.A. Wells Fargo #451 Wells Fargo #451
Receivable Morgan Stanley
Total Total Total Endowment Endowment Endowment Trusts Trusts Trusts
Number of Shares
2,887.470 2,440.894 2,356.386 2,953.020 2,887.008 2,440.499
Schedule D-1-A Page 3 of 3
Fair Value
Cost
Unrealized Gain/(Loss)
$31,583 31,298 32,723 33,517 31,578 31,293 258,242
$30,665 30,828 31,316 31,450 30,660 30,823 248,518
($918) (470) (1,407) (2,067) (918) (470) (9,724)
31,650 2,237 2,236 36,123
31,650 2,237 2,236 36,123
0 0 0 0
50,745 50,745
50,745 50,745
0 0
$6,272,557
$5,565,039
($707,518)
UTAH STATE UNIVERSITY SUMMARY OF ENDOWMENT TRUST INVESTMENT TRANSACTIONS
Schedule Schedule F D-2
For the Month of December 2015
Page 1 of 2
Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Endowment Trusts Common and Preferred Stock Blackstone Group LP Causeway Intl Value Fund I Delaware US Growth Fd Goldman Sacs Small Cap Value Fund Harbor International Fund Class Invesco Small Cap Growth Fund JP Morgan Small Cap Equity Fund MFS Value Fund Northern Mid Cap Index Fund T Rowe Price Equity Income T Rowe Price Institutional Large CP Growth Vanguard 500 Index Fund - Adm #540 Wells Fargo Advantage Growth Fund Causeway Intl Value Fund I Delaware US Growth Fd Goldman Sacs Small Cap Value Fund Harbor International Fund Class Invesco Small Cap Growth Fund JP Morgan Small Cap Equity Fund MFS Value Fund Northern Mid Cap Index Fund T Rowe Price Equity Income T Rowe Price Institutional Large CP Growth Vanguard 500 Index Fund - Adm #540 Wells Fargo Advantage Growth Fund Funds held at Morgan Stanley - Dividends Funds held at Wells Fargo - Dividends Mutual Funds Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund Metropolitan West Total Return Bond Fund Wells Fargo Advantage Core Bond Fund Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund Metropolitan West Total Return Bond Fund
3.572 6.923 0.555 2.204 1.415 2.351 3.295 24.015 5.236 4.829 0.344 4.300 3.572 6.921 0.555 2.204 1.415 2.351 3.294 24.010 5.235 4.828 0.344 4.300
$51 177 28 130 50 103 109 378 146 140 64 194 51 177 28 130 49 103 109 378 147 139 64 194
$1,219
$0
($1,219)
0 0 0 0 0 0 0 0 0
169 24 81 50 97 95 312 130 138
169 24 81 50 97 95 312 130 138
0
194
194
0 0 0 0 0 0 0 0 0
169 24 81 49 97 95 312 130 138
169 24 81 49 97 95 312 130 138
0
194
194 $23,638 566
20.725 8.256 36.856 3.643 20.722 8.256 36.848
276 89 392 46 276 89 392
79.181
79.163
0
12
12
856
1,186
330
0
12
12
856
1,186
330
UTAH STATE UNIVERSITY SUMMARY OF ENDOWMENT TRUST INVESTMENT TRANSACTIONS
Schedule Schedule F D-2
For the Month of December 2015
Page 2 of 2
Purchases Shares Mutual Funds Wells Fargo Advantage Core Bond Fund Funds held at Wells Fargo - Dividends Money Market & Cash Funds Morgan Stanley Bank N.A. Wells Fargo #451 Wells Fargo #451 Receivable Morgan Stanley Total Endowment Trusts
3.641
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
$46 $892 16,745 852 852
$124,040
$124,040
$0
23,638
16,745
16,745
0
$46,832
$143,716
$145,760
$2,044
$25,096
UTAH STATE UNIVERSITY PLANT FUND TRUSTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
Sales Proceeds
$19,981,232 43,901,186 43,908,351 65,162,721 83,312,762 82,795,020
$48,013,344 97,326 28,379,148 21,161,797 15,396,254 3,244,024
$24,143,447 83,252 7,194,469 2,980,605 15,908,218 10,697,953
Comparative Totals: Year-to-date FY 2015-16 $19,981,232 FY 2014-15 36,208,787 Amt Change % Change
$116,291,893 23,511,154
$61,007,944 30,454,409
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Change in Fair Value
Total Interest Income
Schedule E-1
Ending Fair Value
Average Daily Fair Value
$50,057 (6,909) 69,691 (31,151) (5,778) 9,481
$43,901,186 43,908,351 65,162,721 83,312,762 82,795,020 75,350,572
$37,716,343 43,915,037 51,051,794 79,000,603 80,897,070 76,734,117
$27,706 28,075 28,262 61,288 62,209 56,032
$96,216
$27,706 28,075 28,262 61,288 62,209 152,248
$85,391 252,047
$75,350,572 29,517,579 45,832,993 155.27%
$61,552,494 35,218,782 26,333,712 74.77%
$263,572 195,928 67,644 34.52%
$96,216 0 96,216 100.00%
$359,788 195,928 163,860 83.63%
Note: Plant Fund Trusts include all debt service reserve and construction fund accounts in compliance with bond issue covenants.
Realized Gain or (Loss)
Total Realized Income
Less Expenses
Net Realized Income/(Loss) $27,706 28,075 28,262 61,288 62,209 152,248
$0 0 0 0.00%
$359,788 195,928 163,860 83.63%
UTAH STATE UNIVERSITY PLANT TRUSTS PORTFOLIO 31 December 2015
Description Wells Fargo Federal National Mortgage Association Federal National Mortgage Association Federal Home Loan Bank Riverton City Bonds Heritage Money Market Cash
Public Treasurers' Investment Fund Utah Public Treasurers' Investment Fund
Total Total Plant Plant Trusts Trusts
Face Value
500,000 1,495,000 840,000 1,300,000
Number of Shares
Schedule E-1-A
Interest Rate
Date Acquired
Maturity Date
2.33% 3.00% 2.80% 5.25% Variable
04/12/12 08/29/13 03/14/13 08/14/13
01/23/23 04/18/33 03/14/25 12/01/39
0.715%
Cost
Fair Value
Unrealized Gain/(Loss)
$500,000 1,327,560 840,000 1,355,276 12 43,713 4,066,561
$497,655 1,469,959 840,042 1,505,335 12 43,713 4,356,716
($2,345) 142,399 42 150,059 0 0 290,155
70,993,856 70,993,856
70,993,856 70,993,856
0 0
$75,060,417
$75,350,572
$290,155
UTAH STATE UNIVERSITY SUMMARY OF PLANT TRUST INVESTMENT TRANSACTIONS
Schedule Schedule F E-2
For the Month of December 2015
Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Plant Trusts Wells Fargo Build America Bonds Federal National Mortgage Association Federal Home Loan Bank Riverton City Bonds Heritage Money Market Cash Utah Public Treasurers' Investment Fund Total Plant Trusts
$1,676,255
$1,772,471
$96,216 $4,708 1,960 5,688
$3,168,550 75,474
1,263,163 7,661,672 647
1,263,163 7,661,672 647
0 0 0
43,676
$3,244,024
$10,601,737
$10,697,953
$96,216
$56,032
Schedule F
Summary of Total Investment Returns Endowment Pool Trailing 12-Month Return
Endowment Pool 7.97%
7.86%
8%
7.06%
7.48% 5.82%
6%
6.70%
7.17% 5.74%
4%
4.72%
6.48% 5.32%
2%
2.66%
1.86%
4.19%
2.89%
0.55%
0%
-1.12%
-2%
-1.66%
-0.75%
1.72% 0.16%
-1.41%
0.41% -0.49%
Endowment Pool
Composite Benchmark
Dec 2015
Nov 2015
Oct 2015
Sep 2015
Aug 2015
Jul 2015
Jun 2015
May 2015
Apr 2015
Mar 2015
Feb 2015
-4%
Jan 2015
Annualized Rate of Return
10%
Schedule F
Summary of Total Investment Returns Cash Management Investment Pool Trailing 12-Month Return
Cash Management Investment Pool
3%
2.64%
2.81%
2.91%
2.94%
2.85%
2.85%
2.78%
2.65%
2.37% 2%
1.78%
2.49%
2.04%
Apr 2015
May 2015
Jun 2015
Cash Management Investment Pool
0.53%
0.54%
0.55%
0.57%
0.58%
0.60%
Dec 2015
0.52%
Nov 2015
0.51%
Oct 2015
0.51%
Sep 2015
0.50%
Aug 2015
0.50%
Jul 2015
0.50%
Mar 2015
0%
Feb 2015
1%
Jan 2015
Annualized Rate of Return
4%
Public Treasurer's Investment Fund
Schedule G
Endowment Funds Millions of Dollars 360 340 320 300 280 260 240 220 200 180 160 140 120 100 80 60 40 20 0 June 11
Quasi Endowment True Endowment Total
Fair Value $107.5 106.4 $213.9
Jun 12
Fair Value $114.3 109.4 $223.7
Jun 13
Fair Value $118.7 124.3 $243.0
*As of July 1, 2010 the balances above reflect USU and USU-CEU's Endowment balances.
Jun 14
Fair Value $143.1 139.4 $282.5
Jun 15
Fair Value $175.5 144.1 $319.6
Sep 15
Fair Value $177.4 133.2 $310.6
Dec 15
Fair Value $185.2 139.1 $324.3
6 May 2016
ITEM FOR ACTION RE: Report of Investments for January 2016 The Report of Investments for January 2016 is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY This set of investment reports presents investment activity for January 2016 and comparative year-to-date totals for FY 2015-2016 and FY 2014-2015. CASH MANAGEMENT INVESTMENT POOL The average daily fair value invested during January 2016 was $336,241,774, up $9,351,138 over December 2015. Total investment income was $3,163,923, up $3,557,653 over December 2015, reflecting the increase in the amount available for investing and an increase in total investment return. The annualized total investment return was 11.29%, up 12.74% over December 2015. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $321,836,365, up $25,315,383 (8.54%) over FY 2014-2015. Total interest income for FY 20152016 amounted to $3,227,110, down $126,196 (3.76%) from FY 2014-2015, reflecting an increase in the amount available for investing and a decrease in interest rates. The total amount invested at 31 January 2016 was $341,814,182, up $3,147,109 (0.93%) over 31 January 2015. ENDOWMENT POOL The average daily fair value invested during January 2016 was $139,531,219, up $744,078 over December 2015. Interest and dividend income of $173,375 minus net realized losses of $16,250 totaled $157,125 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $138,352,605 up $3,090,479 (2.28%) over FY 2014-2015. Total realized income for FY 20152016 was $1,720,571, down $319,229 (15.65%) from FY 2014-2015. This decrease resulted from $83,766 more in interest and dividends and $402,995 less net realized gains during FY 2015-2016. The total amount invested at 31 January 2016 was $140,849,634, down $177,984 (0.13%) from 31 January 2015.
OTHER INVESTMENTS The average daily fair value invested during January 2016 was $87,538,328, down $19,553 from December 2015. Interest and dividend income of $331,777 minus net realized losses of $149,467 totaled $182,310 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $86,796,146, up $9,660,896 (12.52%) over FY 2014-2015. Total realized income for FY 20152016 was $2,018,333, up $655,308 (48.08%) over FY 2014-2015. This increase resulted from $500,789 more in interest and dividend income and $154,519 more in net realized gains during FY 2015-2016. The total amount invested at 31 January 2016 was $87,806,881, up $2,179,800 (2.55%) over 31 January 2015. ENDOWMENT TRUSTS The average daily fair value invested during January 2016 was $5,454,829 down $319,390 from December 2015. Interest and dividend income of $22,878 minus net realized losses of $7,871 totaled $15,007 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $5,809,972, down $849,301 (12.75%) from FY 2014-2015. Total realized income for FY 20152016 was $211,466, down $186,241 (46.83%) from FY 2014-2015. This decrease resulted from $3,862 less interest and dividend income and $182,379 less net realized gains during FY 20152016. The total amount invested at 31 January 2016 was $5,344,619, down $950,727 (15.10%) from 31 January 2015. PLANT FUND TRUSTS The average daily fair value invested during January 2016 was $75,396,599, down $1,337,518 from December 2015. Interest income totaled $57,403 in realized income for the month. Year-to-date numbers show that the average daily fair value invested for FY 2015-2016 was $63,530,223, up $29,123,708 (84.65%) over FY 2014-2015. Total realized income for FY 20152016 was $417,191, up $190,333 (83.90%) over FY 2014-2015. This increase reflects the increased amount available for investing and a decrease in the rate of return. The total amount invested at 31 January 2016 was $75,431,223, up $45,805,020 (154.61%) over 31 January 2015. SUMMARY OF INVESTMENT TRANSACTIONS The University’s average daily fair value invested for the month of January was $644,162,749.
Purchases totaled $45,925,988 and sales totaled $33,673,018. From this activity the University realized net losses of $173,588 and earnings of $1,066,456.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the Report of Investments for January 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The attached Report of Investments containing authorized transactions, documentation, and supporting papers has been filed for review by the Board of Trustees pertaining to the investment activities; and WHEREAS, The investment transactions listed on the attached Report of Investments have been approved by the USU Controller’s Office; and WHEREAS, The investment activities listed on the attached Report of Investments are in accordance with the Utah State Money Management Act, the rules of the Utah State Money Management Council, the Utah State Uniform Prudent Management of Institutional Funds Act, and the laws and rules of Utah State University and the State of Utah; and WHEREAS, The Chief Financial Officer for Utah State University, David T. Cowley, Vice President for Business and Finance, has certified to the best of his knowledge and belief all investment transactions listed on the attached Report of Investments were made in accordance with the guidelines, rules, and laws; and WHEREAS, Vice President Cowley requests approval of the attached Report of Investments for the period 1 January 2016 to 31 January 2016 and comparative year-to-date totals for the periods 1 July 2015 to 31 January 2016 and 1 July 2014 to 31 January 2015; and WHEREAS, The President of Utah State University has reviewed the attached report and recommends its approval by the Utah State University Board of Trustees; and WHEREAS, The USU Board of Trustees has reviewed and given due consideration, review, and authorization of the investment transactions listed on the attached Report of Investments for the period 1 January 2016 to 31 January 2016 and comparative year-to-date totals for the periods 1 July 2015 to 31 January 2016 and 1 July 2014 to 31 January 2015; NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the attached Report of Investments as presented and ratifies the transactions listed on said Report of Investments for January 2016.
===================================================================== RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________________ Date
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
$294,364,021 296,212,724 307,365,953 331,938,337 334,828,053 322,028,749 334,174,692
$14,946,300 16,000,000 56,406,000 25,377,935 3,616,000 18,000,000 31,956,590
$14,000,000 5,000,000 32,965,000 22,000,000 15,985,000 4,989,250 27,000,000
Comparative Totals: Year-to-date FY 2015-16 $294,364,021 FY 2014-15 275,112,783 Amt Change % Change
$166,302,825 243,167,993
$121,939,250 187,318,993
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Sales Proceeds
Change in Fair Value $902,403 153,229 1,131,384 (488,219) (430,304) (864,807) 2,682,900
$3,086,586 7,705,296
Schedule A-1
Ending Fair Value
Average Daily Fair Value
$296,212,724 307,365,953 331,938,337 334,828,053 322,028,749 334,174,692 341,814,182
$297,423,682 301,951,282 329,296,083 329,558,646 331,492,451 326,890,636 336,241,774
$451,055 436,797 472,353 461,434 453,371 471,077 481,023
$1,929 0 (245) 5,148 (75) (2,060) 1
$449,126 436,797 472,598 456,286 453,446 473,137 481,022
$341,814,182 338,667,079 3,147,103 0.93%
$321,836,365 296,520,982 25,315,383 8.54%
$3,227,110 3,353,306 (126,196) -3.76%
$4,698 2,462 2,236 90.82%
$3,222,412 3,350,844 (128,432) -3.83%
Note: The Cash Management Investment Pool includes cash of all funds over estimated daily operating requirements.
Total Interest Income
Less Service Charges
Net Interest Income
UTAH STATE UNIVERSITY CASH MANAGEMENT INVESTMENT POOL SUMMARY OF INVESTMENT TRANSACTIONS AND PERFORMANCE For the Month of January 2016
Sales Purchases
Cost
Receipts
Earnings
Change in Fair Value
Schedule A-2
Total Investment Income
Average Daily Fair Value
Annualized Total Investment Return
Money Market Account
$3,794
$3,794
$7,100,000
0.64%
Utah Public Treasurers' Investment Fund
30,480
30,480
48,100,000
0.76%
Commercial Paper and Corporate Notes
$31,956,590
Obligations of U. S. Government
$10,000,000
$10,000,000
85,974
$142,799
228,773
98,977,442
2.77%
17,000,000
17,000,000
300,418
2,329,750
2,630,168
165,754,032
19.04%
60,357
210,350
270,707
16,310,300
19.92%
$481,023
$2,682,900
$3,163,923
$336,241,774
11.29%
Municipal Bonds Total
$31,956,590
$27,000,000
$27,000,000
UTAH STATE UNIVERSITY SUMMARY OF CASH MANAGEMENT INVESTMENT POOL TRANSACTIONS
Schedule A-3
For the Month of January 2016 Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Cash Management Investment Pool Money Market Account Utah Public Treasurers' Investment Fund Commercial Paper & Corporate Notes Obligations of U. S. Government Municipal Bonds Total Cash Management Investment Pool
$3,794
31,956,590
$10,000,000 17,000,000
$10,000,000 17,000,000
$0 0
30,480 85,974 300,418 60,357
$31,956,590
$27,000,000
$27,000,000
$0
$481,023
UTAH STATE UNIVERSITY ENDOWMENT POOL SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Change in Fair Value
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Schedule B-1
Realized Gain or (Loss)
Total Realized Income
Purchases
$140,117,856 140,647,017 135,819,307 134,120,157 139,823,726 139,361,478 138,212,803
$2,520,525 1,837,952 1,926,694 2,202,941 1,110,008 2,546,307 7,368,674
$2,173,100 1,713,829 1,588,867 1,249,036 986,298 2,089,989 1,325,868
$181,736 (4,951,833) (2,036,977) 4,749,664 (585,958) (1,604,993) (3,405,975)
$140,647,017 135,819,307 134,120,157 139,823,726 139,361,478 138,212,803 140,849,634
$140,382,437 138,233,162 134,969,732 136,971,942 139,592,602 138,787,141 139,531,219
$347,424 134,772 337,826 183,235 134,169 456,320 173,375
($8,843) (2,640) (7,985) (6,070) (983) (3,779) (16,250)
$338,581 132,132 329,841 177,165 133,186 452,541 157,125
$0 10,649 0 7,483 10,459 0 7,463
$338,581 121,483 329,841 169,682 122,727 452,541 149,662
Comparative Totals: Year-to-date FY 2015-16 $140,117,856 FY 2014-15 133,500,784 Amt Change % Change
$19,513,101 41,210,324
$11,126,987 31,568,764
($7,654,336) (2,114,726)
$140,849,634 141,027,618 (177,984) -0.13%
$138,352,605 135,262,126 3,090,479 2.28%
$1,767,121 1,683,355 83,766 4.98%
($46,550) 356,445 (402,995) -113.06%
$1,720,571 2,039,800 (319,229) -15.65%
$36,054 12,449 23,605 189.61%
$1,684,517 2,027,351 (342,834) -16.91%
*Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Less Expenses
Net Realized Income/(Loss)
Sales Proceeds
Note: The Endowment Pool includes endowment funds designated for long-term investment. Included in this pool are endowment funds invested in the University's Cash Management Investment Pool (CMIP) consisting of $13,140,694 principal beginning balance, a $18,911,070 ending balance, and a $19,023,041 average daily balance for the current month. Current month interest and dividends from the CMIP were $27,030 bringing the total to $139,812 year-to-date. These amounts have also been reported in Schedules A-1 and A-2. *The July beginning fair value has been adjusted to reflect the amount distributed to expendable accounts at fiscal year end.
UTAH STATE UNIVERSITY SUMMARY OF ENDOWMENT POOL TRANSACTIONS For the Month of January 2016
Purchases Shares
Schedule Schedule F B-2 Page 1 of 1
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Endowment Pool Transactions Cash Management Investment Pool Utah State University CMIP Interest Fixed Income funds Longfellow Wells Fargo High Yield Bond Fund Paydenfunds - Emerging Markets Bond Fund Alternatives Commonfund CEP VIII CNR IX Constitution Capital Ironsides Co-Investment Fund III Woodbury Woodbury Strategic Partners Fund, L.P. Accrued Income / Other 05374002 Cash Wells Fargo - High Yield Wells Fargo - SPY 05374004 Cash Interest Accrual Total Endowment Pool Transactions
3,421.617 1,167.439
$5,982,942 27,030
$239,596
$239,596
264,356
248,900
232,650
$0
(16,250)
32,694 14,663
$27,030
26,389 37,026 14,663
22,500 26,250 205,883 37,783
37,783
0
458,222 37,027
423,793 32,694 56,930
423,793 32,694 56,930
0 0 0
269,887 27,220
265,186 37,236
265,186 37,236
0 0
$7,368,674
$1,342,118
$1,325,868
($16,250)
68,267
$173,375
UTAH STATE UNIVERSITY OTHER INVESTMENTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
Sales Proceeds
$85,525,373 86,160,885 85,392,929 85,522,988 88,714,334 87,845,987 87,269,774
$1,171,824 2,287,414 1,717,966 7,154,696 4,974,331 11,188,303 6,276,650
$901,845 1,842,208 1,365,967 5,261,462 5,858,304 10,747,738 5,094,838
Comparative Totals: Year-to-date FY 2015-16 $85,525,373 FY 2014-15 54,409,537 Amt Change % Change
$34,771,184 76,429,946
$31,072,362 45,459,475
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Change in Fair Value
Schedule C-1
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Realized Gain or (Loss)
Total Realized Income
$365,533 (1,213,162) (221,940) 1,298,112 15,626 (1,016,778) (644,705)
$86,160,885 85,392,929 85,522,988 88,714,334 87,845,987 87,269,774 87,806,881
$85,843,129 85,776,907 85,457,959 87,118,661 88,280,161 87,557,881 87,538,328
$369,263 222,820 357,380 318,333 276,901 469,128 331,777
$3,153 2,998 (23,272) (51,784) (127,276) 18,379 (149,467)
$372,416 225,818 334,108 266,549 149,625 487,507 182,310
($1,417,314) 247,073
$87,806,881 85,627,081 2,179,800 2.55%
$86,796,146 77,135,250 9,660,896 12.52%
$2,345,602 1,844,813 500,789 27.15%
($327,269) (481,788) 154,519 32.07%
$2,018,333 1,363,025 655,308 48.08%
UTAH STATE UNIVERSITY SUMMARY OF OTHER INVESTMENT TRANSACTIONS For the Month of January 2016
Purchases Shares
Schedule C-2 Page 1 of 1
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Other Investments Utah Public Treasurers' Investment Fund Fixed Income Federal Farm Credit Bank ConocoPhillips General Electric Monsanto Co Rio Tinto Fin USA LTD Wells Fargo - Earnings Mutual Funds Commonfund CEU Title III Multi-Strategy Bond Multi-Strategy Equity Alternatives Dakota Pacific Real Estate Group Dakota Pacific Real Estate InvenTrust Properties Inventrust Properties Corp Morgan Stanley Smith Barney MS Opp Mortgage Inc Fund Woodbury Woodbury Strategic Partners Fund Money Market / Cash Morgan Stanley Wells Fargo - Cash Receivable / In Transit / Unsettled Purchases Commonfund Wells Fargo - Receivable Total Other Investments
$533
10,000.000
1,061,960
12,500.000 11,000.000
994,562 978,978
$533 26,450.000
$2,625,018
$2,564,300
($60,718)
3.000
91,902
302
(91,600)
231,322
89.455 12.198
1,019 747
1,298 3,319
279 2,572
15,099 13,072
3,852 612 31,920 35,350 31,920 2,919,697
2,126,613
2,126,613
0
28,171 260,829
84,512 314,494
84,512 314,494
0 0
$6,276,650
$5,244,305
$5,094,838
($149,467)
17
$331,777
UTAH STATE UNIVERSITY ENDOWMENT TRUSTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Purchases
Sales Proceeds
Change in Fair Value
Ending Fair Value
Average Daily Fair Value
Total Interest and Dividends
Schedule D-1
Realized Gain or (Loss)
Total Realized Income
$6,163,191 6,105,217 5,749,711 5,492,293 6,020,238 5,983,399 5,565,039
$345,495 67,548 198,010 47,466 328,472 46,832 237,066
$322,446 46,278 173,103 22,120 306,374 145,760 214,837
($81,023) (376,776) (282,325) 502,599 (58,937) (319,432) (242,649)
$6,105,217 5,749,711 5,492,293 6,020,238 5,983,399 5,565,039 5,344,619
$6,134,204 5,927,464 5,621,002 5,756,266 6,001,819 5,774,219 5,454,829
$23,699 28,954 24,933 25,998 22,082 25,096 22,878
$35,725 0 (16,141) (15) 24,084 2,044 (7,871)
$59,424 28,954 8,792 25,983 46,166 27,140 15,007
Comparative Totals: Year-to-date FY 2015-16 $6,163,191 FY 2014-15 6,933,646 Amt Change % Change
$1,270,889 3,525,971
$1,230,918 3,402,060
($858,543) (762,211)
$5,344,619 6,295,346 (950,727) -15.10%
$5,809,972 6,659,273 (849,301) -12.75%
$173,640 177,502 (3,862) -2.18%
$37,826 220,205 (182,379) -82.82%
$211,466 397,707 (186,241) -46.83%
Note: Endowment Trusts include externally managed endowment trusts.
Less Expenses $651 74 25 652 (15) 25 652
$2,064 2,100 (36) -1.71%
Net Realized Income/(Loss) $58,773 28,880 8,767 25,331 46,181 27,115 14,355
$209,402 395,607 (186,205) -47.07%
UTAH STATE UNIVERSITY SUMMARY OF ENDOWMENT TRUST INVESTMENT TRANSACTIONS
Schedule Schedule F D-2
For the Month of January 2016
Page 1 of 1
Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Endowment Trusts Common and Preferred Stock Amgen Inc Columbia PPTY TR Inc Com New Acadian Emerging Markets Acadian Emerging Markets Funds held at Morgan Stanley - Dividends Funds held at Wells Fargo - Dividends Mutual Funds Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund Metropolitan West Total Return Bond Fund Wells Fargo Advantage Core Bond Fund Dodge & Cox Income Fund Com #147 Federated Total Return Bond Fund Metropolitan West Total Return Bond Fund Wells Fargo Advantage Core Bond Fund Funds held at Wells Fargo - Dividends Money Market & Cash Funds Morgan Stanley Bank N.A. Wells Fargo #451 Wells Fargo #451 Receivable Morgan Stanley Total Endowment Trusts
700.000
$106,695
1.354 1.353
20 20
3,500.000
$87,632
$80,018
($7,614)
$22,344 44
12.889 4.872 3.786
137 53 48
12.885 4.871 3.786
137 54 48
71.451 120.008
979 1,359
945 1,274
(34) (85)
65.785 71.441 119.980
848 979 1,359
838 945 1,275
(10) (34) (84)
65.772
848
838
(10) 490
101,359 3,076 3,075
106,737 313 313
106,737 313 313
0 0 0
22,344
21,341
21,341
0
$237,066
$222,708
$214,837
($7,871)
$22,878
UTAH STATE UNIVERSITY PLANT FUND TRUSTS SUMMARY REPORT OF INVESTMENTS AND INVESTMENT INCOME
Beginning Fair Value
Purchases
Sales Proceeds
$19,981,232 43,901,186 43,908,351 65,162,721 83,312,762 82,795,020 75,350,572
$48,013,344 97,326 28,379,148 21,161,797 15,396,254 3,244,024 87,008
$24,143,447 83,252 7,194,469 2,980,605 15,908,218 10,697,953 37,475
Comparative Totals: Year-to-date FY 2015-16 $19,981,232 FY 2014-15 36,208,787 Amt Change % Change
$116,378,901 23,533,475
$61,045,419 30,460,234
Jul 2015 Aug 2015 Sep 2015 Oct 2015 Nov 2015 Dec 2015 Jan 2016 Feb 2016 Mar 2016 Apr 2016 May 2016 Jun 2016
Change in Fair Value $50,057 (6,909) 69,691 (31,151) (5,778) 9,481 31,118
$116,509 344,175
Ending Fair Value
Average Daily Fair Value
Total Interest Income
$43,901,186 43,908,351 65,162,721 83,312,762 82,795,020 75,350,572 75,431,223
$37,716,343 43,915,037 51,051,794 79,000,603 80,897,070 76,734,117 75,396,599
$27,706 28,075 28,262 61,288 62,209 56,032 57,403
$75,431,223 29,626,203 45,805,020 154.61%
$63,530,223 34,406,515 29,123,708 84.65%
$320,975 226,858 94,117 41.49%
Note: Plant Fund Trusts include all debt service reserve and construction fund accounts in compliance with bond issue covenants.
Schedule E-1
Realized Gain or (Loss)
$96,216
$96,216 0 96,216 100.00%
Total Realized Income
Less Expenses
$27,706 28,075 28,262 61,288 62,209 152,248 57,403
$417,191 226,858 190,333 83.90%
Net Realized Income/(Loss) $27,706 28,075 28,262 61,288 62,209 152,248 57,403
$0 0 0 0.00%
$417,191 226,858 190,333 83.90%
UTAH STATE UNIVERSITY SUMMARY OF PLANT TRUST INVESTMENT TRANSACTIONS
Schedule Schedule F E-2
For the Month of January 2016
Purchases Shares
Sales Cost
Shares
Cost
Receipts
Gain/(Loss)
Earnings
Plant Trusts Wells Fargo Federal National Mortgage Association Federal Home Loan Bank Riverton City Bonds Heritage Money Market Cash Utah Public Treasurers' Investment Fund Total Plant Trusts
$4,708 1,960 5,688 31
$31 21,650 65,327
$37,475
$87,008
$37,475
$37,475
$0 45,016
$37,475
$0
$57,403
6 May 2016 ITEM FOR ACTION RE:
Proposal to Revise Policy 305 Discrimination Complaints of the University Policy Manual The attached policy is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The University desires to revise Policy 305 Discrimination Complaints as shown in the attached redlined document. Consistent with USU Policy 201, the proposed policy revisions were submitted to the Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment; forwarded by the President to the Executive Committee; and approved by the Executive Committee. The following is a summary of the revisions to Policy 305 Discrimination Complaint:
Section 305.1: clarifies forms of discrimination covered by Policy 305;
Section 305.2: includes updated citations to governing law;
Section 305.3: provides definitions of key terms;
Section 305.4: o 4.1 identifies where to report complaints of discrimination, including sexual violence, and emphasizes that employees must report information they receive about sexual misconduct; o 4.2 clarifies that a complainant or a respondent may object to an investigator on the basis of a conflict of interest, changes investigation period from 35 days to 60 days, and clarifies that a complainant and a respondent may submit information for the investigator to consider; o 4.3 describes the process followed with respect to the Investigation Report, provides the complainant and the respondent the opportunity to review the investigator’s draft report and submit written responses to this report, and clarifies who the Investigation Report is provided to and the applicable disciplinary process for faculty, employees and students; o 4.4 clarifies process for forming an appeal panel;
305.5: emphasizes retaliation is prohibited;
305.6: includes stylistic changes.
RECOMMENDATION The President and the Vice President for Business and Finance recommend that the Board of Trustees approve the revisions to Policy 305 Discrimination Complaints of the Utah State University Policy Manual.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The University desires to revise Policy 305 Discrimination Complaints, as shown in the attached redlined document; WHEREAS, Revisions and/or amendments to this policy were submitted to the Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment; forwarded by the President to the Executive Committee; and approved by the Executive Committee; and WHEREAS, The procedures for amending policies outlined in Section 201 of the University Policy Manual have been followed: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees approve the revisions to Policy 305 Discrimination Complaints of the University Policy Manual effective 6 May 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________ Date
POLICY MANUAL GENERAL
Number 305 Covered Individuals: USU Employees, Students and Visitors Subject: Discrimination Complaints Date of Origin: January 24, 1997 Date of Revision: May 6, 2016 Effective Date:
305.1 POLICY Utah State University is committed to providing an environment free from harassment and other forms of discrimination based on race, color, religion, sex, gender identity or expression, sexual orientation, national origin, age (40 and older), disability, or status as a protected veteran. Consistent with its prohibition against sex discrimination, Utah State University prohibits and is committed to addressing and preventing sexual violence. national origin, age (40 and older), disability, or veteran's status. USU also prohibits discrimination on the basis of sexual orientation in employment and academic related practices and decisions. This policy is in accordance with applicable federal, state, and local laws, orders and policies, which include, but are not limited to: Titles VI and VII of the Civil Rights Act of 1964; Title IX of the Educational Amendments of 1972; Sections 503 and 504 of the Rehabilitation Act of 1973; the Americans with Disabilities Act; Vietnam Era Veterans' Readjustment Assistance Act of 1974; Executive Order 11246 (as amended); the State of Utah Anti-Discrimination Act; and others as applicable. Utah State University employees and students cannot, because of race, color, religion, sex, gender identity or expression, sexual orientation, national origin, age, disability, veteran's status as a protected veteran, refuse to hire; discharge; promote; demote; terminate; discriminate in compensation; or discriminate regarding terms, privileges, or conditions of employment, against any person otherwise qualified . Page 1 of 6
Employees and students also cannot discriminate in the classroom, residential halls, or in on/off-campus University, USU-sponsored events and activities. 305.2 REFERENCES • • • • • • • • •
Titles VI and VII of the Civil Rights of 1964 Title IX of the Higher Education Amendments of 1972 Sections 503 and 504 of the Rehabilitation Act of 1973 Americans with Disabilities Act; Vietnam Era Veterans' Readjustment Assistance Act of 1974; Executive Order 11246 (as amended) Campus Sexual Violence Elimination Act (SaVE) – reauthorization of Violence Against Women Act of 2013 Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act Utah Anti-Discrimination Act and others as applicable.
305.3 DEFINITIONS 3.1 Administrator: The administrator at the dean/vice president or the department head/director level with direct line responsibility over the college, department, office, agency or other operational unit of the university in which the claimed discrimination or harassment occurred 305.2 3.2 PROCEDURES 2.1
Filing a Complaint: an allegation of discrimination/harassment.
3.3 Preponderance of evidence: (link to URL) –whether it is more likely than not that a policy violation occurred. This is the standard of evidence used in investigations of discrimination and harassment at Utah State University. 305.4 PROVISIONS 4.1 Complaints
(1)4.1.1 A Complaint is an allegation of discrimination/harassment. Any Utah State UniversityUSU employee, job applicant, or student who feels he or she may have been the victim of discrimination in employment and/or academic-related practices and decisions, unfair employment practice, or sexual harassment may file a Ccomplaint with the Affirmative Action/Equal Opportunity (AA/EO) Office within 180 calendar days of the last alleged occurrence. Page 2 of 6
4.1.2 Utah State University employees, students, and third parties may report sexual misconduct to the AA/EO Director and Title IX Coordinator, a Deputy Title IX Coordinator, or Utah State University faculty or staff. In order to ensure that Utah State University can do everything possible to provide assistance to students and stop sexual harassment, University employees are required to report information they receive about allegations of sexual misconduct to the Title IX Coordinator. (a)4.1.3 Alleged incidences of harassment or discrimination occurring outside the complaint timeline also should be brought to the attention of the AA/EO Office for review. (b)4.1.4 Complaints may be filed with the Utah Anti-Discrimination (UADD) in Salt Lake City, or the Equal Employment Opportunity Commission (EEOC) with regional offices in Phoenix, Arizona. Statutory time limitations will be provided by these organizations. (2)4.1.5 The Ccomplaint is discussed by the Ccomplainant (employee, student, job applicant) and the AA/EO Director or a Deputy Title IX Coordinator.. If the information providedgiven by the Ccomplainant is sufficient to establish that a potential violation of the law has occurred, the AA/EO Director will explain what options are available to address the alleged violation. The Ccomplainant will then fill out, sign, and date a written complaint form outlining the issues, facts, and circumstances surrounding the alleged discrimination/harassment. 4.2 Investigations. 4.2.1 Complaints of discrimination are investigated by the AA/EO Office. Complaints alleging sex or gender-based discrimination are investigated by the Title IX Coordinator (or Deputy Coordinator at the Director’s request). 4.2.2 If a Complainant or Respondent believes that any individual(s) involved in the process has a potential or actual conflict of interest, he or she may make a request to the AA/EO Director that the individual(s) not participate. A Complainant or Respondent must submit a written request to the AA/EO Office within two (2) days after notification of the investigation. Any request should include a description of the conflict. If the AA/EO Office determines that a conflict of interest exists, Utah State University will take steps to address the conflict in order to ensure an impartial process. (a)4.2.3 A complaint is an allegation of discrimination/harassment. The purpose of investigating is to determine if discrimination/harassment has occurred. The AA/EO staff is committed to objectivity, reasoned thoughtfulness, and common sense in collecting and analyzing all available facts pertinent to each investigation. It is understood that no two sets of facts or situations are the same, and each investigation is conducted in an atmosphere of open-mindedness and is equitablefairness to all parties. Page 3 of 6
(b)4.2.4 If information is brought to the AA/EO Office and the person alleging discrimination/harassment chooses not to file a Ccomplaint, the AA/EO Office may file a Ccomplaint if there is sufficient reason to believe that discrimination/harassment has occurred. (3)4.2.5 The investigator will work in good faith to complete the An inquiry/investigation in a promptis conducted and equitable manner. In most cases, the investigation will be completed by the AA/EO Director within sixty (60)35 calendar days of filing the complaint; however, the AA/EO Director/Title IX Coordinator may adjust deadlines upon good cause. . The purpose of the inquiry/investigation is to gather the facts, and to determine by a preponderance of the evidence whether a violation of this policy and/substantiate or related University harassment policies and/or codes occurred. refute the complaint. The inquiry/investigation may include some or all of the following: collecting documents related to the case, interviewing persons having knowledge of the incident(s), or documenting the findings. Both the Complainant and the Respondent will be provided an opportunity to submit information and identify and direct the investigator to witnesses and evidence. (a)4.2.6 Due to the damage that could result to the career and reputation of any person falsely accused of discrimination/harassment, all inquiries/investigations and hearings surrounding such matters will be designed, to the maximum extent possible, to protect the privacy of and minimize suspicion toward the Respondentaccused, as well as the Ccomplainant. 4.3 Investigation Report 4.3.1
At the conclusion of the investigation, the investigator will prepare a Draft Investigation Report that summarizes the investigator’s factual findings and sets forth the investigator’s conclusion(s). The findings shall indicate whether by a preponderance of the evidence a violation of Utah State University’s antidiscrimination and/or harassment policies occurred.
4.3.2
The Complainant and the Respondent will have ten (10) working days to provide to the AA/EO Director and/or Title IX Coordinator their written responses to the investigative report. At the end of that ten-day period, the AA/EO Director and/or Title IX Coordinator shall file the report and any written responses received from the parties with the appropriate Administrator. In the absence of good cause, information discoverable through the exercise of due diligence that is not provided to the Investigator during the designated review and response period will not be considered in the determination of responsibility for a violation of the Policy , and will not be considered by the Review Panel. Once the Investigation Report is finalized, the AA/EO Office will notify both the Page 4 of 6
Complainant and the Respondent and provide them with an opportunity to receive a copy of the final Investigation Report. (c) 4.3.4 The Investigation Report is also sent to the Respondent’s appropriate Administrator.Retaliation against an individual who has made a complaint or has in any way participated in an inquiry/investigation is prohibited. An investigation report is sent to the appropriate supervisor (typically a dean or vice president). Administrator. The appropriate Administrator will follow the disciplinary policy and procedures applicable to the individual in violation of this policy. The applicable policies and procedures are as follows: 1) For faculty, the Provost, applicable dean or vice president, department head and/or director will follow the procedures for imposing sanctions (refer to USU policy 407). 2) For employees, the applicable vice president and/or supervisor/manager will follow the procedures for imposing corrective action (refer to USU Policy 311).
(b)
3) For students, the Vice President for Student Affairs and/or his/her designee, who will impose sanctions, if warranted, following the procedures set forth in the Student Code of Conduct. For faculty, in cases of a substantiated charge of discrimination/harassment, the dean or vice president must follow the procedures set for imposing sanctions (refer to USU policy 407). For employees, the applicable vice president and/or supervisor/manager will follow the procedures set forth imposing corrective action (refer to USU Policy 311). For students, the Investigation Report is sent to the Vice President for Student Affairs and/or his/her designee, who will impose sanctions, if warranted, following the procedures set forth in the Student Code of Conduct. see policy 407).
2.24.4 Appealing a Decision 4.4.1 Both the Complainant and Respondent (1) If the complainant or respondent is not satisfied with the outcome of the inquiry/investigation, he/she has the right to file a written appeal, outlining the specific issues, facts, or circumstances being appealed, to the Affirmative Action OfficeAppeals Committee (AAAC) within 10 calendar days of the announcement of the outcome of the AA/EO inquiry/investigation. The AA/EO Director or Title IX Coordinator will forward the written appeal and the finding toThis committee is selected by the President. The President will select a review panel from the Affirmative Action Advisory Council (AAAC).. (2)4.4.2 The AAAC maywill conduct a closed hearing limited to Complainant, Respondentcomplainant, respondent, witnesses, and appropriate Utah State University staff personnel (i.e.g., staff from the AA/EO Office, the Office of Page 5 of 6
Human Resources and the University Assistant Attorney General Counsel) to examine the specific issues being appealed. In most cases, theThe AAAC will present a written report of its findings, conclusions, and recommendations to the President of the University within forty-five (45) calendar days of filing the appeal. However, the AAAC may adjust the deadlines upon good cause. (3)4.4.3 The President will review the recommendations of the AAAC and may accept or modify them. The decision of the President is final. 2.34.5 Use of Informal Methods Nothing in this procedure should preclude using informal methods of compromise or settlement of disputes which that are mutually agreeable to the interested parties. However, sexual misconduct complaints may not be resolved using informal method of compromise or settlement. 305.5 RETALIATION Retaliation against an individual who has made a Complaint or has in any way participated in an inquiry/investigation is prohibited. 305.6 3 RESPONSIBILITY 3.1 6.1 Affirmative Action/Equal Opportunity Office and Director The Affirmative Action/Equal Opportunity Office and Director is responsibleResponsible to provide advice and assistance in implementing this policy and for responding to complaints in the time frame outlined in this policy. All complaints will be investigated by the AA/EO Director. 3.26.2
Affirmative Action Appeals Committee
The Affirmative Action Appeals Committee is responsibleResponsible to respond to any written discrimination/harassment complaint appeal in a timely manner and to examine the issues being appealed. Within 45 days of a written appeal, the AAAC will provide the President of the University with a written report of its findings and any recommendation. 3.36.3
Employees
All University employees are responsibleResponsible to support the University's affirmative action/equal opportunity philosophy by treating each employee and student as an individual and by developing and maintaining a climate of mutual respect.
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POLICY MANUAL GENERAL
Number 305 Covered Individuals: USU Employees, Students and Visitors Subject: Discrimination Complaints Date of Origin: January 24, 1997 Date of Revision: May 6, 2016 Effective Date: May 6, 2016
305.1 POLICY Utah State University is committed to providing an environment free from harassment and other forms of discrimination based on race, color, religion, sex, gender identity or expression, sexual orientation, national origin, age (40 and older), disability, or status as a protected veteran. Consistent with its prohibition against sex discrimination, Utah State University prohibits and is committed to addressing and preventing sexual violence. Utah State University employees and students cannot, because of race, color, religion, sex, gender identity or expression, sexual orientation, national origin, age, disability, status as a protected veteran, refuse to hire; discharge; promote; demote; terminate; discriminate in compensation; or discriminate regarding terms, privileges, or conditions of employment, against any person otherwise qualified Employees and students also cannot discriminate in the classroom, residential halls, or in on/off-campus Universitysponsored events and activities. 305.2 REFERENCES • • • • • •
Titles VI and VII of the Civil Rights of 1964 Title IX of the Higher Education Amendments of 1972 Sections 503 and 504 of the Rehabilitation Act of 1973 Americans with Disabilities Act; Vietnam Era Veterans' Readjustment Assistance Act of 1974; Executive Order 11246 (as amended) Page 1 of 6
• Campus Sexual Violence Elimination Act (SaVE) – reauthorization of Violence Against Women Act of 2013 • Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act • Utah Anti-Discrimination Act and others as applicable.
305.3 DEFINITIONS 3.1 Administrator: The administrator at the dean/vice president or the department head/director level with direct line responsibility over the college, department, office, agency or other operational unit of the university in which the claimed discrimination or harassment occurred 3.2 Complaint: an allegation of discrimination/harassment. 3.3 Preponderance of evidence: (link to URL) –whether it is more likely than not that a policy violation occurred. This is the standard of evidence used in investigations of discrimination and harassment at Utah State University. 305.4 PROVISIONS 4.1 Complaints
4.1.1 A Complaint is an allegation of discrimination/harassment. Any Utah State University employee, job applicant, or student who feels he or she may have been the victim of discrimination in employment and/or academic-related practices and decisions, unfair employment practice, or sexual harassment may file a Complaint with the Affirmative Action/Equal Opportunity (AA/EO) Office within 180 calendar days of the last alleged occurrence. 4.1.2 Utah State University employees, students, and third parties may report sexual misconduct to the AA/EO Director and Title IX Coordinator, a Deputy Title IX Coordinator, or Utah State University faculty or staff. In order to ensure that Utah State University can do everything possible to provide assistance to students and stop sexual harassment, University employees are required to report information they receive about allegations of sexual misconduct to the Title IX Coordinator. 4.1.3 Alleged incidences of harassment or discrimination occurring outside the complaint timeline also should be brought to the attention of the AA/EO Office for review. 4.1.4 Complaints may be filed with the Utah Anti-Discrimination (UADD) in Salt Lake City, or the Equal Employment Opportunity Commission (EEOC) with Page 2 of 6
regional offices in Phoenix, Arizona. Statutory time limitations will be provided by these organizations. 4.1.5 The Complaint is discussed by the Complainant (employee, student, job applicant) and the AA/EO Director or a Deputy Title IX Coordinator. If the information provided by the Complainant is sufficient to establish that a potential violation of the law has occurred, the AA/EO Director will explain what options are available to address the alleged violation. The Complainant will then fill out, sign, and date a written complaint form outlining the issues, facts, and circumstances surrounding the alleged discrimination/harassment. 4.2 Investigations. 4.2.1 Complaints of discrimination are investigated by the AA/EO Office. Complaints alleging sex or gender-based discrimination are investigated by the Title IX Coordinator (or Deputy Coordinator at the Director’s request). 4.2.2 If a Complainant or Respondent believes that any individual(s) involved in the process has a potential or actual conflict of interest, he or she may make a request to the AA/EO Director that the individual(s) not participate. A Complainant or Respondent must submit a written request to the AA/EO Office within two (2) days after notification of the investigation. Any request should include a description of the conflict. If the AA/EO Office determines that a conflict of interest exists, Utah State University will take steps to address the conflict in order to ensure an impartial process. 4.2.3 The purpose of investigating is to determine if discrimination/harassment has occurred. The AA/EO staff is committed to objectivity, reasoned thoughtfulness, and common sense in collecting and analyzing all available facts pertinent to each investigation. It is understood that no two sets of facts or situations are the same, and each investigation is conducted in an atmosphere of open-mindedness and is equitable to all parties. 4.2.4 If information is brought to the AA/EO Office and the person alleging discrimination/harassment chooses not to file a Complaint, the AA/EO Office may file a Complaint if there is sufficient reason to believe that discrimination/harassment has occurred. 4.2.5 The investigator will work in good faith to complete the investigation in a prompt and equitable manner. In most cases, the investigation will be completed within sixty (60) calendar days of filing the complaint; however, the AA/EO Director/Title IX Coordinator may adjust deadlines upon good cause. The purpose of the inquiry/investigation is to gather the facts, and to determine by a preponderance of the evidence whether a violation of this policy and/or related University harassment policies and/or codes occurred. The inquiry/investigation may include some or all of the following: collecting documents related to the case, interviewing persons having knowledge of the Page 3 of 6
incident(s), or documenting the findings. Both the Complainant and the Respondent will be provided an opportunity to submit information and identify and direct the investigator to witnesses and evidence. 4.2.6 Due to the damage that could result to the career and reputation of any person falsely accused of discrimination/harassment, all inquiries/investigations and hearings surrounding such matters will be designed, to the maximum extent possible, to protect the privacy of and minimize suspicion toward the Respondent, as well as the Complainant. 4.3 Investigation Report 4.3.1
At the conclusion of the investigation, the investigator will prepare a Draft Investigation Report. that summarizes the investigator’s factual findings and sets forth the investigator’s conclusion(s). The findings shall indicate whether by a preponderance of the evidence a violation of Utah State University’s antidiscrimination and/or harassment policies occurred.
4.3.2
The Complainant and the Respondent will have ten (10) working days to provide to the AA/EO Director and/or Title IX Coordinator their written responses to the investigative report. At the end of that ten-day period, the AA/EO Director and/or Title IX Coordinator shall file the report and any written responses received from the parties with the appropriate Administrator. In the absence of good cause, information discoverable through the exercise of due diligence that is not provided to the Investigator during the designated review and response period will not be considered in the determination of responsibility for a violation of the Policy and will not be considered by the Review Panel. Once the Investigation Report is finalized, the AA/EO Office will notify both the Complainant and the Respondent and provide them with an opportunity to receive a copy of the final Investigation Report. The Investigation Report is also sent to the Respondent’s appropriate Administrator. The appropriate Administrator will follow the disciplinary policy and procedures applicable to the individual in violation of this policy. The applicable policies and procedures are as follows: 1) For faculty, the Provost, applicable dean or vice president, department head and/or director will follow the procedures for imposing sanctions (refer to USU policy 407). 2) For employees, the applicable vice president and/or supervisor/manager will follow the procedures for imposing corrective action (refer to USU Policy 311). 3) For students, the Vice President for Student Affairs and/or his/her designee, who will impose sanctions, if warranted, following the procedures set forth in the Student Code of Conduct.
. Page 4 of 6
4.4 Appealing a Decision 4.4.1
Both the Complainant and Respondent has the right to file a written appeal, outlining the specific issues, facts, or circumstances being appealed, to the Affirmative Action Office within 10 calendar days of the announcement of the outcome of the AA/EO inquiry/investigation. The AA/EO Director or Title IX Coordinator will forward the written appeal and the finding to the President. The President will select a review panel from the Affirmative Action Advisory Council (AAAC).
4.4.2 The AAAC may conduct a closed hearing limited to Complainant, Respondent, witnesses, and appropriate Utah State University personnel (e.g., staff from the AA/EO Office, the Office of Human Resources and the University General Counsel) to examine the specific issues being appealed. In most cases, the AAAC will present a written report of its findings, conclusions, and recommendations to the President of the University within forty-five (45) calendar days of filing the appeal. However, the AAAC may adjust the deadlines upon good cause.
4.4.3 The President will review the recommendations of the AAAC and may accept or modify them. The decision of the President is final. 4.5 Use of Informal Methods Nothing in this procedure should preclude using informal methods of compromise or settlement of disputes that are mutually agreeable to the interested parties. However, sexual misconduct complaints may not be resolved using informal method of compromise or settlement. 305.5 RETALIATION Retaliation against an individual who has made a Complaint or has in any way participated in an inquiry/investigation is prohibited. 305.6 RESPONSIBILITY 6.1 Affirmative Action/Equal Opportunity Office and Director The Affirmative Action/Equal Opportunity Office and Director is responsible to provide advice and assistance in implementing this policy and for responding to complaints in the time frame outlined in this policy. All complaints will be investigated by the AA/EO Director. 6.2 Affirmative Action Appeals Committee The Affirmative Action Appeals Committee is responsible to respond to any written Page 5 of 6
discrimination/harassment complaint appeal in a timely manner and to examine the issues being appealed. Within 45 days of a written appeal, the AAAC will provide the President of the University with a written report of its findings and any recommendation. 6.3 Employees All University employees are responsible to support the University's affirmative action/equal opportunity philosophy by treating each employee and student as an individual and by developing and maintaining a climate of mutual respect.
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6 May 2016 ITEM FOR ACTION RE:
Proposal to Revise Policy 339 Sexual Harassment of the University Policy Manual The attached policy is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The University desires to revise Policy 339 Sexual Harassment as shown in the attached redlined document. Consistent with USU Policy 201, the proposed policy revisions were submitted to the Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment; forwarded by the President to the Executive Committee; and approved by the Executive Committee. The following is a summary of the revisions to Policy 339 Sexual Harassment:
Caption: clarifies that students and visitors are covered by Policy 339;
Section 339.1: clarifies sexual misconduct complaints may not be resolved through mediation or other forms of negotiated resolution;
Section 339.2: includes updated citations to governing law;
Section 339.3: provides definitions of key terms;
Section 339.4: o 4.1 provides examples of sexual harassment; o 4.2 clarifies that training is provided to first-year students; o 4.5 emphasizes retaliation is prohibited; o 4.6 clarifies which administrator is responsible for imposing discipline for a violation of USU’s sexual harassment policy.
339.5: emphasizes that employees and faculty must report information about sexual misconduct and that students and visitors are encouraged to report information about sexual misconduct.
RECOMMENDATION The President and the Vice President for Business and Finance recommend that the Board of Trustees approve the revisions to Policy 339 Sexual Harassment of the Utah State University Policy Manual.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The University desires to revise Policy 339 Sexual Harassment, as shown in the attached redlined document; WHEREAS, Revisions and/or amendments to this policy were submitted to the Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment; forwarded by the President to the Executive Committee; and approved by the Executive Committee; WHEREAS, The procedures for amending policies outlined in Section 201 of the University Policy Manual have been followed: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees approve the revisions to Policy 339 Sexual Harassment of the University Policy Manual effective 6 May 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________ Date
POLICY MANUAL GENERAL
Number 339 Subject: Sexual Harassment Covered Individuals: USU Employees, Students and Visitors : University Employees Date of Origin: January 24, 1997 Date of Revision: May 6, 2016 Effective Date:
339.1 339.1 POLICY Utah State University is committed to providing an environment free from gender-based discrimination and harassment. Utah StateIn accordance with the Equal Employment Opportunity Commission's regulations and amended guidelines of November 1980, the
University has an established policy to address sexual harassment in the workplace and academicclassroom setting. Sexual harassment is a violation of Section 703 of Title VII of the Civil Rights Act of 1964, which holds employers responsible for seeing that this type of behavior does not occur. Title IX prohibits sexual harassment in an educational institution.
Sexual harassment of any employee, student, or recipient of the services of this University is prohibitedabsolutely forbidden. Anyone who feels that he/she is the victim of sexual harassment or any supervisor or manager who is made aware of an alleged incident of sexual harassment must take immediate action to resolve the matter. Any individual may contact the University's Affirmative Action/Equal Opportunity (AA/EO) Office for available options and resourcesadvice, counseling, or clarification, leading to an informal resolution of the matter. Sexual misconduct complaints may not be resolved using informal methods of compromise or settlement. If an informal resolution is not accomplished or is not possible, further action, including the filing of a complaint and undertaking a formal inquiry/investigation, may be taken to facilitate a resolution pursuant to this policy.
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339.2 REFERENCES • • • •
Titles VI and VII ofFor questions regarding workplace harassment, please review the CivilUniversity's Employee Rights of 1964 Title IX of the Higher Education Amendments of 1972 Campus Sexual Violence Elimination Act (SaVE) – reauthorization of Violence Against Women Act of 2013 Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act and others as applicable.(321).
339.3 DEFINITIONS 339.2 3.1 Definitions of DEFINITION 2.1 Sexual Harassment can be found at [URL Link to Definitions found on the AA/EO Sexual Misconduct web page – a copy of Definitions is provided] 3.2 Preponderance of evidence: (link to URL) – it is more likely than not that a policy violation occurred. This is the standard of evidence used in investigations of discrimination and harassment at Utah State University. 3.3 Administrator: The administrator at the dean/vice president or the department head/director level with direct line responsibility over the college, department, office, agency or other operational unit of the university in which the claimed discrimination or harassment occurred 339.4 PROVISIONS No member of the Utah State University community shall engage in sexual harassment. For the purposes of this policy sexual harassment is defined under the EEOC Guidelines to Title VII as unwelcome sexual advances, requests for sexual favors orand other verbal, written or physical conduct of a sexual nature, when: • •
•
Ssubmission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or status as a student in a course, program or activity;a student's academic success, S • submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting an individual;such individuals, or •
Ssuch conduct has the purpose or effect of unreasonably interferinges with an individual's work or academic performance, or of creatingcreates an intimidating, hostile or offensive environment for working or learning environment. •
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4.1 Examples of Sexual Harassment Sexual harassment encompasses any sexual attention that is unwanted. Examples of the verbal, non-verbal and physical conduct prohibited by the section above include, but are not limited to: • • • • • • • • • • • •
•
Unwelcome comments about a person’s clothing or body; Coercion for a date or a romantic or intimate relationship; Unwelcome touching, kissing, hugging or massaging; A course of unwanted attention that is repeated or obsessive; Giving letters, personal gifts, and/or materials of a sexual nature; Use of unwanted force in connection with sexual activity or attempted sexual activity; Subtle pressure for sexual activity; Dating Violence; Domestic Violence; Stalking; Sexual Assault; Videotaping or photographing of activity of a sexual or private nature without the consent of the person(s) being videotaped or photographed; Use of e-mail, the Internet or other forms of digital media to facilitate any of the conduct listed above;
4.2 339.3 PROCEDURES 3.1 Awareness and Prevention Utah State University is committed to the prevention of sexual harassment. In order to promote appropriate social interaction between men and women in the workplace and in the classroom, efforts will be made to sensitize employees and students to the nature of sexual harassment, including the range of behaviors associated with it, and the University's policy and procedures regarding it. Toward this goal, this policy is available to all faculty, staff and students. In addition, the AA/EO Office shall conduct on-going training in the prevention of sexual harassment for employees and will provide additional training, with specialized focus or to specific groups upon request. Incoming first year students are offered prevention and awareness training through student services. 3.2
4.3 Filing a Complaint
The University has established a complaint procedure to handle all types of discrimination complaints, including sexual harassment (refer to USU Policy 305).. The University has designated the AA/EO Director/Title IX Coordinator as the official Page 3 of 6
responsible for receiving and investigating complaints of sexual harassment. 3.3 4.4 Investigation of Reported Incidents The AA/EO Office will investigate all reported incidents of sexual harassment. The University intends that the following principles of Utah State University Policy 305 will govern all sexual harassment investigations. For faculty, the procedures described in USU Policy 407 will govern.: (1) 4.5 Interviews may be conducted with the parties involved, supervisors, and any other employees or involved parties who may provide helpful information. (2) Interviews and all other investigatory activities will be conducted with the utmost discretion and respect for the privacy of all parties. The AA/EO Office will attempt to maintain confidentiality throughout the investigation (refer to 305). (3) For faculty the procedures described in 407.9 will govern. 3.4
Retaliation
Retaliation against an individual who has made a complaint or has in any way participated in an inquiry/investigation is prohibited. 4.6 An individual who has been named as an alleged offender may not retaliate in any way against either the complainant or witnesses involved in investigations. Retaliation is strictly forbidden by the Equal Employment Opportunity Commission Sexual Harassment guidelines under Title VII. 3.5 Disciplinary Actions In cases where the preponderance of evidence indicates that a violation of this policy occurred, the appropriate Administrator will follow the disciplinary policy and procedures applicable to the individual in violation of this policy. The applicable policies and procedures are as follows: 1) For faculty, the Provost, applicable dean, vice president, department head and/or director will follow the procedures for imposing sanctions (refer to USU Policy 407). 2) For employees, the applicable vice president and/or supervisor/manager will follow the procedures for corrective action (refer to USU Policy 311). 3) For students, the Vice President for Student Affairs and/or his/her designee will impose sanctions, if warranted by following the procedures set forth in the Student Code of Conduct.
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4.7 If the investigation shows that an employee has engaged in prohibited or unlawful harassment or retaliation, appropriate action will be taken (311, 407). 3.6 Consensual Relationships Amorous relationships between a faculty member and a student shall be governed by Utah State University Policy 407.1. Amorous relationships between a supervisor and an employee, or between a faculty member and a student (407.1) are discouraged due to the imbalance of power that exists. The party with lesser authority or power may fear reprisal or retaliation if he/she rejects the amorous or sexual requests. Should a complaint of sexual harassment be filed, the party with the greater authority may not be able to use perceived mutual consent as the sole defense if the relationship is considered "unwelcome" by the party filing the complaint. 339.5 REPORTING4 RESPONSIBILITY 4.1 5.1 Affirmative Action/Equal Opportunity Office The AA/EO Office is rResponsible for receiving and investigating all complaints of sexual harassment, providing reporting optionsadvice and support servicescounseling to employees, and students, as well as protecting confidentiality to the extent possible. 4.2 5.2 University Administrators It is the obligation of all University administrators to guarantee the rights and dignity of employees. If University Administrators they become aware of situations within their area which violate this policy, they must contactshould consult the AA/EO Office immediately.
4.3 5.3 Employees Employees are responsible for reportingmust report to the AA/EO Director/Title IX Coordinator incidents of behaviors that may constituteResponsible for responding to perceived sexual harassment according to the guidelines in this policy. For additional assistance, employees should contact the AA/EO Office. 5.4 Students Students are encouraged to report instances that may constitute sexual harassment according to the guidelines in this policy to the Title IX Coordinator, Confidential reporting resources, and/or law enforcement. Students may utilize any or all of the processes and/or services for reporting sexual harassment. For additional assistance, students should contact the AA/EO Office. 5.5 Visitors
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Visitors are encouraged to report instances that may constitute sexual harassment according to the guidelines in this policy to the Affirmative Action/Equal Opportunity Director who also serves as the Title IX Coordinator. Visitors may utilize processes for reporting sexual harassment. For additional assistance or information, visitors should contact the AA/EO Office.
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POLICY MANUAL GENERAL
Number 339 Subject: Sexual Harassment Covered Individuals: USU Employees, Students and Visitors Date of Origin: January 24, 1997 Date of Revision: May 6, 2016 Effective Date: May 6, 2016
339.1 POLICY Utah State University is committed to providing an environment free from gender-based discrimination and harassment. Utah State University has an established policy to address sexual harassment in the workplace and academic setting. Sexual harassment of any employee, student, or recipient of the services of this University is prohibited. Anyone who feels that he/she is the victim of sexual harassment or any supervisor or manager who is made aware of an alleged incident of sexual harassment must take immediate action to resolve the matter. Any individual may contact the University's Affirmative Action/Equal Opportunity (AA/EO) Office for available options and resources or clarification, leading to an informal resolution of the matter. Sexual misconduct complaints may not be resolved using informal methods of compromise or settlement. If an informal resolution is not accomplished or is not possible, further action, including the filing of a complaint and undertaking a formal inquiry/investigation, may be taken to facilitate a resolution pursuant to this policy. 339.2 REFERENCES • • • •
Titles VI and VII of the Civil Rights of 1964 Title IX of the Higher Education Amendments of 1972 Campus Sexual Violence Elimination Act (SaVE) – reauthorization of Violence Against Women Act of 2013 Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act and others as applicable.
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339.3 DEFINITIONS 3.1 Definitions of Sexual Harassment can be found at [URL Link to Definitions found on the AA/EO Sexual Misconduct web page – a copy of Definitions is provided]
3.2 Preponderance of evidence: (link to URL) – it is more likely than not that a policy violation occurred. This is the standard of evidence used in investigations of discrimination and harassment at Utah State University. 3.3 Administrator: The administrator at the dean/vice president or the department head/director level with direct line responsibility over the college, department, office, agency or other operational unit of the university in which the claimed discrimination or harassment occurred
339.4 PROVISIONS No member of the Utah State University community shall engage in sexual harassment. For the purposes of this policy sexual harassment is defined as unwelcome sexual advances, requests for sexual favors or other verbal, written or physical conduct of a sexual nature, when: •
•
•
Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or status as a student in a course, program or activity; Submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting an individual; or Such conduct has the purpose or effect of unreasonably interfering with an individual's work or academic performance, or of creating an intimidating, hostile or offensive environment for working or learning.
4.1 Examples of Sexual Harassment Sexual harassment encompasses any sexual attention that is unwanted. Examples of the verbal, non-verbal and physical conduct prohibited by the section above include, but are not limited to: Unwelcome comments about a person’s clothing or body; Coercion for a date or a romantic or intimate relationship; Unwelcome touching, kissing, hugging or massaging; A course of unwanted attention that is repeated or obsessive; Giving letters, personal gifts, and/or materials of a sexual nature; Use of unwanted force in connection with sexual activity or attempted sexual activity; • Subtle pressure for sexual activity; • Dating Violence; • • • • • •
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Domestic Violence; Stalking; Sexual Assault; Videotaping or photographing of activity of a sexual or private nature without the consent of the person(s) being videotaped or photographed; • Use of e-mail, the Internet or other forms of digital media to facilitate any of the conduct listed above; • • • •
4.2 Awareness and Prevention
Utah State University is committed to the prevention of sexual harassment. Toward this goal,
this policy is available to all faculty, staff and students. In addition, the AA/EO Office shall conduct on-going training in the prevention of sexual harassment for employees and will provide additional training, with specialized focus or to specific groups upon request. Incoming first year students are offered prevention and awareness training through student services.
4.3 Filing a Complaint
The University has established a complaint procedure to handle all types of discrimination complaints, including sexual harassment (refer to USU Policy 305). The University has designated the AA/EO Director/Title IX Coordinator as the official responsible for receiving and investigating complaints of sexual harassment. 4.4 Investigation of Reported Incidents The AA/EO Office will investigate all reported incidents of sexual harassment. The University intends that the principles of Utah State University Policy 305 will govern all sexual harassment investigations. For faculty, the procedures described in USU Policy 407 will govern.
4.5 Retaliation
Retaliation against an individual who has made a complaint or has in any way participated in an inquiry/investigation is prohibited. 4.6 Disciplinary Actions
In cases where the preponderance of evidence indicates that a violation of this policy occurred, the appropriate Administrator will follow the disciplinary policy and procedures applicable to the individual in violation of this policy. The applicable policies and procedures are as follows: 1) For faculty, the Provost, applicable dean, vice president, department head and/or director will follow the procedures for imposing sanctions (refer to
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USU Policy 407). 2) For employees, the applicable vice president and/or supervisor/manager will follow the procedures for corrective action (refer to USU Policy 311). 3) For students, the Vice President for Student Affairs and/or his/her designee will impose sanctions, if warranted by following the procedures set forth in the Student Code of Conduct. 4.7 Consensual Relationships
Amorous relationships between a faculty member and a student shall be governed by Utah State University Policy 407.1. Amorous relationships between a supervisor and an employee are discouraged due to the imbalance of power that exists. The party with lesser authority or power may fear reprisal or retaliation if he/she rejects the amorous or sexual requests. Should a complaint of sexual harassment be filed, the party with the greater authority may not be able to use perceived mutual consent as the sole defense if the relationship is considered "unwelcome" by the party filing the complaint. 339.5 REPORTING RESPONSIBILITY 5.1 Affirmative Action/Equal Opportunity Office The AA/EO Office is responsible for receiving and investigating all complaints of sexual harassment, providing reporting options and support services to employees and students, as well as protecting confidentiality to the extent possible. 5.2 University Administrators If University Administrators become aware of situations within their area which violate this policy, they must contact the AA/EO Office immediately. 5.3 Employees Employees must report to the AA/EO Director/Title IX Coordinator incidents of behaviors that may constitute sexual harassment according to the guidelines in this policy. 5.4 Students Students are encouraged to report instances that may constitute sexual harassment according to the guidelines in this policy to the Title IX Coordinator, Confidential reporting resources, and/or law enforcement. Students may utilize any or all of the processes and/or services for reporting sexual harassment. For additional assistance, students should contact the AA/EO Office.
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5.5 Visitors Visitors are encouraged to report instances that may constitute sexual harassment according to the guidelines in this policy to the Affirmative Action/Equal Opportunity Director who also serves as the Title IX Coordinator. Visitors may utilize processes for reporting sexual harassment. For additional assistance or information, visitors should contact the AA/EO Office.
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6 May 2016 ITEM FOR ACTION RE:
Proposal to Revise Policy 350 Educational Benefits of the University Policy Manual The attached policy is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The University desires to revise Policy 350 Educational Benefits as shown in the attached redlined document. Revisions and/or amendments to this policy were submitted by the Executive Director of the Office of Human Resources to the Executive Committee, Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment. The following is a summary of the revisions to Policy 350 Educational Benefits:
Section 2, renames the headings within the section to provide clarification and grouping of similar topics.
Section 2.3, clarifies that the educational benefit does not apply to the School of Veterinary Medicine.
Section 2.7, clarifies that the application and form(s) are submitted online.
Section 2.11, clarifies that certain educational benefits may be taxable to retirees and dependents of deceased employees.
RECOMMENDATION The President and the Vice President for Business and Finance recommend that the Board of Trustees approve the revisions to Policy 350 Educational Benefits of the Utah State University Policy Manual.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The University desires to revise Policy 350 Educational Benefits as shown in the attached redlined document; WHEREAS, Revisions and/or amendments to this policy were submitted by the Executive Director of the Office of Human Resources to the Executive Committee, Faculty Senate, Professional Employees Association, and Classified Employees Association for review and comment; and WHEREAS, The procedures for amending policies outlined in Section 200 of the University Policy Manual have been followed: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees approve the revisions to Policy 350 Educational Benefits of the University Policy Manual effective 4 March 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________ Date
POLICY MANUAL BENEFITS
Number 350 Subject: Educational Benefits Covered Employees: Benefit-Eligible Employees Date of Origin: January 24, 1997 Date of Revision(s): June 29, 2012, May 6, 2016 Effective Date: May 6, 2016
350.1 POLICY The University encourages all individuals associated with Utah State University to continue their educational development. To assist in that regard, the University has established several educational benefit programs. Each program has unique eligibility and participation requirements. 350.2 PROVISIONS 2.1 Eligibility Utah State University Courses for Credit The educational benefit for individuals who meet the eligibility requirements is a reduction in tuition by 50% of the appropriate rate (in-state or out-of-state depending on official residence) for the courses being taken. This reduction is for both day and night courses offered and described on the Online Catalog found on catalog.usu.edu. Employees, retirees, and spouses do not have to pay non-tuition fees (student body fees), except for the following, which will be paid at the standard rate: special lab and class fees, graduation fees, correspondence or home-study fees, noncredit workshops, conferences, institutes, special field trip fees, and fees for most courses offered by the Regional Campuses and Distance Education. For eligible individuals taking study abroad courses, the waiver would be 50% of the equivalent tuition for the number of credits taken. Courses at Utah State University may be taken for course credit by individuals who meet the eligibility requirements. According to the stipulations described below, employees who are budgeted 75% time or more are eligible to participate in the educational benefit programs. In addition, their spouses and Page 1 of 5
dependent children (under the age of 26 and single at the time of registration) and all Utah State University retirees, their spouses, and dependent children (under the age of 26 and single at the time of registration), are eligible to participate. (1) Employees qualify after 3 months of service working 75% time or more. The 3-month waiting time must be completed on or before the last eligible day that fees are due in the applicable semester. (2) Dependent children qualify for benefits after the related University employee has been employed in an eligible position (working 75% time or more) for 2 years (working 75% time or more). (3) Spouses qualify immediately for this benefit. The eligibility period must be completed on or before the last day fees are due in the applicable semester. (4) Spouses and dependent children of deceased University employees who were eligible when the employee died will continue to be eligible under the provisions of this policy. (5) Retirees, their spouses, and dependent children qualify when the retiree meets the minimum definition of rRetirement Status as stated in Policy #361- Retirement Plans and Retirement Benefits.
If, while taking University classes, the eligible person desires student privileges that require fees (i.e., activity fees, health fees, etc.), activity fees must be paid. Dependent children taking University courses must pay full non-tuition fees. 2.2 USU-Eastern Employees with Service Date Prior to July 1, 2010 Employees of USU-Eastern with a service hire date prior to July 1, 2010, are grandfathered into the 100% tuition waverwaiver program previously offered by the College of Eastern Utah. This applies only to classes offered as part of the USU-Eastern program. For the same grandfathered employees, classes taken through any other USU program will qualify for 50% tuition reduction under Policy #350-Educational Benefitsas stated in this policy. 2.3 Utah State University Courses for Credit The educational benefit for individuals who meet the eligibility requirements is a reduction in tuition by 50% of the appropriate rate (in-state or out-of-state depending on official residence) for the courses being taken. This reduction is for both day and night courses offered and described on the Online Catalog found onat catalog.usu.edu. For eligible individuals taking study abroad courses, the waiver would be 50% of the equivalent tuition for the number of credits taken. Page 2 of 5
The educational benefit does not apply to the School of Veterinary Medicine.
2.4 Utah State University Non-Tuition Fees Employees, retirees, and spouses aredo not requiredhave to pay non-tuition fees (student body fees), except for the following, which will be paid at the standard rate: special lab and class fees, graduation fees, correspondence or home-study fees, noncredit workshops, conferences, institutes, special field trip fees, and fees for most courses offered by the Regional Campuses and Distance Education. If, while taking University classes, the eligible employee, spouse, retiree, or spouse of an eligible retired or deceased employeeperson desires student privileges that require fees, (i.e. activity fees, health fees, etc.), activity fees the fees must be paid at the time of registration. Dependent children taking University courses must pay full non-tuition fees. 2.5 Utah State University Courses Taken for Audit All budgeted employees working 50% time or more, their spouses, and University retirees and their spouses qualify for auditing University courses without a tuition and mandatory student fees or a waiting period. Dependent children do not qualify for this benefit. Spouses of deceased University employees who were eligible for this benefit when the employee died will continue to be eligible. Retirees and their spouses qualify for this benefit when the retiree meets the minimum definition of rRetirement Status as stated in Policy #361- Retirement Plans and Retirement Benefits.
2. 42.6 Full Time Employee Limitations Full-time Utah State University employees (95% time or greater) may register for a maximum of 6 credit hours per semester, to be taken during the employee's normal working hours. This limit applies to the combination of courses taken for credit or audit. Employees working less than fulltime may register for the following credit hours, to be taken during the employee's normal working hours: Percent of Time Working Credit Hours Allowed During Normal Working Hours Per Semester 95 - 100 % 6 hours 85 - 94 % 5 hours 75 - 84 % 4 hours less than 75% ineligible
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Courses taken by employees during regular working hours may not interfere with the operation of the employee's department, and the employee must have the permission of his or her supervisor or department head. Regular hours of work missed by non-exempt employees for class attendance must be made up during the same week in which they are missed. When the same course is offered in both day and night sessions, the employee is encouraged to enroll in the night course. Employees who work on an academic year basis (9 months—August through early May) are not restricted by the limitations above during the period of the year in which they are not working full-time (normally the summer term). Qualified employees are not restricted by the limitations above for courses that are to be taken during non-working hours. 2.57 Admissions and Registration Provisions All individuals who want to participate in the educational benefits program must apply and be accepted for admission to the University using the regular admission guidelines. All individuals must follow the normal registration procedures of the University. The Active employeesapplicant must complete the online Tuition Reduction Application Form availableform and Waiver of Non-Tuition Fees form, if applicable, available on the Human Resources Wwebsite. All others should return the applicable paper form(s) directly to the Human Resources office. When properly completed, the form is to be presented at the Registrar’s Office when fees are paid to receive the benefits described in this policy. 2. 68 Termination While Attending Classes Employees who terminate employment with the University for reasons other than retirement or death disqualify themselves, their spouses, and dependent children from participating in future educational benefits programs. When employment ends, the employee, spouse, or dependent child who is in the process of taking a University course with reduced tuition fees under the guidelines of this policy will be allowed to complete that course. Any future courses taken will require payment of the fully applicable tuition costs. Employees on leave without pay (LWOP) for more than 6 months do not qualify for the benefits described in this policy. Spouses and dependent children of employees on LWOP are also disqualified from the educational benefits. Employees on sabbatical or other approved leave with pay, their spouses, and dependent children, are eligible for educational benefits described in this policy. 2. 79 Financial Limitations Page 4 of 5
The employee/spouse/dependent waiver is a benefit of employment and provides a 50% waiver of tuition. This benefit is not reduced when a student receives other tuition waivers, except that combined tuition waivers cannot exceed 100% of tuition charges for a given term. For the purposes of this policy, a waiver is any funding that is restricted to the payment of tuition. 2. 810 Appeal Process Refer to Policy #325- Employee Grievance Procedures. 2. 911 Taxation Certain educational benefits received by employees, their spouses, and dependent children may be taxable under current IRS rules. If the IRS rules determine that all or a portion of these benefits are taxable, the University will add the value of the benefit received to the employee's income and will withhold appropriate taxes for the amount of the benefit. Retirees and deceased employee dependents will receive appropriate IRS documents reflecting the taxable benefit received. 350.3 RESPONSIBILITY 3.1 Department Heads and Supervisors Responsible to administer this policy for employees within their departments while considering the needs of the department. 3.2 Office of Human Resources Responsible to administer this policy for retirees, their spouses, and dependent children and for the spouses and dependent children of deceased employees. Responsible to assist department heads and supervisors in administering this policy. 3.3 Employees If taking courses during regular working hours, employees must coordinate course times with supervisors to reduce interference with the operation of the department. All employees must follow the normal registration procedures. Responsible for taxes, as appropriate.
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06 May 2016
ITEM FOR ACTION
RE: Proposed amendments to the Utah State University Policy Manual, Section 402.10.1 – Apportionment of Elected Faculty Positions. EXECUTIVE SUMMARY
Proposed changes to the Utah State University Policy Manual, Section 402.10.1 – Apportionment of Elected Faculty Positions, were forwarded by the Professional Responsibilities and Procedures Committee (PRPC) and approved by the Faculty Senate on April 04, 2016. The recommended change will make this section of Policy 402 consistent with the rest of Policy 402. RECOMMENDATION
Based on the above proposal and approvals as indicated, the President and Provost recommend that the Board of Trustees approve the proposed amendments to the Utah State University Policy Manual, Section 402.10.1 – Apportionment of Elected Faculty Positions.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The proposal to amend the Utah State University Policy Manual, Section 402.10.1 – Apportionment of Elected Faculty Positions, and WHEREAS, This change will provide consistency throughout section 402 of the Utah State University Policy Manual. WHEREAS, The proposal has the support of the Professional Responsibilities and Procedures Committee (PRPC), and WHEREAS, The proposal has been approved by the Faculty Senate, and WHEREAS, The proposal has the approval of the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposed amendments to the Utah State University Policy Manual, Section 402.10.1 – Apportionment of Elected Faculty Positions.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
________________________________ DATE
PROPOSED CHANGE
402.10 SENATE ELECTIONS 10.1 Apportionment of Elected Faculty Positions Annually, the Senate Committee on Committees shall apportion the number of elective Senate positions to the academic colleges, Regional Campuses and Distance Education, USU Eastern, Extension, and the Library in proportion to the number of tenured and tenure-eligible faculty. The minimum representation from each of these academic units shall be one two.
FINAL WORDING
402.10 SENATE ELECTIONS 10.1 Apportionment of Elected Faculty Positions Annually, the Senate Committee on Committees shall apportion the number of elective Senate positions to the academic colleges, Regional Campuses, USU Eastern, Extension, and the Library in proportion to the number of tenured and tenure-eligible faculty. The minimum representation from each of these academic units shall be two.
6 May 2016 ITEM FOR ACTION Re: Utah State University Office of Research and Graduate Studies -
Recommendation for policy revisions: Utah State University Policy 337, Safety and Health EXECUTIVE SUMMARY
The Association of Public and Land‐grant Universities (APLU) has formally issued the charge for all Universities to improve safety. As part of meeting this expectation, the Office of Research and Graduate Studies has met with university administration, colleges, centers, as well as faculty and employee leadership committees, to review and recommend improvements to the policy. Revisions include extensive change to the current structure of the policy to improve communication across the University. These proposed revisions by the Office of Research and Graduate Studies include review and approval by Utah State University’s Executive Committee. RECOMMENDATIONS The Office of Research and Graduate Studies recommends approval of proposed revisions to USU Policy 337 as outlined. A red‐lined version with the proposed revisions to the current policy is included with this resolution.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The Association of Public and Land‐grant Universities (APLU) has formally issued the charge for all Universities to improve safety, AND WHEREAS, Utah State University strives to provide a safety culture for all, as well as the community, NOW, THEREFORE, BE IT RESOLVED, that the Utah State University’s Executive Committee and the Utah State University Board of Trustees hereby approves the proposed revisions to Utah State University Policy 337. RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES: __________________________Date
POLICY MANUAL
GENERAL
Number 337 Subject: Safety and Health Covered Individuals: AllEmployees: University Employees Date of Origin: January 24, 1997 Date of Revision: April 11, 2016
337.1 337.1 POLICY The University takes reasonable precautions to ensure the safety and health of people, facilities, equipment, and other property. The University accepts the responsibility for leadership in safety and health issues, for effectiveness and improvement, and for providing the necessary safeguards required to ensure safe and healthy work conditions. The University subscribes to recognized standards for health, safety, and fire protection. Such standards are published by the Environmental Protection Agency, the American Conference of Governmental Industrial Hygienist, the Nuclear Regulatory Commission, the National Fire Protection Association, the Uniform Building Code, the American National Standards Institute, and other recognized safety standard-making bodies. It is the responsibility of employees, supervisors, administrators, and all other
persons in authority to provide for safety in the environment and operations under their control. The University shall maintain the right to require physical examinations and testing of employees when questions of health and safety arise which are directly job related. Examinations and diagnostic tests required by the University will be at no expense to the employee. 337.2 PROCEDURES 2.1 University ProgramsUtah State University is committed to creating a safe environment and a culture of institutional safety, and The University develops and implements safety and health programs consistent with the best practices for activities and institutions of this type. The University takes safety extremely seriously and will work diligently to provide the necessary safeguards required to assure the safety and health of employees, students, and the public, as well as facilities, equipment, and other property. These programs strive to continuously reduce worker risk and improve the prevention of illnesses and injuries in all work environments including but not limited to offices, laboratories, farms and field sites, and driving for work. To accomplish these tasks, all employees (faculty, benefited staff and wage/hourly) are required to fully cooperate with University safety guidelines and to fully follow all procedures relating to safety rules.. To Realization of a safe and healthy work environment requires attention and responsibility at every level, including the President, Provost, Chancellor and Vice Chancellors, Deans and Vice Presidents, Department Heads and Directors, lab supervisors, unit supervisors, and all employees. If investigation shows that an employee has failed to follow this policy, appropriate action will be taken in accordance with University policies.
accomplish these tasks, the University shall require the full cooperation of all faculty, staff, and students. 2.2 Employee Illness 337.2 PROVISIONS 2.1 University Programs •
The University subscribes to recognized standards for health, safety, and fire protection.
2.3 Student Health Clinic All University Student Health Clinic professionals are required to participate in the University's employee health program. Employment is conditional until a tuberculin skin test and the hepatitis series of shots are completed. Tuberculin skin tests must be renewed annually. Also, licenses of professionals, e.g., RN, LPN or MD, must be current. Other Clinic employees are offered free tuberculin skin tests annually and free immunization shots for communicable diseases. 2.4 Food Service • EmployeesSuch standards are published by the Environmental Protection Agency, the Occupational Safety and Health Administration, the National Institutes of Health, the American Conference of Governmental Industrial Hygienist, the Nuclear Regulatory Commission, the National Fire Protection Association, the Uniform Building Code, the American National Standards Institute, and other recognized safety standard-making bodies. In accordance with these rules and USU institutional policies, it is the responsibility of employees, supervisors, administrators, and all other persons in authority to provide for safety in the environment and operations under their control. The University reserves the right to require examinations, testing, and training of employees as mandated by federal and state rules, laws, and regulations for purposes of this and other institutional policies. 2.2 USU Safety Committees. 2.2.1 The USU University Safety Committee. This committee is named by the President, and consists of the following representatives: 1) the Directors, or their designees, of USU's Environmental Health and Safety Division (EHS); 2) the chairs from the University Safety Committees (USU Biohazards Committee, Institutional Biosafety Committee, Chemical Hygiene Committee, and Radiological Safety Committee), who are appointed by the Vice President for
Research; 3) the chair of the Risk Control Committee, who is appointed by the Vice President for Business and Finance; 4) each of the eight academic College Safety Committees; 5) the President of the Classified Employees Association or their designee; 6) the USU Police Chief; 7) a representative chosen by the Regional Campus/Eastern Administrative Council; and 8) other appropriate university units that participate in an ad hoc capacity as necessary. The Vice President for Business and Finance shall appoint individuals to represent USU’s auxiliary services as appropriate. The University Safety Committee meets at least two times each year and has responsibility to review and approve institutional procedures that relate to radiation, biohazards, chemical safety, recombinant DNA, risk control and occupational safety at the university, and make recommendations for new policy as needed. Additionally, the committee oversees activities of the USU’s Biohazards Committee, Chemical Hygiene Committee, Institutional Biosafety Committee, Radiation Safety Committee and the Risk Control Committee. 2.2.2 College/Unit Safety Committees. These committees are established by deans or campus unit administrators and are comprised of Departmental or Campus Unit Safety Representatives. The dean or unit administrator shall have flexibility to appoint committee members as needed, and student representation is encouraged. The chair serves as a member of USU’s University Safety Committee and serves as liaison between the University Safety Committee and his/her campus unit. The committee meets at least once each quarter, and has responsibility to review accident reports and make appropriate recommendations to the dean/unit administrator regarding proposed changes in safety procedures. It also provides regular updates on safety-related issues, including copies of EHS reports, to college dean/unit administrator. 2.2.3 Departmental Safety Representative. This individual is identified by the department head, and serves on the College Safety Committee. The departmental safety representative acts as a liaison between the College Safety Committee, EHS, and his/her campus unit. He or she has responsibility to: 1) reviews all safety incident reports and makes appropriate recommendations, in conjunction with EHS, to the department head regarding proposed changes in workplace procedures. Copies of these recommendations must be provided to the department head and dean or unit director; 2) work with the department head to ensure, within reason, that identified deficiencies and recommended corrective actions are addressed; and 3) provide regular updates on safety-related issues to department head and faculty. 2.3 Specific Requirements Certain departments may have specific job safety requirements, for example health providers must have certain inoculations, and food service workers must
have a food handler’s permit. These requirements are included in job descriptions. The Environmental Health and Safety Division (EHS) has the authority and responsibility to promote compliance with all University, state, and federal health and safety regulations by interpreting standards and promulgating procedures and policies to assure University compliance. EHS employees are responsible for monitoring compliance, evaluating potential health hazards, and investigating accidents and injuries. EHS employees partner with administrators, faculty, and researchers to support a strong, positive safety culture. They offer collaboration and support in meeting the responsibilities of this policy. USU Risk Management is responsible for filing and managing all Workers Compensation claims and assisting employees in returning to work after an injury. Risk Management offers collaboration and support to all employees in implementing USU's Return to Work program. 2.3.1 In the event of a condition immediately dangerous to life or health, or otherwise determined to present an unacceptable safety risk, EHS has authority to immediately mitigate the unsafe condition. EHS must notify the University Safety Committee any time such action is taken. 2.3.2 In a more enduring safety concern, EHS will engage university leadership to review and ameliorate the unsafe condition. 2.3.3 If faculty or administrators believe actions taken by EHS to ameliorate safety are unwarranted, they may appeal to the Vice President for Research. 2.4 within the Food Services Department are required to obtain a food handler's permit from the Bear River Health Department within fourteen days of entering or engaging in the manufacturing, preparation or handling of food or drink. This permit must be renewed every 3 years from the date of issue. 2.5 Plant Operations Applicants who have received offers of employment for positions entailing potential exposure to hazardous chemicals or materials, or requiring heavy physical exertion, will be required to obtain a physical examination prior to beginning employment. Employees may be required to obtain and keep a current Commercial Drivers License, if necessary, as a condition of employment. Hazardous Areas All employees working in areas exposing them to substances or conditions that could be hazardous to health, as determined by state and federal laws, are required to participate in the University's health monitoring and health
surveillance program. Any questions regarding substances or conditions that are questionable should be addressed to EHS. Any questions or concerns regarding employees traveling to hazardous areas in the states or world should be addressed to the University’s Risk Management officethe University's Environmental Health and Safety Office. 2.5 2.6
Workplace Violence
Refer to Policy #342, Violence in the Workplace. Threats or acts of violence, bodily harm, or physical intimidation by employees will not be tolerated and may be grounds for immediate dismissal. When this type of behavior is exhibited, the University reserves the right to request an evaluation by a health care/mental health professional to determine fitness for duty. Likewise, threats or intimidation of employees in the workplace by individuals outside the University will not be tolerated. 337.3 RESPONSIBILITY Realization of a safe workplace and a culture of safety requires attention and responsibility at every level of the organization. Core responsibilities include, but are not limited to: University President • Establishes a safety policy (USU policy 337) that supports the administration’s commitment to faculty, staff, and student safety. • Assigns responsibility for implementation and oversight of the safety policy and the institution’s safety program to the Vice President for Research and other senior administrators as indicated by the safety policy. • Provides resources and financial support for the institution’s safety program, according to the recommendations of the Vice President for Research and other senior administrators who are responsible for oversight of the program. • Communicates to the entire institution the importance of safety and expectations to establish and maintain a strong safety program that continually improves and protects all faculty, staff, students, and guests. • Ensures, within reason, that rapid and effective response is taken to remediate any serious safety issues/incidents on the campus. • Supports Return to Work programs throughout the University. Provost, Vice Presidents, Chancellor, or Vice Chancellors • Allocates necessary resources, as deemed appropriate, for implementation of the institution’s safety policy, programs, and committees (e.g., University Safety Committee and related sub-committees for Biohazards, Chemical Hygiene, Radiation Safety, Recombinant DNA, Risk Control, and Dual Use Research).
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Communicates responsibilities to deans and other administrators for safety programs within their areas of oversight. Supports safety training within the institution. Ensures, within reason, that effective systems are established to identify and address institutional safety concerns. Ensures, within reason, that the President is notified if there are serious safety issues/incidents on the campus. Supports Return to Work programs throughout the University
Deans and other Campus Unit Administrators, i.e. Executive Directors • Works with department heads/directors and faculty, supervisors or foreman to identify and allocates resources as deemed appropriate and needed for implementation and maintenance of safety programs for each department or unit within their area of responsibility. • Communicates to department heads the responsibility for incorporation of risk management and safety into the curriculum for each department or unit with their area of responsibility as appropriate. • Deans establish a College Safety Committee comprised of Departmental Safety Representatives. • Supports safety training for managers and supervisors within their unit that emphasizes health and safety leadership responsibilities. • Deans review reports from the College Safety Committee, Environmental Health and Safety Office (EHS), department heads or other unit directors about the status of safety programs in each department or unit within their area of responsibility. o Identified deficiencies and recommended corrective actions are addressed. • Ensures, within reason, that the Provost, Vice President, Chancellor, or Vice Chancellor is notified if there are serious safety issues/incidents within their area of responsibility. • Supports Return to Work programs within their units. • Where the setting is a Regional Campus/Eastern, the academic dean, vice chancellor, and executive director/dean have a shared responsibility to ensure the elements in this section. Department Head/Directors • Works with dean/unit director and faculty, supervisors or foreman to identify and allocates resources as deemed appropriate and needed for implementation and maintenance of departmental safety programs. • Ensures, within reason, that faculty and staff members understand and implement responsibilities as listed and assumes responsibility for work and laboratory space, including field sites, and safe operations. • Identifies a Departmental Safety Representative. • When applicable, establishes curricular goals for safety education of students.
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Ensures, within reason, that the development and implementation of safety practices, safety protocols, and safety rules for undergraduate and graduate teaching laboratories and work space, including field sites, as well as affiliated shops, storerooms, stockrooms, and corridors within their purview. Reviews EHS-documented safety training for faculty and staff to ensure, within reason, that it is complete and up to date. Ensures, within reason, that all safety practices, protocols, and safety rules are fully and regularly discussed by faculty and staff. Includes discussion of safety training and goals in regular annual reviews of faculty and staff. Works with EHS to respond to regular inspections of both teaching and research laboratories. o After receipt of the laboratory/work space inspection report meets with faculty members to discuss cited violations and to ensure, within reason, that timely actions to protect personnel and facilities and that the department remains in compliance with all applicable federal, state, university, local, and departmental codes and regulations. Ensures, within reason, that the health and safety of departmental personnel, authorized visitors (including student volunteers, visiting scholars, vendors, and contractors), and students any time there is a change in use of departmental space. Develops and maintains a list of Return to Work options within their department or unit with the assistance of faculty members, principal investigators, and supervisors as appropriate.
Faculty Member/Principal Investigator • Works with dean and department head to identify and allocate resources as deemed appropriate and needed for implementation and maintenance of laboratory or field safety needs. • Ensures, within reason, that supervisors and lab personnel understand and implement responsibilities as listed and assumes responsibility for workplace and/or laboratory space, including field sites, and safe operations. • Participates in appropriate safety training. • Implements the curricular goals for safety education of students. • Ensures, within reason, that principle-based safety education and specific safety training relating to their areas of research is provided to students, lab personnel, and staff within their workplace and/or laboratories. • Regularly reviews EHS-documented safety training of workplace and/or laboratory members to confirm it is complete and up to date. • Safety is regularly discussed during research group meetings. • Develops a Chemical Hygiene Plan that is specific to the activities occurring in the laboratory or work area.
Serves as safety advisor and mentor for students, staff, and laboratory personnel who work and study under their supervision, and encourages group discussion of “near misses”. • Sets clear expectations that laboratory personnel, students, and staff under his or her direction must understand and follow safety practices and protocols. o Sets an example by following all pertinent safety rules when working in the laboratory or work area. o Always wears personal protective equipment (PPE) that is compatible to the degree of hazard. o Promotes good housekeeping practices in the laboratory or work area. o Safety needs will vary according to the activities, materials and equipment present in the work area. The faculty member/PI develops specific standard operating procedures (SOPs) for activities, materials and equipment that present particular hazards, and incorporates the SOPs into the chemical hygiene plan or other safety plan for the program
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Enforces all health and safety practices, protocols, and rules within his or her laboratory space, including field sites. Institutes disciplinary measures for students, staff, and laboratory personnel who repeatedly violates these rules. Ensures, within reason, that the appropriate personal protective equipment is available and used by all personnel in the laboratory. Responsible to conduct periodic hazard analysis of all program activities to identify potential risks or areas in need of additional safety measures or training. Conducts periodic formal safety, chemical hygiene, and housekeeping inspections, including review of the Chemical Hygiene Plan and SOPs, for laboratories and work areas under their purview. Ensures, within reason, that all approved visitors (including student volunteers, visiting scholars, vendors, and contractors) follow the safety rules. Ensures, within reason, that all laboratory incidents are rapidly and properly reported. Any incidents of a safety matter including those that involve medical attention, property damage, or have a high probability of becoming a liability claim must be reported immediately to EHS or Risk Management. Reports promptly any safety related facility problem or improperly functioning safety equipment that present a safety risk to the Departmental Safety Representative and department head. Reports all safety-related incidents to the Departmental Safety Representative. Develops and maintains a list of Return to Work options within their areas of responsibility with the assistance of the workplace supervisor.
Laboratory/Workplace Supervisor or Foreman • Works with their immediate supervisor (faculty member, department head or director) to identify and allocate resources as deemed appropriate and needed for implementation and maintenance of laboratory or field safety needs. • Receives appropriate safety training. • Reads, understands, and follow all safety rules and regulations that apply to their work area. • Develops safe practices, safety protocols, and safety rules for areas under their purview. • Sets clear expectations that students, staff, and other personnel under his or her direction must understand and follow safety practices and protocols. o Sets an example by following all pertinent safety rules when working in the laboratory or work area. o Always wears personal protective equipment (PPE) that is compatible to the degree of hazard. o Promotes good housekeeping practices in the laboratory or work area. • Works with their immediate supervisor to rapidly address unresolved, unsafe practices, hazardous conditions, and safety equipment malfunctions. • Immediately responds to all safety-related incidents - call 911 in emergency. • Any incidents of a safety matter including those that involve medical attention, property damage, or have a high probability of becoming a liability claim must be reported immediately to EHS or Risk Management. • Directly participates in the investigations for all incidents and near-misses. • Ensures, within reason, that new safety measures are implemented within the lab and/or workplace safety program. • Works with their immediate supervisor to conduct periodic hazard analysis of lab and/or workplace practices to identify areas in need of additional safety measures or training. Develops and maintains a list of Return to Work options within their area of responsibility. Works directly with injured employees to get them working again within the employee’s medical restrictions. 3.1 Department Heads and Supervisors Responsible to be continuously cognizant of the health and safety needs of their employees and initiate necessary prevention measures to control safety hazards associated with activities under their direction. 3.2 Environmental Health and Safety Office
Responsible for monitoring working conditions, evaluating potential health hazards, and investigating accidents and injuries. In addition, the Environmental Health and Safety Office has responsibility for compliance with University, federal, and state safety and health requirements. 3.3 Employees • Employees have primary responsibility for their own personal safety and health. In addition, employees are required to participate in all safety, health, and accident prevention programs directly related to their job responsibilities and work environment. Employees are required to immediately report any work-related accident, injury, or illness to their supervisors. Employees/Laboratory workers (laboratory personnel and staff) • Receive appropriate safety training. • Read, understands, and follows all safety rules and regulations that apply to the work area. • Conduct each operation in accordance with the work area specific chemical hygiene procedures and implements new safety measures as appropriate. o Develops good personal work area safety habits, including use of PPE as appropriate for each procedure that involves hazards and promoting good housekeeping practices in the laboratory or work area. • Report all safety incidents to managing supervisor and faculty member. o Immediately reports any job-related illness or injury or property damage to the supervisor and faculty member. • Report unresolved, unsafe practices or hazardous conditions to the work area supervisor and faculty member. • Participate in periodic safety inspections of work areas. •
Participates in Return to Work program.
Student safety expectations are outlined in SECTION V-3. University Standards of Student Conduct.
POLICY MANUAL GENERAL
Number 337 Subject: Safety and Health Covered Individuals: All University Employees Date of Origin: January 24, 1997 Date of Revision: April 11, 2016
337.1 POLICY Utah State University is committed to creating a safe environment and a culture of institutional safety, and develops and implements safety and health programs consistent with the best practices for activities and institutions of this type. The University takes safety extremely seriously and will work diligently to provide the necessary safeguards required to assure the safety and health of employees, students, and the public, as well as facilities, equipment, and other property. These programs strive to continuously reduce worker risk and improve the prevention of illnesses and injuries in all work environments including but not limited to offices, laboratories, farms and field sites, and driving for work. To accomplish these tasks, all employees (faculty, benefited staff and wage/hourly) are required to fully cooperate with University safety guidelines and to fully follow all procedures relating to safety rules. Realization of a safe and healthy work environment requires attention and responsibility at every level, including the President, Provost, Chancellor and Vice Chancellors, Deans and Vice Presidents, Department Heads and Directors, lab supervisors, unit supervisors, and all employees. If investigation shows that an employee has failed to follow this policy, appropriate action will be taken in accordance with University policies.
337.2 PROVISIONS 2.1 University Programs The University subscribes to recognized standards for health, safety, and fire protection. Such standards are published by the Environmental Protection Agency, the Occupational Safety and Health Administration, the National Institutes of Health, the American Conference of Governmental Industrial Hygienist, the Nuclear Regulatory Commission, the National Fire Protection Association, the Uniform Building Code, the American National Standards Institute, and other recognized safety standard-making bodies. In accordance with these rules and USU institutional policies, it is the responsibility of employees, supervisors, administrators, and all other persons in authority to provide for safety in the environment and operations under their control. The University reserves the right to require examinations, testing, and training of employees as mandated by federal and state rules, laws, and regulations for purposes of this and other institutional policies. 2.2 USU Safety Committees. 2.2.1 The USU University Safety Committee. This committee is named by the President, and consists of the following representatives: 1) the Directors, or their designees, of USU's Environmental Health and Safety Division (EHS); 2) the chairs from the University Safety Committees (USU Biohazards Committee, Institutional Biosafety Committee, Chemical Hygiene Committee, and Radiological Safety Committee), who are appointed by the Vice President for Research; 3) the chair of the Risk Control Committee, who is appointed by the Vice President for Business and Finance; 4) each of the eight academic College Safety Committees; 5) the President of the Classified Employees Association or their designee; 6) the USU Police Chief; 7) a representative chosen by the Regional Campus/Eastern Administrative Council; and 8) other appropriate university units that participate in an ad hoc capacity as necessary. The Vice President for Business and Finance shall appoint individuals to represent USU’s auxiliary services as appropriate. The University Safety Committee meets at least two times each year and has responsibility to review and approve institutional procedures that relate to radiation, biohazards, chemical safety, recombinant DNA, risk control and occupational safety at the university, and make recommendations for new policy as needed. Additionally, the committee oversees activities of the USU’s Biohazards Committee, Chemical Hygiene Committee, Institutional Biosafety Committee, Radiation Safety Committee and the Risk Control Committee. 2.2.2 College/Unit Safety Committees. These committees are established by deans or campus unit administrators and are comprised of Departmental
or Campus Unit Safety Representatives. The dean or unit administrator shall have flexibility to appoint committee members as needed, and student representation is encouraged. The chair serves as a member of USU’s University Safety Committee and serves as liaison between the University Safety Committee and his/her campus unit. The committee meets at least once each quarter, and has responsibility to review accident reports and make appropriate recommendations to the dean/unit administrator regarding proposed changes in safety procedures. It also provides regular updates on safety-related issues, including copies of EHS reports, to college dean/unit administrator. 2.2.3 Departmental Safety Representative. This individual is identified by the department head, and serves on the College Safety Committee. The departmental safety representative acts as a liaison between the College Safety Committee, EHS, and his/her campus unit. He or she has responsibility to: 1) reviews all safety incident reports and makes appropriate recommendations, in conjunction with EHS, to the department head regarding proposed changes in workplace procedures. Copies of these recommendations must be provided to the department head and dean or unit director; 2) work with the department head to ensure, within reason, that identified deficiencies and recommended corrective actions are addressed; and 3) provide regular updates on safety-related issues to department head and faculty. 2.3 Specific Requirements Certain departments may have specific job safety requirements, for example health providers must have certain inoculations, and food service workers must have a food handler’s permit. These requirements are included in job descriptions. The Environmental Health and Safety Division (EHS) has the authority and responsibility to promote compliance with all University, state, and federal health and safety regulations by interpreting standards and promulgating procedures and policies to assure University compliance. EHS employees are responsible for monitoring compliance, evaluating potential health hazards, and investigating accidents and injuries. EHS employees partner with administrators, faculty, and researchers to support a strong, positive safety culture. They offer collaboration and support in meeting the responsibilities of this policy. USU Risk Management is responsible for filing and managing all Workers Compensation claims and assisting employees in returning to work after an injury. Risk Management offers collaboration and support to all employees in implementing USU's Return to Work program.
2.3.1 In the event of a condition immediately dangerous to life or health, or otherwise determined to present an unacceptable safety risk, EHS has authority to immediately mitigate the unsafe condition. EHS must notify the University Safety Committee any time such action is taken. 2.3.2 In a more enduring safety concern, EHS will engage university leadership to review and ameliorate the unsafe condition. 2.3.3 If faculty or administrators believe actions taken by EHS to ameliorate safety are unwarranted, they may appeal to the Vice President for Research. 2.4 Hazardous Areas All employees working in areas exposing them to substances or conditions that could be hazardous to health, as determined by state and federal laws, are required to participate in the University's health monitoring and health surveillance program. Any questions regarding substances or conditions that are questionable should be addressed to EHS. Any questions or concerns regarding employees traveling to hazardous areas in the states or world should be addressed to the University’s Risk Management office. 2.5 Workplace Violence Refer to Policy #342, Violence in the Workplace. 337.3 RESPONSIBILITY Realization of a safe workplace and a culture of safety requires attention and responsibility at every level of the organization. Core responsibilities include, but are not limited to: University President Establishes a safety policy (USU policy 337) that supports the administration’s commitment to faculty, staff, and student safety. Assigns responsibility for implementation and oversight of the safety policy and the institution’s safety program to the Vice President for Research and other senior administrators as indicated by the safety policy. Provides resources and financial support for the institution’s safety program, according to the recommendations of the Vice President for Research and other senior administrators who are responsible for oversight of the program. Communicates to the entire institution the importance of safety and expectations to establish and maintain a strong safety program that continually improves and protects all faculty, staff, students, and guests. Ensures, within reason, that rapid and effective response is taken to remediate any serious safety issues/incidents on the campus. Supports Return to Work programs throughout the University.
Provost, Vice Presidents, Chancellor, or Vice Chancellors Allocates necessary resources, as deemed appropriate, for implementation of the institution’s safety policy, programs, and committees (e.g., University Safety Committee and related sub-committees for Biohazards, Chemical Hygiene, Radiation Safety, Recombinant DNA, Risk Control, and Dual Use Research). Communicates responsibilities to deans and other administrators for safety programs within their areas of oversight. Supports safety training within the institution. Ensures, within reason, that effective systems are established to identify and address institutional safety concerns. Ensures, within reason, that the President is notified if there are serious safety issues/incidents on the campus. Supports Return to Work programs throughout the University Deans and other Campus Unit Administrators, i.e. Executive Directors Works with department heads/directors and faculty, supervisors or foreman to identify and allocates resources as deemed appropriate and needed for implementation and maintenance of safety programs for each department or unit within their area of responsibility. Communicates to department heads the responsibility for incorporation of risk management and safety into the curriculum for each department or unit with their area of responsibility as appropriate. Deans establish a College Safety Committee comprised of Departmental Safety Representatives. Supports safety training for managers and supervisors within their unit that emphasizes health and safety leadership responsibilities. Deans review reports from the College Safety Committee, Environmental Health and Safety Office (EHS), department heads or other unit directors about the status of safety programs in each department or unit within their area of responsibility. o Identified deficiencies and recommended corrective actions are addressed. Ensures, within reason, that the Provost, Vice President, Chancellor, or Vice Chancellor is notified if there are serious safety issues/incidents within their area of responsibility. Supports Return to Work programs within their units. Where the setting is a Regional Campus/Eastern, the academic dean, vice chancellor, and executive director/dean have a shared responsibility to ensure the elements in this section. Department Head/Directors Works with dean/unit director and faculty, supervisors or foreman to identify and allocates resources as deemed appropriate and needed for implementation and maintenance of departmental safety programs.
Ensures, within reason, that faculty and staff members understand and implement responsibilities as listed and assumes responsibility for work and laboratory space, including field sites, and safe operations. Identifies a Departmental Safety Representative. When applicable, establishes curricular goals for safety education of students. Ensures, within reason, that the development and implementation of safety practices, safety protocols, and safety rules for undergraduate and graduate teaching laboratories and work space, including field sites, as well as affiliated shops, storerooms, stockrooms, and corridors within their purview. Reviews EHS-documented safety training for faculty and staff to ensure, within reason, that it is complete and up to date. Ensures, within reason, that all safety practices, protocols, and safety rules are fully and regularly discussed by faculty and staff. Includes discussion of safety training and goals in regular annual reviews of faculty and staff. Works with EHS to respond to regular inspections of both teaching and research laboratories. o After receipt of the laboratory/work space inspection report meets with faculty members to discuss cited violations and to ensure, within reason, that timely actions to protect personnel and facilities and that the department remains in compliance with all applicable federal, state, university, local, and departmental codes and regulations. Ensures, within reason, that the health and safety of departmental personnel, authorized visitors (including student volunteers, visiting scholars, vendors, and contractors), and students any time there is a change in use of departmental space. Develops and maintains a list of Return to Work options within their department or unit with the assistance of faculty members, principal investigators, and supervisors as appropriate.
Faculty Member/Principal Investigator Works with dean and department head to identify and allocate resources as deemed appropriate and needed for implementation and maintenance of laboratory or field safety needs. Ensures, within reason, that supervisors and lab personnel understand and implement responsibilities as listed and assumes responsibility for workplace and/or laboratory space, including field sites, and safe operations. Participates in appropriate safety training. Implements the curricular goals for safety education of students. Ensures, within reason, that principle-based safety education and specific safety training relating to their areas of research is provided to students, lab personnel, and staff within their workplace and/or laboratories.
Regularly reviews EHS-documented safety training of workplace and/or laboratory members to confirm it is complete and up to date. Safety is regularly discussed during research group meetings. Develops a Chemical Hygiene Plan that is specific to the activities occurring in the laboratory or work area. Serves as safety advisor and mentor for students, staff, and laboratory personnel who work and study under their supervision, and encourages group discussion of “near misses”. Sets clear expectations that laboratory personnel, students, and staff under his or her direction must understand and follow safety practices and protocols. o Sets an example by following all pertinent safety rules when working in the laboratory or work area. o Always wears personal protective equipment (PPE) that is compatible to the degree of hazard. o Promotes good housekeeping practices in the laboratory or work area. o Safety needs will vary according to the activities, materials and equipment present in the work area. The faculty member/PI develops specific standard operating procedures (SOPs) for activities, materials and equipment that present particular hazards, and incorporates the SOPs into the chemical hygiene plan or other safety plan for the program
Enforces all health and safety practices, protocols, and rules within his or her laboratory space, including field sites. Institutes disciplinary measures for students, staff, and laboratory personnel who repeatedly violates these rules. Ensures, within reason, that the appropriate personal protective equipment is available and used by all personnel in the laboratory. Responsible to conduct periodic hazard analysis of all program activities to identify potential risks or areas in need of additional safety measures or training. Conducts periodic formal safety, chemical hygiene, and housekeeping inspections, including review of the Chemical Hygiene Plan and SOPs, for laboratories and work areas under their purview. Ensures, within reason, that all approved visitors (including student volunteers, visiting scholars, vendors, and contractors) follow the safety rules. Ensures, within reason, that all laboratory incidents are rapidly and properly reported. Any incidents of a safety matter including those that involve medical attention, property damage, or have a high probability of becoming a liability claim must be reported immediately to EHS or Risk Management.
Reports promptly any safety related facility problem or improperly functioning safety equipment that present a safety risk to the Departmental Safety Representative and department head. Reports all safety-related incidents to the Departmental Safety Representative. Develops and maintains a list of Return to Work options within their areas of responsibility with the assistance of the workplace supervisor.
Laboratory/Workplace Supervisor or Foreman Works with their immediate supervisor (faculty member, department head or director) to identify and allocate resources as deemed appropriate and needed for implementation and maintenance of laboratory or field safety needs. Receives appropriate safety training. Reads, understands, and follow all safety rules and regulations that apply to their work area. Develops safe practices, safety protocols, and safety rules for areas under their purview. Sets clear expectations that students, staff, and other personnel under his or her direction must understand and follow safety practices and protocols. o Sets an example by following all pertinent safety rules when working in the laboratory or work area. o Always wears personal protective equipment (PPE) that is compatible to the degree of hazard. o Promotes good housekeeping practices in the laboratory or work area. Works with their immediate supervisor to rapidly address unresolved, unsafe practices, hazardous conditions, and safety equipment malfunctions. Immediately responds to all safety-related incidents - call 911 in emergency. Any incidents of a safety matter including those that involve medical attention, property damage, or have a high probability of becoming a liability claim must be reported immediately to EHS or Risk Management. Directly participates in the investigations for all incidents and near-misses. Ensures, within reason, that new safety measures are implemented within the lab and/or workplace safety program. Works with their immediate supervisor to conduct periodic hazard analysis of lab and/or workplace practices to identify areas in need of additional safety measures or training. Develops and maintains a list of Return to Work options within their area of responsibility. Works directly with injured employees to get them working again within the employee’s medical restrictions.
Employees/Laboratory workers (laboratory personnel and staff) Receive appropriate safety training. Read, understands, and follows all safety rules and regulations that apply to the work area. Conduct each operation in accordance with the work area specific chemical hygiene procedures and implements new safety measures as appropriate. o Develops good personal work area safety habits, including use of PPE as appropriate for each procedure that involves hazards and promoting good housekeeping practices in the laboratory or work area. Report all safety incidents to managing supervisor and faculty member. o Immediately reports any job-related illness or injury or property damage to the supervisor and faculty member. Report unresolved, unsafe practices or hazardous conditions to the work area supervisor and faculty member. Participate in periodic safety inspections of work areas. Participates in Return to Work program. Student safety expectations are outlined in SECTION V-3. University Standards of Student Conduct.
6 May 2016 ITEM FOR ACTION RE:
Proposal to Revise Student Code of Policies and Procedures
The attached policy is submitted to the Board of Trustees for consideration. It has received the appropriate administrative review and approval.
EXECUTIVE SUMMARY The University desires to revise the Student Code of Policies and Procedures, as shown in the attached redlined document, to better describe the processes for filing a sexual harassment complaint. Revisions and/or amendments to this policy were submitted to and approved by the USUSA Academic Senate, the USUSA Executive Committee, the Faculty Senate, the Vice President of Student of Affairs, the Provost, and the President. The following is a summary of the revisions to Student Code of Policies and Procedures:
Section II-2: clarifies that student disciplinary process is designed to be fair and equitable but is not subject to constitutional due process requirements or other constitutional protections;
Section V-3: o provides information about where to report incidents of sexual violence or interpersonal violence; o clarifies University’s obligation to to stop the sexual misconduct, prevent its recurrence, and correct the discriminatory effects on the complainant and others, if appropriate.
Section V-5: provides that if a student code violation relates to the University’s sexual harassment policy, the complainant will receive notice of the discipline imposed on the respondent.
Section V-6: -5: provides that if a student code violation relates to the University’s sexual harassment policy, the complainant will receive notice of a hearing board determination.
Section VII-3:
o coordinates language and process with USU Policy 305; o clarifies that sexual misconduct complaints may not be resolved using informal methods of compromise or settlement;
Section VIII-2: clarifies that hearing board panels for hearings involving sexual misconduct do not include other students;
Section VIII-3: clarifies that appeal panels for hearings involving sexual misconduct do not include other students;
RECOMMENDATION The President and the Vice President for Student Affairs recommend that the Board of Trustees approve the revisions to Student Code of Policies and Procedures for Utah State University.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, The University desires to revise the Student Code of Policies and Procedures, as shown in the attached redlined document; WHEREAS, Revisions and/or amendments to this policy were submitted to and approved by the USUSA Academic Senate, the USUSA Executive Committee, the Faculty Senate, the Vice President of Student of Affairs, the Provost, and the President; and WHEREAS, The procedures for amending the Student Code of Policies and Procedures have been followed: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees approve the revisions to the Student Code of Policies and Procedures for Utah State University effective 6 May 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES:
__________________________ Date
ARTICLE II Responsibilities and Rights SECTION II-‐2 Rights of Students Students can reasonably expect the following: A The right to a learning environment free of harassment and unlawful discrimination. B The right to due process in all academic integrity and disciplinary proceedings , which means fundamental and procedural fairness in accordance with the provisions of this Student Code. The disciplinary proceeding procedures are structured to provide a uniform and equitable process for imposing discipline. The disciplinary procedures are not subject to the same due process requirements or other rights established in criminal courts. C The right to inquire, including specifically the right to engage in reasonable academic discussion and dissent within the framework of course material, with due regard to factors such as class size and the limits on the instructor's time for conferences. D The right, subject to time, place, and manner restrictions, to express personal opinions on campus, to support or oppose causes, to arrange public assemblies, and to hold rallies, demonstrations, and pickets which do not materially and substantially interfere with normal University activities or the rights of others. Institutional control of facilities shall not be used as a censorship device. Any institutional regulation regarding time, place, and manner of expression must be content-‐neutral, must be narrowly tailored to serve a significant University interest, and must leave open ample alternative channels of communication. E The right to organize and the freedom of association. F The right to publish and the freedom from censorship. G The right to meaningful representation in the formulation of University policies which affect students. H The right to a proper academic evaluation through orderly procedures and announced criteria designed to prevent prejudice and capricious judgment. I The right to confidentiality of records and due limitation of disclosure of personally identifiable information.
ARTICLE V University Regulations Regarding Student Conduct SECTION V-‐3. University Standards of Student Conduct All Misconduct violations (or suspected Misconduct violations) shall be reported to the Vice President for Student ServicesAffairs by faculty, staff, and students who have knowledge or information regarding the same. Sexual Misconduct violations may also be reported to campus law enforcement, the Title IX Coordinator in the AA/EO Office, or to a Deputy Title IX Coordinator. For more information about reporting sexual violence or interpersonal violence. See http://aaeo.usu.edu/files/uploads/Reporting_Options.pdf. . . . B. Misconduct. In accord with the principles of “community” endorsed by the University (see: Preface), the conduct listed below and the conduct described in paragraph C. has been found to interfere with University functions or threaten the well-‐being and the educational purposes of students. Any student who engages in proscribed conduct shall be subject to discipline under Article V, Section V-‐5. Misconduct includes but is not limited to: 23. Wrongfully inflicting physical or mental duress, harm, or abuse upon another person, including but not limited to verbal abuse, threats and intimidation, stalking, sexual violence, arson, and murder. a. Utah State University will not tolerate sexual assault/violence in any form, including incidents which arise in acquaintance and date situations. Where there is reasonable cause that a sexual or interpersonal assault/violence has occurred, the University will take steps to stop the conduct, prevent its recurrence, and correct the discriminatory effects on the complainant and others, if appropriate. As part of this effort, the University will pursue strong disciplinary action against students who have engaged in sexual misconduct, including the possibility of suspension or expulsion from the University. b. Stalking occurs when (1) a student intentionally or knowingly engages in a course of conduct directed at a specific person that would cause a reasonable person to fear bodily injury or to suffer emotional distress; (2) the student has knowledge or should have knowledge that the specific person will be placed in reasonable fear of bodily injury or will suffer emotional distress; and (3) the student's conduct induces fear in the specific person of bodily injury or causes emotional distress. The course of conduct must have occurred on two or more occasions, and consist of either (a) maintaining a visual or physical proximity to the specific person or (b) conveying verbal or written threats, or threats implied by conduct,
or a combination thereof, directed at or toward the specific person. c. Threats of suicide. Threats of harm to self or others, bodily harm to self or others disruptive and/or threatening behavior may be pursued under this section. 24. Sexual harassment. Sexual harassment is defined under the Utah State University Policy Number 339, Utah State University Policy Manual, as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, when: a. submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or a student's academic success. b. submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting such individuals. c. such conduct unreasonably interferes with an individual's work or academic performance or creates an intimidating, hostile, or offensive working or learning environment. Sexual harassment may include, but is not limited to: (1) continued or repeated verbal abuse of a sexual nature; (2) repeated offensive sexual flirtations, advances, propositions; (3) graphic verbal commentaries about an individual's body; (4) sexually degrading words used to describe an individual; and (5) sexual assault/violence.
SECTION V-‐5. Misconduct Proceedings This section applies to proceedings to determine if a Misconduct violation has occurred and, if so, to determine the appropriate disciplinary penalty. . . . H. At any time during the hearing (or appeal) process, the parties may reach an agreement concerning the violation and an appropriate disciplinary penalty, thereby rendering further proceedings unnecessary. A written statement shall be prepared stating the agreed violation and penalty; it shall be signed by the student and filed with the Vice President for Student ServicesAffairs. If the discipline relates to a violation of the University’s sexual harassment policy, the Vice President for Student ServicesAffairs shall notify the complaining party of the imposed discipline.
SECTION V-‐6. Recording and Disclosure of the Disciplinary Penalty A. A penalty of disciplinary probation, suspension, expulsion, or denial or revocation of degree shall be entered upon the student's transcript after the completion of the above processes. B. Without prior consent of the student subject to discipline, the Vice President for Student ServicesAffairs shall provide to a complaining party a copy of the final Hearing Board report related to a disciplinary action for violation of University’s sexual harassment policy. B.C. Upon the specific written release of the student, the Vice President for Student ServicesAffairs shall make available a copy of the final Hearing Board report which has resulted in a disciplinary action of probation, suspension, expulsion, or denial or revocation of degree to a prospective/present employer, parent (if the student is over the legal age), and other persons or entities. If a report is not available because a hearing was not conducted, a summary statement regarding the disposition of the violation shall be provided. Such a report or summary statement will be disclosed, without the prior consent of the student, to another educational institution that has requested the record and at which the student seeks or intends to enroll; but the University will make a reasonable attempt to notify the student (or his or her parent if under the legal age) of the disclosure and, upon request, provide the student with a copy of the record that was disclosed. No other information shall be provided to a third party without the express written release of the student. C.D. A student's record may be cleared of a disciplinary probation, suspension by the Vice President for Student ServicesAffairs following the end of the designated penalty period, if there has been no further problem with the student. A written request for expunging the record is required and shall be initiated by the student with a letter to the Vice President for Student ServicesAffairs. A copy of the request shall be forwarded to the Office of Student Records. The Vice President may convene a Hearing Board to review the request, if deemed appropriate or necessary. If the request is granted, the Vice President for Student ServicesAffairs shall notify the Office of Student Records. E. A student's record may not be cleared of an expulsion or revocation of a degree. A designation with a course grade indicating an Honor System violation involving academic dishonesty may not be removed from the student’s transcript after the student’s degree has been posted to the transcript.
ARTICLE VII University Regulations Regarding Discrimination and Harassment SECTION VII-‐3. Procedures for Grievances Relating t o Discrimination or Harassment A. Utah State University is committed to equity in education for its students and that they not be discriminated against/harassed because of race, color, national origin, religion, sex, gender identity, sexual orientation, age (40 and older), disability, or veteran status as a protected veteran. Consistent with its prohibition against sex discrimination, Utah State University prohibits and is committed to addressing and preventing sexual violence In addition, discrimination on the basis of sexual orientation for employees in all aspects of employment and for students in academic programs and activities is prohibited. B.A. C. Students utilizing the grievance procedure (the “grievant”) shall begin the procedure no later than 1820 days from the date of the last occurrence of the discrimination or harassment. Failure of the person against whom the grievance is made (the "respondent") to respond within the specified time, if any, at any level in the procedure will allow the grievant to proceed to the next step. B. D.C. Information related to discrimination or harassment grievances will be considered confidential. All investigation/inquiries and hearings surrounding such grievances shall, to the maximum extent possible, protect the privacy of and minimize suspicion toward the respondent, as well as the grievant. Retaliation is prohibited against any individual who has made a complaint, testified, assisted, or participated in any way in an investigation, proceeding, or hearing in regard to such a grievance. A.D. At any time during the hearing/appeal process, the parties may resolve the matter by mutual agreement thereby rendering further proceedings unnecessary. However, A written statement setting forth the agreement shall be prepared and filed with the AA/EO Director and the Vice President for Student ServicesAffairs. However, sexual misconduct complaints may not be resolved using informal methods of compromise or settlement. E. The matter shall be handled as follows: 1. The grievant is encouraged, but is not required, to first confer with the instructor, graduate supervisory committee, the staff member, or other person involved in the grievance in an attempt to resolve the problem. This step 1 does not apply to complaints of sexual misconduct. 2. If the grievance is not resolved in step 1, the grievant is encouraged, but not required, to confer with the department head or unit director who shall, within 30 days, conduct an inquiry and attempt to resolve the matter impartially and as quickly as possible. This step 2 does not apply to complaints of sexual misconduct. 3. If the grievant does not elect to confer with the individuals listed in steps 1 and 2, or if the student utilizes steps 1 and 2 but the grievance is not resolved, the
student may discuss his or her grievance with the AA/EO Director (Old Main 161). Complaints of sexual misconduct, wherever reported, will always be directed to the Title IX Coordinator. The role of the Title IX Coordinator and the AA/EO Director is not to act as an advocate for the grievant, but to collect, review, and objectively analyze facts pertinent to the grievance. 4. If the information given by the grievant is sufficient to establish that a potential violation of discrimination laws has occurred, the Title IX Coordinator and/or the AA/EO Director will explain the options which are available to the grievant to address the alleged violation. If the grievant wishes to proceed, the student shall fill out, sign, and date a written complaint outlining the facts and circumstances surrounding the grievance. 5. 5. An inquiry/investigation shall be conducted by the AA/EO Director (in the case of sexual misconduct the Title IX Coordinator) within 35 60 days from the date the written complaint is filed with the Title IX Coordinator and/or AA/EO Office; however, the AA/EO Director/Title IX Coordinator may adjust deadlines upon good cause. The purpose of the inquiry/ investigation is to gather facts, substantiate or refute the complaint, and mediate a resolution, if possible. The inquiry/investigation may include, at the sole discretion of the Title IX Coordinator and/or AA/EO Director, some or all of the following: (1) collection of documents pertinent to the complaint; (2) interview of persons having knowledge of the incident(s); (3) summarization of the findings and conclusions. For more information about the investigation process see USU Policy 305. 6. If either the grievant or the respondent is not satisfied with the outcome of the investigation/inquiry, he or she may appeal by filing with the Title IX Coordinatotaor and/or AA/EO Director a written request for a hearing within 10 days of the completion of the inquiry/investigation. The request shall outline the specific issues , facts, or circumstances being appealed. 7. . . .If the respondent is a student, and that student could be subject to disciplinary action, the hearing shall be conducted by a Grievance Board pursuant to procedures outlined in Sections VI-‐3, VI-‐4, and VI-‐ 6.I. [: a student shall not be subject to disciplinary action for exercising his or her First Amendment right of free speech, except as such right has been limited by civil rights laws.] The two faculty members on the Grievance Board shall be selected by the President of the University from the AA/EO Advisory Council and shall be trained as provided for other hearing board members. 8. If resolution of the grievance does not involve the potential of disciplinary action against a student, Tthe appeal hearing shall be conducted by a Grievance Board consisting of six members of the AA/EO Advisory Council, selected by the President of the University. The Grievance Board members shall be trained as provided for hearing board members generally. The hearing shall be conducted in general accord with procedures outlined in Sections VI-‐3, VI-‐4, and VI-‐6.1. B.F. 9. The appeal hearing shall be closed to the general public. Only the following individuals will be allowed into the hearing room: (1) Grievance Board; (2) a University attorney, who shall act as advisor to the Grievance Board when needed; (3) the department head or unit director; (4) the Title IX Coordinator and/or AA/EO Director;
(5) the parties involved; (6) the parties' advisors, if any; and (7) any witnesses. Witnesses will be present only at the time of their testimony and will not be permitted to hear the testimony of other witnesses. All persons present at the hearing shall treat the matters discussed therein as confidential. 10. The parties involved have the procedural rights set forth in Section VI-‐4., which include but are not limited to: a. challenge any member of the Grievance Board for bias in the case. b. be accompanied by an advisor of their own choice (i.e., parent, legal guardian, attorney, faculty member, USUSA student advocate, or other person). The advisor shall merely counsel the respective party and shall not be permitted to speak or participate directly in the hearing; provided that, if a party is incapacitated, an advisor (who is not an attorney) may directly assist. c. If a party is hearing impaired, an interpreter will be provided, where necessary, and the party may present his or her case through an interpreter or other communication device. If a party does not have adequate communication skills in the English language, a translator will be provided, where necessary, and the party may present his or her case through a translator. d. be notified in advance of the time, date, and location of the hearing. [Should any of the parties fail to attend, the hearing will be conducted without them.] e. make a statement, question witnesses, and examine the evidence against him or her. 11. The Title IX Coordinator or the AA/EO Director shall make a statement which shall include a summation of the investigation/inquiry. 12. The Grievance Board members may ask questions of anyone in attendance. 13. At the conclusion of the hearing, the Grievance Board shall deliberate in private, but may invite a University attorney and/or the AA/EO Director into the deliberation session. 14. The Grievance Board shall prepare a written report of its findings, conclusions, and recommendation and forward it to the President of the University within 45 days from the date the written request for a hearing was filed. 15. The President of the University shall review the report and may accept or modify the recommendation. The decision of the President is final. 16. A copy of the final decision shall be given to the Vice President for Student ServicesAffairs, the Title IX Coordinator, AA/EO Director, and shall be made available to the grievant and the responding party. and to any other person which is directly affected by the decision
ARTICLE Vlll. University Regulations Regarding Hearing Boards C. SECTION Vlll-‐1. Procedural Rights of Students Regarding Hearing Boards . . . SECTION VIll-‐2. Organization, Function, and Authority of Hearing Boards A. A hearing board shall hear all incidents involving alleged violations of University Standards presented to it by the Vice President for Student ServicesAffairs and all grievances not relating to discrimination or to harassment. Complaints of discrimination, including complaints of sexual misconduct, shall be handled in accordance with USU Policy 305. E. When a matter is referred for a hearing, the hearing board pool chair shall: (1) designate four students (which may include him or herself) and two faculty members, from the pool to act as the Honor Board to hear an academic integrity matter or to act as the Grievance Board to hear an academic grievance and (2) designate four students (which may include him or herself), one faculty member, and one professional staff employee from the pool to act as the Hearing Board to hear a matter not involving an academic integrity violation or as the Grievance Board to hear a nonacademic grievance. For hearings involving sexual misconduct, the Hearing Board shall consist of four faculty members, and two professional staff members, with a faculty member serving as chair. Hearing Boards shall be formed so as to give all pool members equal opportunity to serve, but a strict rotation is not required. An Honor Board or Hearing Board shall elect one of the stu dent members to serve as a voting chair. A Grievance Board hearing an academic grievance shall select one of the two faculty members to serve as a voting chair; on other Grievance Boards, the faculty member shall serve as the voting chair. A.
A.
SECTION Vlll-‐3. Appeal of Hearing Board Decisions A. On or before April 30th of each year, the President of the University shall appoint one student, one faculty member, and one professional staff employee to serve as the Appeals Board for the upcoming academic year. For discipline related to violations of the University’s sexual harassment policies, including sexual misconduct, the Appeals Board will include three members of the AA/EEOC Advisory Board. The Appeals Board members may not concurrently serve as hearing board pool members, but if possible, the appointees will have previously served as a hearing board member. The faculty member shall serve as chair. All Appeals Board members will be trained regarding hearing procedures; no member shall serve on an appeal unless his or her training is completed. B. The decision of an Honor Board or a Hearing Board may be appealed by the student who was found to have committed an academic integrity violation or a Misconduct violation. In sexual misconduct cases, both the complainant and the respondent may appeal the decision of the Hearing Board. The Appeal must be made in writing to the Vice President for Student ServicesAffairs within 10 days from the date a copy of the hearing board’s report is mailed or delivered to the student. Any other party may appeal the decision within the 10-‐ day period on the sole basis of new evidence (F.4., below). B. J C. If no appeal is filed within the time provided, the decision shall become final. (The President of the University must approve the imposition of the penalties of suspension and expulsion from the University. S-‐see: Section V-‐4.ESection V-‐5.F.) C. K D. If an appeal is made, the Vice President for Student ServicesAffairs shall refer the matter, with all supporting documentation, to the chair of the Appeals Board. The Vice President for Student ServicesAffairs shall inform the parties of the names of the members of the Appeals Board. D. E. E. The parties involved shall have the opportunity to challenge the Appeals Board for bias in the case. The challenge shall be reviewed and acted upon by the Provost, in collaboration with the chair of the Appeals Board. Familiarity with the alleged violation or persons involved in the hearing, or other bias may be sufficient reason to honor the challenge and direct the appointment of a replacement on the Appeals Board by the President of the University. L M Guidelines for the Appeals Board are as follows: NF. F. An appeal shall be limited to a review of the initial hearing and supporting documents for one or more of the following purposes: 1. To determine whether the original hearing was conducted fairly in light of the alleged violation and evidence presented, and in conformity with prescribed procedures giving all parties a reasonable opportunity to prepare and present evidence. 2. To determine whether the decision reached regarding the student was based on substantial evidence; that is, whether the facts in the case were sufficient to
establish that it was more likely than not that a violation occurred or that the imposition of a disciplinary penalty for an academic integrity violation was warranted. Substantial evidence is more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate to support a conclusion. 3. To determine whether the penalty imposed was appropriate for the violation which the student was found to have committed. 4. To consider new evidence, sufficient to alter a decision, or other relevant facts not brought out in the original hearing, because such evidence and/or facts were not known to the person appealing at the time of the original hearing. O G. If new evidence and/or facts could be the basis for altering either the decision or the penalty, the matter shall be remanded to the original Honor Board or Hearing Board for reopening of the hearing to allow reconsideration of the original determination and/or penalty; the Board shall report its conclusion to the Appeals Board for further review in the appeal process. H. If new evidence and/or facts are not presented, the Appeals Board may confirm or modify the decision of the hearing board and/or may uphold or reduce the penalty imposed by the hearing board. The Appeals Board may also remand the case to the original hearing board to reconsider whether the penalty should be increased; the hearing board shall report its determination to the Appeals Board for further review in the appeal process P . Q I. Upon conclusion of an appeal in an academic integrity case, the Appeals Board shall forward to the Provost written findings, along with a recommendation as to the disposition of the matter. If the recommendation alters the decision of the Honor Board, a copy of the Board's decision shall be attached to the recommendation. The Provost shall review the recommendation and forward it to the President of the University, together with his or her own separate recommendation of endorsement or disagreement. R J. Upon conclusion of an appeal in a case involving a Misconduct violation, the Appeals Board shall forward to the University President written findings, along with a recommendation as to the disposition of the matter. A copy shall be forwarded to the Vice President for Student ServicesAffairs. If the recommendation alters the decision of the Hearing Board, a copy of the Board's decision shall be attached to the recommendation. S K. The University President may accept or modify the recommendation of the Appeals Board. The President's decision is final. A copy of the final decision will be made available to the appropriate dean, Provost, and the Vice President for Student ServicesAffairs. The Vice President for Student ServicesAffairs shall notify the instructor, the student, or and individual complainant, if any, of the President’s decision. D. L. Upon the decision to impose temporary disciplinary action, the Vice President for Student ServicesAffairs or the University President shall notify the student by the
most expeditious means available. Upon notification of the temporary disciplinary action, the procedures under Sections VllI-‐1 V-‐6 shall be followed.
ARTICLE II Responsibilities and Rights SECTION II-‐2 Rights of Students Students can reasonably expect the following: A The right to a learning environment free of harassment and unlawful discrimination. B The right to due process in all academic integrity and disciplinary proceedings in accordance with the provisions of this Student Code. The disciplinary proceeding procedures are structured to provide a uniform and equitable process for imposing discipline. The disciplinary procedures are not subject to the same due process requirements or other rights established in criminal courts. C The right to inquire, including specifically the right to engage in reasonable academic discussion and dissent within the framework of course material, with due regard to factors such as class size and the limits on the instructor's time for conferences. D The right, subject to time, place, and manner restrictions, to express personal opinions on campus, to support or oppose causes, to arrange public assemblies, and to hold rallies, demonstrations, and pickets which do not materially and substantially interfere with normal University activities or the rights of others. Institutional control of facilities shall not be used as a censorship device. Any institutional regulation regarding time, place, and manner of expression must be content-‐neutral, must be narrowly tailored to serve a significant University interest, and must leave open ample alternative channels of communication. E The right to organize and the freedom of association. F The right to publish and the freedom from censorship. G The right to meaningful representation in the formulation of University policies which affect students. H The right to a proper academic evaluation through orderly procedures and announced criteria designed to prevent prejudice and capricious judgment. I The right to confidentiality of records and due limitation of disclosure of personally identifiable information.
ARTICLE V University Regulations Regarding Student Conduct SECTION V-‐3. University Standards of Student Conduct All Misconduct violations (or suspected Misconduct violations) shall be reported to the Vice President for Student Affairs by faculty, staff, and students who have knowledge or information regarding the same. Sexual Misconduct violations may also be reported to campus law enforcement, the Title IX Coordinator in the AA/EO Office, or to a Deputy Title IX Coordinator. For more information about reporting sexual violence or interpersonal violence. See http://aaeo.usu.edu/files/uploads/Reporting_Options.pdf. . . . B. Misconduct. In accord with the principles of “community” endorsed by the University (see: Preface), the conduct listed below and the conduct described in paragraph C. has been found to interfere with University functions or threaten the well-‐being and the educational purposes of students. Any student who engages in proscribed conduct shall be subject to discipline under Article V, Section V-‐5. Misconduct includes but is not limited to: 23. Wrongfully inflicting physical or mental duress, harm, or abuse upon another person, including but not limited to verbal abuse, threats and intimidation, stalking, sexual violence, arson, and murder. a. Utah State University will not tolerate sexual assault/violence in any form, including incidents which arise in acquaintance and date situations. Where there is reasonable cause that sexual or interpersonal violence has occurred, the University will take steps to stop the conduct, prevent its recurrence, and correct the discriminatory effects on the complainant and others, if appropriate. As part of this effort, the University will pursue strong disciplinary action against students who have engaged in sexual misconduct, including the possibility of suspension or expulsion from the University. b. Stalking occurs when (1) a student intentionally or knowingly engages in a course of conduct directed at a specific person that would cause a reasonable person to fear bodily injury or to suffer emotional distress; (2) the student has knowledge or should have knowledge that the specific person will be placed in reasonable fear of bodily injury or will suffer emotional distress; and (3) the student's conduct induces fear in the specific person of bodily injury or causes emotional distress. The course of conduct must have occurred on two or more occasions, and consist of either (a) maintaining a visual or physical proximity to the specific person or (b) conveying verbal or written threats, or threats implied by conduct,
or a combination thereof, directed at or toward the specific person. c. Threats of suicide. Threats of harm to self or others, bodily harm to self or others disruptive and/or threatening behavior may be pursued under this section. 24. Sexual harassment. Sexual harassment is defined under the Utah State University Policy Number 339, Utah State University Policy Manual, as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, when: a. submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or a student's academic success. b. submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting such individuals. c. such conduct unreasonably interferes with an individual's work or academic performance or creates an intimidating, hostile, or offensive working or learning environment. Sexual harassment may include, but is not limited to: (1) continued or repeated verbal abuse of a sexual nature; (2) repeated offensive sexual flirtations, advances, propositions; (3) graphic verbal commentaries about an individual's body; (4) sexually degrading words used to describe an individual; and (5) sexual assault/violence.
SECTION V-‐5. Misconduct Proceedings This section applies to proceedings to determine if a Misconduct violation has occurred and, if so, to determine the appropriate disciplinary penalty. . . . H. At any time during the hearing (or appeal) process, the parties may reach an agreement concerning the violation and an appropriate disciplinary penalty, thereby rendering further proceedings unnecessary. A written statement shall be prepared stating the agreed violation and penalty; it shall be signed by the student and filed with the Vice President for Student Affairs. If the discipline relates to a violation of the University’s sexual harassment policy, the Vice President for Student Affairs shall notify the complaining party of the imposed discipline.
SECTION V-‐6. Recording and Disclosure of the Disciplinary Penalty A. A penalty of disciplinary probation, suspension, expulsion, or denial or revocation of degree shall be entered upon the student's transcript after the completion of the above processes. B. Without prior consent of the student subject to discipline, the Vice President for Student Affairs shall provide to a complaining party a copy of the final Hearing Board report related to a disciplinary action for violation of University’s sexual harassment policy. C. Upon the specific written release of the student, the Vice President for Student Affairs shall make available a copy of the final Hearing Board report which has resulted in a disciplinary action of probation, suspension, expulsion, or denial or revocation of degree to a prospective/present employer, parent (if the student is over the legal age), and other persons or entities. If a report is not available because a hearing was not conducted, a summary statement regarding the disposition of the violation shall be provided. Such a report or summary statement will be disclosed, without the prior consent of the student, to another educational institution that has requested the record and at which the student seeks or intends to enroll; but the University will make a reasonable attempt to notify the student (or his or her parent if under the legal age) of the disclosure and, upon request, provide the student with a copy of the record that was disclosed. No other information shall be provided to a third party without the express written release of the student. D. A student's record may be cleared of a disciplinary probation, suspension by the Vice President for Student Affairs following the end of the designated penalty period, if there has been no further problem with the student. A written request for expunging the record is required and shall be initiated by the student with a letter to the Vice President for Student Affairs. A copy of the request shall be forwarded to the Office of Student Records. The Vice President may convene a Hearing Board to review the request, if deemed appropriate or necessary. If the request is granted, the Vice President for Student Affairs shall notify the Office of Student Records. E. A student's record may not be cleared of an expulsion or revocation of a degree. A designation with a course grade indicating an Honor System violation involving academic dishonesty may not be removed from the student’s transcript after the student’s degree has been posted to the transcript. ARTICLE VII University Regulations Regarding Discrimination and Harassment SECTION VII-‐3. Procedures for Grievances Relating t o Discrimination or Harassment A. Utah State University is committed to equity in education for its students and that they not be discriminated against/harassed because of race, color, national origin, religion, sex, gender identity, sexual orientation, age (40 and older), disability, or status as a
protected veteran. Consistent with its prohibition against sex discrimination, Utah State University prohibits and is committed to addressing and preventing sexual violence B. Students utilizing the grievance procedure (the “grievant”) shall begin the procedure no later than 180 days from the date of the last occurrence of the discrimination or harassment. Failure of the person against whom the grievance is made (the "respondent") to respond within the specified time, if any, at any level in the procedure will allow the grievant to proceed to the next step. C. Information related to discrimination or harassment grievances will be considered confidential. All investigation/inquiries and hearings surrounding such grievances shall, to the maximum extent possible, protect the privacy of and minimize suspicion toward the respondent, as well as the grievant. Retaliation is prohibited against any individual who has made a complaint, testified, assisted, or participated in any way in an investigation, proceeding, or hearing in regard to such a grievance. D. At any time during the hearing/appeal process, the parties may resolve the matter by mutual agreement thereby rendering further proceedings unnecessary. A written statement setting forth the agreement shall be prepared and filed with the AA/EO Director and the Vice President for Student Affairs. However, sexual misconduct complaints may not be resolved using informal methods of compromise or settlement. E. The matter shall be handled as follows: 1. The grievant is encouraged, but is not required, to first confer with the instructor, graduate supervisory committee, the staff member, or other person involved in the grievance in an attempt to resolve the problem. This step 1 does not apply to complaints of sexual misconduct. 2. If the grievance is not resolved in step 1, the grievant is encouraged, but not required, to confer with the department head or unit director who shall, within 30 days, conduct an inquiry and attempt to resolve the matter impartially and as quickly as possible. This step 2 does not apply to complaints of sexual misconduct. 3. If the grievant does not elect to confer with the individuals listed in steps 1 and 2, or if the student utilizes steps 1 and 2 but the grievance is not resolved, the student may discuss his or her grievance with the AA/EO Director (Old Main 161). Complaints of sexual misconduct, wherever reported, will always be directed to the Title IX Coordinator. The role of the Title IX Coordinator and the AA/EO Director is not to act as an advocate for the grievant, but to collect, review, and objectively analyze facts pertinent to the grievance. 4. If the information given by the grievant is sufficient to establish that a potential violation of discrimination laws has occurred, the Title IX Coordinator and/or the AA/EO Director will explain the options which are available to the grievant to address the alleged violation. If the grievant wishes to proceed, the student shall fill out, sign, and date a written complaint outlining the facts and circumstances surrounding the grievance.
5. An inquiry/investigation shall be conducted by the AA/EO Director (in the case of sexual misconduct the Title IX Coordinator) within 60 days from the date the written complaint is filed with the Title IX Coordinator and/or AA/EO Office; however, the AA/EO Director/Title IX Coordinator may adjust deadlines upon good cause. The purpose of the inquiry/ investigation is to gather facts, substantiate or refute the complaint, and mediate a resolution, if possible. The inquiry/investigation may include, at the sole discretion of the Title IX Coordinator and/or AA/EO Director, some or all of the following: (1) collection of documents pertinent to the complaint; (2) interview of persons having knowledge of the incident(s); (3) summarization of the findings and conclusions. For more information about the investigation process see USU Policy 305. 6. If either the grievant or the respondent is not satisfied with the outcome of the investigation/inquiry, he or she may appeal by filing with the Title IX Coordinator and/or AA/EO Director a written request for a hearing within 10 days of the completion of the inquiry/investigation. The request shall outline the specific issues or circumstances being appealed. 7. . . . 8. The appeal hearing shall be conducted by a Grievance Board consisting of six members of the AA/EO Advisory Council, selected by the President of the University. The Grievance Board members shall be trained as provided for hearing board members generally. F. 9. The appeal hearing shall be closed to the general public. Only the following individuals will be allowed into the hearing room: (1) Grievance Board; (2) a University attorney, who shall act as advisor to the Grievance Board when needed; (3) the department head or unit director; (4) the Title IX Coordinator and/or AA/EO Director; (5) the parties involved; (6) the parties' advisors, if any; and (7) any witnesses. Witnesses will be present only at the time of their testimony and will not be permitted to hear the testimony of other witnesses. All persons present at the hearing shall treat the matters discussed therein as confidential. 10. The parties involved have the procedural rights set forth in Section VI-‐4., which include but are not limited to: a. challenge any member of the Grievance Board for bias in the case. b. be accompanied by an advisor of their own choice (i.e., parent, legal guardian, attorney, faculty member, USUSA student advocate, or other person). The advisor shall merely counsel the respective party and shall not be permitted to speak or participate directly in the hearing; provided that, if a party is incapacitated, an advisor (who is not an attorney) may directly assist. c. If a party is hearing impaired, an interpreter will be provided, where necessary, and the party may present his or her case through an interpreter or other communication device. If a party does not have adequate communication skills in the English language, a translator will be provided, where necessary, and the party may present his or her case through a translator. d. be notified in advance of the time, date, and location of the hearing. [Should any of the parties fail to attend, the hearing will be conducted without them.]
e. make a statement, question witnesses, and examine the evidence against him or her. 11. The Title IX Coordinator or the AA/EO Director shall make a statement which shall include a summation of the investigation/inquiry. 12. The Grievance Board members may ask questions of anyone in attendance. 13. At the conclusion of the hearing, the Grievance Board shall deliberate in private, but may invite a University attorney into the deliberation session. 14. The Grievance Board shall prepare a written report of its findings, conclusions, and recommendation and forward it to the President of the University within 45 days from the date the written request for a hearing was filed. 15. The President of the University shall review the report and may accept or modify the recommendation. The decision of the President is final. 16. A copy of the final decision shall be given to the Vice President for Student Affairs, the Title IX Coordinator, AA/EO Director, and the grievant and the responding party.
ARTICLE Vlll. University Regulations Regarding Hearing Boards SECTION Vlll-‐1. Procedural Rights of Students Regarding Hearing Boards . . . SECTION VIll-‐2. Organization, Function, and Authority of Hearing Boards A. A hearing board shall hear all incidents involving alleged violations of University Standards presented to it by the Vice President for Student Affairs and all grievances not relating to discrimination or to harassment. Complaints of discrimination, including complaints of sexual misconduct, shall be handled in accordance with USU Policy 305. E. When a matter is referred for a hearing, the hearing board pool chair shall: (1) designate four students (which may include him or herself) and two faculty members, from the pool to act as the Honor Board to hear an academic integrity matter or to act as the Grievance Board to hear an academic grievance and (2) designate four students (which may include him or herself), one faculty member, and one professional staff employee from the pool to act as the Hearing Board to hear a matter not involving an academic integrity violation or as the Grievance Board to hear a nonacademic grievance. For hearings involving sexual misconduct, the Hearing Board shall consist of four faculty members, and two professional staff members, with a faculty member serving as chair. Hearing Boards shall be formed so as to give all pool members equal opportunity to serve, but a strict rotation is not required. An Honor Board or Hearing Board shall elect one of the stu dent members to serve as a voting chair. A Grievance Board hearing an academic grievance shall select one of the two faculty members to serve as a voting chair; on other Grievance Boards, the faculty member shall serve as the voting chair.
SECTION Vlll-‐3. Appeal of Hearing Board Decisions A. On or before April 30th of each year, the President of the University shall appoint one student, one faculty member, and one professional staff employee to serve as the Appeals Board for the upcoming academic year. For discipline related to violations of the University’s sexual harassment policies, including sexual misconduct, the Appeals Board will include three members of the AA/EEOC Advisory Board. The Appeals Board members may not concurrently serve as hearing board pool members, but if possible, the appointees will have previously served as a hearing board member. The faculty member shall serve as chair. All Appeals Board members will be trained regarding hearing procedures; no member shall serve on an appeal unless his or her training is completed. B. The decision of an Honor Board or a Hearing Board may be appealed by the student who was found to have committed an academic integrity violation or a Misconduct violation. In sexual misconduct cases, both the complainant and the respondent may appeal the decision of the Hearing Board The Appeal must be made in writing to the Vice President for Student Affairs within 10 days from the date a copy of the hearing board’s report is mailed or delivered to the student. Any other party may appeal the decision within the 10-‐day period on the sole basis of new evidence (F.4., below). C. If no appeal is filed within the time provided, the decision shall become final. (The President of the University must approve the imposition of the penalties of suspension and expulsion from the University. See:Section V-‐4.E.) D. If an appeal is made, the Vice President for Student Affairs shall refer the matter, with all supporting documentation, to the chair of the Appeals Board. The Vice President for Student Affairs shall inform the parties of the names of the members of the Appeals Board. E. The parties involved shall have the opportunity to challenge the Appeals Board for bias in the case. The challenge shall be reviewed and acted upon by the Provost, in collaboration with the chair of the Appeals Board. Familiarity with the alleged violation or persons involved in the hearing, or other bias may be sufficient reason to honor the challenge and direct the appointment of a replacement on the Appeals Board by the President of the University. Guidelines for the Appeals Board are as follows: F. An appeal shall be limited to a review of the initial hearing and supporting documents for one or more of the following purposes: 1. To determine whether the original hearing was conducted fairly in light of the alleged violation and evidence presented, and in conformity with prescribed procedures giving all parties a reasonable opportunity to prepare and present evidence. 2. To determine whether the decision reached regarding the student was based on substantial evidence; that is, whether the facts in the case were sufficient to establish that it was more likely than not that a violation occurred or that the imposition of a disciplinary penalty for an academic integrity violation was warranted. Substantial evidence is more than a mere scintilla. It means such
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relevant evidence as a reasonable mind might accept as adequate to support a conclusion. 3. To determine whether the penalty imposed was appropriate for the violation which the student was found to have committed. 4. To consider new evidence, sufficient to alter a decision, or other relevant facts not brought out in the original hearing, because such evidence and/or facts were not known to the person appealing at the time of the original hearing. If new evidence and/or facts could be the basis for altering either the decision or the penalty, the matter shall be remanded to the original Honor Board or Hearing Board for reopening of the hearing to allow reconsideration of the original determination and/or penalty; the Board shall report its conclusion to the Appeals Board for further review in the appeal process. If new evidence and/or facts are not presented, the Appeals Board may confirm or modify the decision of the hearing board and/or may uphold or reduce the penalty imposed by the hearing board. The Appeals Board may also remand the case to the original hearing board to reconsider whether the penalty should be increased; the hearing board shall report its determination to the Appeals Board for further review in the appeal process Upon conclusion of an appeal in an academic integrity case, the Appeals Board shall forward to the Provost written findings, along with a recommendation as to the disposition of the matter. If the recommendation alters the decision of the Honor Board, a copy of the Board's decision shall be attached to the recommendation. The Provost shall review the recommendation and forward it to the President of the University, together with his or her own separate recommendation of endorsement or disagreement. Upon conclusion of an appeal in a case involving a Misconduct violation, the Appeals Board shall forward to the University President written findings, along with a recommendation as to the disposition of the matter. A copy shall be forwarded to the Vice President for Student Affairs. If the recommendation alters the decision of the Hearing Board, a copy of the Board's decision shall be attached to the recommendation. The University President may accept or modify the recommendation of the Appeals Board. The President's decision is final. A copy of the final decision will be made available to the appropriate dean, Provost, and the Vice President for Student Affairs. The Vice President for Student Affairs shall notify the instructor, the student, and individual complainant, if any, of the President’s decision. Upon the decision to impose temporary disciplinary action, the Vice President for Student Affairs or the University President shall notify the student by the most expeditious means available. Upon notification of the temporary disciplinary action, the procedures under Sections V-‐6 shall be followed.
WRITTEN REPORTS
1.
Advancement/Alumni
2.
Athletics
3.
Business and Finance
4.
Classified Employees Association
5.
Executive Vice President and Provost
6.
Extension and College of Agriculture
7.
Faculty Senate
8.
Innovation and Commercialization
9.
Professional Employees Association
10. Public Relations and Marketing 11. Research and Graduate Studies 12. Student Services 13. USU Eastern 14. USUSA
Advancement
Advancement
Central Advancement is working to hire several new Development Officer positions: one in Central Development, two in Athletics. A new Development Officer for the Huntsman School of Business started his employment at USU on April 11, 2016. Regional Campus activity continues to move forward. Tooele, Blanding, Moab and USU Eastern are all moving forward with fundraising mini-campaigns for scholarships and facilities. Central Advancement and Alumni are planning donor and alumni engagement events for the summer.
Fundraising Progress October 13, 2012 – March 31, 2016 (Gifts, Pledges & Planned Gifts) Endowment Scholarships Academic Support Program/Unrestricted Endowment Total
$10,670,708.93 $2,636,015.74 $1,506,132.86 $14,812,857.53
Current Operations Scholarships Academic Support Program/Unrestricted Current Operations Total
$10,129,021.01 $1,863,773.41 $35,503,203.99 $47,495,998.41
Facilities Total
$64,590,199.12
Research Total
$13,536,572.81
Total Raised
$140,435,627.87
Fundraising Progress July 01, 2015 – March 31, 2016 (Gifts, Pledges & Planned Gifts) Endowment Scholarships Academic Support Program/Unrestricted Endowment Total
$3,987,878.86 $489,425.02 $125,753.78 $4,603,057.66
Current Operations Scholarships Academic Support Program/Unrestricted Current Operations Total
$2,105,879.55 $147,161.60 $6,938,985.37 $9,192,026.52
Facilities Total
$11,772.506.19
Research Total
$2,065,713.77
Total Raised
$27,633,304.14
Alumni
The USU Credit Union / University Welcome Center - The Advancement and Alumni staff will begin moving into the facility later this summer. Groups, including USU Emeriti and Admissions, will have a presence in the space. Other groups and corporate partners are being engaged as donors and sponsors of the space. The Alumni Relations office recently reorganized, refocusing the efforts of four existing advancement and alumni staff to provide enhanced alumni services. The concierge-like positions plan and oversee alumni activities in specific regions of the United States, qualify alumni for deeper engagement with the university, and cultivate a portfolio of approximately 120 alumni through personal exchanges. Alumni that show greater giving potential are transitioned to development officers for fundraising. Engagement efforts for alumni and donors are part of an ongoing strategy to foster ongoing connections with the University in ways that lead to long term investments for alumni and friends. These efforts include communication and ongoing stewardship efforts in a variety of platforms, analog and electronic. The Alumni Association has worked with Mike Glauser, Director of the Jeffrey D. Clark Center for Entrepreneurship, to host eight alumni events throughout the country which will coincide with Glausers book signing tour. Glauser will speak to alumni at each of these events; alumni in attendance will receive a complimentary copy of his book, Main Street Entrepreneur. Glauser’s publicity and publication teams are working hand in hand with the Alumni Association to create and support events for alumni in key cities throughout the U.S. The Alumni Association continues to raise money for scholarships and advance the University’s reputation through its Aggie plate program. The association increased the potential of this program this year by creating Aggie desk plates, designed initially for out-of-state alumni but embraced by instate Aggies. Desk plates are renewed annually and will provide a new stream of revenue to support student scholarships. Efforts are also underway with the Texas DMV to make official license plates available to the 2,700 alumni in that state. The Alumni Relations office held its most successful fundraising golf tournament in August of last year, with over 96 players. The tournament raised $18,344 (net) for scholarships and Alumni Association operations. The Association is working with GoldenWest Credit Union to host the 2016 Annual Alumni Golf Tournament scheduled for August 29, 2016. Top sponsors are Young Automotive Group and USU Charter Credit Union, a division of Goldenwest. The Emeriti Association presented its third annual set of $7,000 scholarships April 18. Recipients were Chambray Cribbs and Phoebe Nielson. Scholarships are awarded from an endowment fund for which the Emeriti membership raise money, along with the support of the USU Advancement department. The Alumni Association encouraged tailgating last year with its first ever Tailgater of the Year competition. The grand prize is use of a custom tailgating trailer donated by Sam T. Evans at each of next year’s games. The trailer includes a tv, sound system, barbecue, and more and was recently awarded to the Mike Cornett family for the 2017 football season. When not in use at the games, the trailer is used for other regional alumni events and is key in increasing the visibility of the Alumni Association. The Association hosted two successful events in 2016 to engage Young Alumni in Utah. The Swaner Snowcase drew more than 250 participants and introduced alumni to the remarkable educational resources in Summit County at the Swaner EcoCenter. Nearly 200 alumni and their families attended the Young Alumni pregame party, which coincided with the last USU men’s basketball game. An Alumni Exclusive True Aggie Night will be held April 22 to celebrate the 100 year anniversary of the beloved Block A. The Alumni Association recently held their Alumni Hall of Honor, April 9 and inducted awardees: Shari Badger, president of Lee’s MarketPlace; Dr William Brindley, retired USU professor of Biology; Mark Faldmo, owner and executive officer of Columbus Travel; and the Honorable Edwin T. Peterson, presiding judge of the Eight District Court.
ATHLETICS Name: Telephone: E-mail: Date:
John Hartwell 797-2060
[email protected] April 20, 2016
Events, Actions, or Issues Since Last Trustee Meeting ACADEMICS
INTERNAL CHANGES The Aggies will move Outbound ticket sales under the umbrella of new hire, Paul Finn. We will continue efforts to increase ticket sales internally instead of with a third-party. Paul Finn was named Assistant Athletic Director for Big Blue Scholarship Fund. He began his responsibilities on April 18. He will oversee the Big Blue Scholarship Fund, outbound ticket sales and ticket operations at Utah State. The Athletics Department welcomed Mike Canales and Stacy Collins to Utah State as additions to the football coaching staff. SPORTS UPDATES Men’s Tennis – Utah State men’s tennis ended their regular season 21-7, 6-1 in Mountain West Play. The Aggies have already clinched a share of the regular season Mountain West title, and they will have to wait for matches to be played this week [of April 18] to see where other teams finish. Men’s Track & Field – Utah State's men's indoor track & field team finished runner-up to Air Force at the 2016 Mountain West Indoor Championships in February, 2016. Air Force won the team title with 142 points, followed by Utah State (141), Colorado State (138), New Mexico (101), Wyoming (70) and Boise State (64). It's the highest finish by the Aggies at the MW Indoor Championships since joining the conference.
Vice President for Business and Finance
Name: Telephone: E-mail: Date:
David T. Cowley 797-1146
[email protected] 6 May 2016
Events, Actions, or Issues since Last Trustee’s Meeting:
Finance: o The State Appropriated Funds budget at 31 January 2016 totaled $354,503,214, up $14,837,242 (4.37%) over the same 2014-2015 period. The year-to-date state appropriated funds expenditures totaled $173,141,133, down $1,035,355 (0.59%) from the same 20142015 period and represented 49% of the total budget. The percent of budget expended, 49%, was 9% less than would be expected to be spent on a strict time of budget year expired basis. Total expenditures for all funds totaled $465,459,555, up $35,055,799 (8.14%) over the same 2014-2015 period. o Report of Investments for January 2016 is included in the Trustees Consent Agenda. Included in the Report of Investments are schedules reporting the investment activity for January 2016 and comparative year-to-date totals for FY2015-2016 and FY2014-2015. The schedules include the Cash Management Investment Pool, Endowment Pool, Other Investments, Endowment Trusts, and Plant Fund Trusts. Also included is the Summary of Investment Transactions. The University’s average daily fair value invested for the month of January was $644,162,749. Purchases totaled $45,925,988 and sales totaled $33,673,018. From this activity the University realized net losses of $173,588 and earnings of $1,066,456. The Cash Management Investment Pool trailing 12-month rate of return was 1.58% at 31 January 2016. The Endowment Pool trailing 12-month rate of return was -1.16% at 31 January 2016. Facilities: o Jon M. Huntsman School of Business Addition - GSBS/LMN was the architect and Spindler Construction was selected as the Construction Manager / General Contractor (CMGC). Interior finishes and site work are in the final phase. Landscaping will begin after commencement. o Maverik Stadium Renovation – Method Studio and AECom were selected as the architects. Okland Construction was selected as the CMGC. Construction is underway and on schedule. o Fine Arts Addition and Renovation – Sparano Mooney was selected as the Architect. Gramoll Construction selected as the CMGC. The scene shop addition has been sent out for bid with construction scheduled to begin in March. Renovations to the Kent Concert Hall and Tippets Gallery are underway.
o Kaysville Education Center Classroom Addition – CSRA Architects were selected as the design team. Funding from Davis County Extension will be included in the project. Programing and design work are underway. o Valley View Housing Replacement – Method Studio was selected as the design team. Programing and design work are completed and the project is out to bid. Construction to begin in the Spring of 2016. o Clinical Services – Jacoby Architects were selected as the design team. R&O Construction was selected as the CMGC. Programing is complete and design work is nearing completion. Construction to begin in the Spring of 2016. o Space Dynamics Lab Phase II – CRSA Architects were selected as the design team. R&O Construction was selected as the CMGC. Programing is complete and design work is underway. Construction is scheduled to begin in the Spring of 2016. o USU Credit Union – USU Credit Union selected Bott Pantone Architects and Wadman Construction. Construction underway. o Life Sciences Building – CRSA Architects / Payette were selected as the design team. Program is complete and the project has been funded. Information Technology: o Students benefit at registration time from IT’s focus on continual improvement The words “smooth” and “fast” have not always been associated with the priority registration process. There was a time when priority registration meant that thousands would be trying to book classes at the same time. On occasion, there would be system outages. Frustration increased. Students had to wait. The goal was clear but it appeared the end zone was miles away. A lot has changed over the past couple years. This Spring, priority registration went so smoothly that it was like a jog into the end zone. At times, registrations were being processed at a rate of more than 700 a minute and at the end of four nights nearly 50,000 classes had been booked. Three things contributed to the success of registration this month:
Load testing (where thousands of course registration requests are fed into a test system) has become a regular part of preparing for the real thing. In a recent test, USU's system was able to process 8,300 class registrations in 2.5 minutes. These tests helped IT identify and fix any potential problems before registration begins.
Additional registration time slots have been created to better manage registration load. On the first day of priority registration, seniors now enroll in three shifts, making the rush for desired classes more manageable. The same is true for juniors, sophomores, and freshmen, with each group having a night and time slot set aside for registering.
Continuous upgrades to registration software have made the entire process faster and more stable.
o Information Technology utilizes ServiceNow to find smarter ways to meet campus needs ServiceNow is a platform or an underlying computer system, that allows IT and others on campus to create custom applications that save USU employees time and simplify routine procedures. For just one example, the multi-step process that employees were expected to use to simply request a day off or to schedule a vacation week could sometimes take days. It required employees to fill out duplicate paperwork that had to be processed by hand. A new approach allows people to submit leave requests electronically, giving supervisors the ability to compare calendars, plan, and approve requests in minutes. o Nearly 500 cameras throughout USU offer added security, research flexibility In recent years, nearly 500 cameras have been installed on USU campuses state wide. The need to respect privacy is always considered, so cameras are strategically placed in those areas that can best enhance USU’s security efforts. For police, the cameras improve incident response time and helps prevent theft. The cameras also allow animal-science professors and students to monitor the condition of animals; a time-consuming task that used to require many overnight hours being onsite with the animals. The cameras are managed with Milestone XProject video-management software.
CEA President: Telephone: E-Mail: Date:
Brian Joy 435-797-0515
[email protected] 20 April 2016
Events, Actions or Issues since last Trustees’ Meeting CEA council member Wade Perkins attended UHESA’s spring meeting with PEA President Todd Hugie in Saint George on 31 March and 1 April. Continuing joint meetings with PEA Executive Committee to discuss the associations’ efforts in concert Upcoming Events, Activities or Issues CEA Annual Appreciation Luncheon moved to May UHESA summer meeting to be hosted at USU
Office of the Executive Vice President and Provost Noelle E. Cockett, Executive Vice President and Provost
[email protected] • 435-797-1167
6 May 2016 Events, Actions, or Issues Since the Last Trustee’s Meeting Dr. James N. Long, professor in the Department of Wildland Resources, was named as the first recipient of the Theodore W. Daniel Professorship in Forestry. The professorship is supported by an endowment established by the late Utah State University professor and his family. Dr. Long’s welldeserved recognition was announced at the S.J. and Jessie E. Quinney College of Natural Resources Annual Awards Banquet on March 19. Dr. Long was first hired as an assistant professor in 1980 with a specialty in the production of coniferous forests and quantitative silviculture. He has been the major advisor to ten masters’ students, ten PhD students, and four post-doctoral fellows. Dr. Long was also a Fulbright Fellow at the University of Edinburgh from 1991 to 1992 and spent sabbaticals in Seville, Spain from 2001 to 2002 and at the Universitá degli Studi di Torino from 2010 to 2011. Further, in 1991 he was elected a Fellow of the Society of American Foresters (SAF) and in 2005 SAF presented him with the Barrington Moore Memorial Award for Distinguished Biological Research. Dr. Aaron Brough, Assistant Professor in the Department of Management, won the Audience Choice Award at the Qualtrics Insight Summit in February of 2016. He competed against professors from Duke, Stanford and CUNY in presenting their research in the “Tell Me Something I Don’t Know” contest, hosted by Stephen Dubner, the author of Freakonomics. At the annual Robins Awards event on April 16, the winners of three university-wide faculty awards sponsored by the Office of the Executive Vice President and Provost were announced as follows from the eight college nominations: Eldon J. Gardner Teacher of the Year – Dr. Pamela A. Dupin-Bryant, professor in the Department of Management, Jon M. Huntsman School of Business; Faculty University Service Award – Dr. Cathy Ferrand Bullock, associate professor in the Department of Journalism and Communications, College of Humanities and Social Sciences; and Undergraduate Faculty Advisor of the Year – Dr. Shannon Peterson, clinical associate professor in the Department of Economics and Finance, Jon M. Huntsman School of Business. As part of the 2017 U.S. News & World Report Best Education Graduate School rankings, the Emma Eccles Jones College of Education and Human Services was named one of the top 50 graduate education programs in the nation. The Best Education Schools rankings, which are among the most prestigious rankings in higher education, moved the college from an overall 33rd ranking to 30th. Additionally, the college gained considerable ground in its ranking of research funding, moving up from twelfth place to fifth place. The college raised a total of $50.6 million during the 2014-15 academic year, which is at a similar or higher level than many other notable universities. It was also the only education program in Utah listed within the top 50 ranking. U.S. News & World Report bases its graduate school rankings on a weighted average of 10 quality measures, including faculty resources, peer assessments and GRE scores for doctoral students.
Several Utah State University Honors Program students won major scholarships this spring. To note a few: Ms. Madelyn Fife, student of Political Science and Economics, won a Truman Scholarship; Mr. Benjamin Lovelady, student of Physics, won a Goldwater Scholarship; and Mr. Alexander Cook, student of Biological Engineering, earned a Goldwater Honorable Mention.
Ms. Hailey Fonda, student of Interior Design, won first place in the Durkan Discover Design Competition and will receive a $2,500 prize scholarship. The competition was established to exhibit the talent of designers in the hospitality design field and had over 400 entries from across the country. Ms. Fonda’s winning design for a hotel carpet will be on display at the Durkan booth during the HD Expo: A Hospitality Design Event show in Las Vegas, where Ms. Fonda will also be accepting her award. Four other Durkan awards also went to Utah State University Interior Design students: second place award to Ms. Megan Turner; third place award to Ms. Amber Judd; fourth place award to Ms. Michelle Carabajal; and fifth place award to Ms. Allison Guymon. The students’ submissions for the competition were completed in connection with a course project in the design studios of Mr. Darrin S. Brooks and Ms. Susan Tibbitts, both faculty in the Department of Art and Design. Dr. Jessica L. Lucero and Dr. Jennifer Roark, assistant professors in the Department of Sociology, Social Work, and Anthropology, recently developed the Transforming Communities Initiative, a program that brings community leaders together with social work faculty and students to promote students’ engagement in community-based research. As a result, students have conducted research and reported on various community issues, including the needs of refugees in the state of Utah and community member’s understanding of fair housing laws and practices. During the spring semester, the University Libraries collaborated with graduate students taking a class on Beat poets taught by Dr. Paul J. Crumbley, professor in the Department of English, which culminated in a reading and exhibition in the Library’s lower gallery on April 13. Students read their own work along with special guest, Beat poet Gino Sky, to the backdrop of a jazz combo. The studentcurated exhibition, drawn from the Library’s extensive holdings in Beat little magazines, chapbooks, and broadsides, was on display throughout the month of April. On April 7 and 8, the Nora Eccles Harrison Museum of Art hosted the international symposium A Matter of Taste: Art, Kitsch, and Culture, complementing the exhibition currently on view of the same title. The symposium featured 15 invited artists, scholars, and curators who presented and discussed topics ranging from the role of kitsch in contemporary art, understanding kitsch in a global context, kitsch in 20th century music, and much more. The symposium also featured a film screening and concluded with an evening of “karaoke kitsch” were karaoke was performed with a live band. All events were free and open to the public and received significant participation from faculty and students on campus. Dr. Nancy K. Glomb, Associate Dean for the Southwest Region, has been provided office space on the Dixie State University (DSU) campus where she works closely with deans, directors, and the DSU provost to identify Utah State University programs that can be offered on the Dixie State University campus. With the support of DSU, St. George area professionals are being recruited to join programs such as Utah State University’s Professional Broadcast Master in Business Administration Program and the Master of Human Resources Executive Program, both of which will be available in St. George this fall.
College of Agriculture and Applied Sciences Highlights Five students from USU’s Aviation Maintenance Management program took first place among 22 school teams at the 2016 Aerospace Maintenance Competition (AMC) in April. AMC is an international competition in which students, professionals and military teams compete in 25 timed events. USU students Autumn Allinson, Chase Baune, Kendall Chapman, Stephen Colton and Justin Young travelled to Dallas for the event. Tasks included removing and replacing a starter from a turbine engine, answering questions about aviation history, extracting lost screws with a borescope, and more. Each task or test had a time limit, and penalties for not following directions, failing to adhere to industry practices or incorrect test responses. USU came out victorious with the lowest combined time among the schools. In addition, in the airspeed indicator troubleshooting event the USU team took second place overall, coming out ahead of professional and military teams.
USU Extension Highlights USU Extension 4-H youth learned firsthand about the lawmaking process in a mock legislative session held at the Utah State Capitol building in April. The 4-H members presented and debated real bills from the 2016 legislative session on the House floor of the Utah State Capitol. The youth went through the entire legislative process by studying bills prior to the event, presenting or sponsoring the bills, presenting the bills in committees and passing or rejecting the bills on the House floor. State Representative Paul Ray of Davis County, along with members of the Office of Legislative Research, sponsored the event and were joined by other Utah senators and representatives in observing the proceedings. Mock Legislature is designed to help youth gain valuable life skills such as public speaking, debating, conflict resolution, disagreeing in a civil manner, critical thinking and negotiating.
FACULTY SENATE REPORT TO THE BOARD OF TRUSTEES April 2016 Submitted on behalf of Ronda Callister, President of the Faculty Senate The Utah State University Faculty Senate held its regularly scheduled meetings March 14, and April 4, 2016. EVENTS, ACTIONS OR ISSUES SINCE THE LAST TRUSTEES MEETING: The Faculty Senate accepted the annual reports from the following University and Faculty Senate Committees and Councils: Budget and Faculty Welfare Committee; Faculty Diversity, Development and Equity Committee, Educational Policies Committee, Honorary Degrees and Awards Committee, and the Professional Responsibilities and Procedures Committee. KEY ISSUES AND ACTION ITEMS:
405.12.3 College Faculty Appeals Committee (CFAC) Policy – This is a new insertion to the Code and it describes the CFAC makeup and functions. Since it is a new section which will become section 12.3, the remaining current 12.3 will be changed to 12.4 and the current 12.4 changes to 12.5.
402.10.1 Reapportionment fix for missed section - This changes the minimum number of senators from each unit from one to two. This change was approved in a previous section of code (402.3.1) but this section was overlooked and needed to be brought into alignment with the approved code. It also removes the Distance Education from RCDE which has been officially changed by the university.
The Faculty Senate approved education policy actions as follows:
Eighty requests for course actions.
A request from the Department of Management in the Jon M. Huntsman School of Business to transfer the minor in business from the dean’s office to the Management Department.
A request from the Department of Electrical and Computer Engineering in the College of Engineering to remove all emphases in the Electrical Engineering PhD.
The following courses or syllabi were approved: o o o o
ARTH 3340 – African Art (CI) ARTH 3710 – Art, Culture & Crisis in Postwar Britain (CI) ARTH 3910 – Introduction to Film Theory (CI) ARTH 3770 (CI)
A revised excused absence policy.
CURRENTLY UNDER DISCUSSION OR CONSIDERATION:
405.6.2(2) and 405.8.2 Promotion Advisory Committee policy.
402.12 FS Committees proposed changes in committee size.
405.12.3 Edits and corrections to Post Tenure Review policy.
UPCOMING EVENTS, ACTIONS AND ISSUES:
Revise to clarify the confusing and ambiguous sections of code on promotion.
Revisions to the Financial Exigency/Crises sections of code.
Establish an Ombudsman position for informal assistance with conflict and dispute resolution and ideally reduce grievances.
Faculty Senate Elections.
Vice President for Advancement & Commercialization Date: April 19, 2016
Innovation and Commercialization Services
Currently working on 20+ different commercialization projects. Continuing engagement with the Clark Entrepreneurship Center (Mike Glauser) to support and fund student internships. Working with industry expert Mike Zackrison to evaluate and package a suite of educational technology software tools that have been developed in the AIS department. An LLC has been established and spun out for the institution. Negotiations with initial customers/partners (University of Central Florida, University of Utah, and Colorado State University) have taken place and customer contracts are being negotiated. Zhongde Wang received an SBIR grant with Auratus Bio for his work with transgenic hamsters as an ebola model. A license with the company is being negotiated. Bedri Centinar also received an SBIR grant for his work. Currently implementing a commercialization plan for our transgenic hamster models of human disease. Working to submit an NIH SBIR/STTR proposal for applications of spider silk as a coating for catheters. In discussions with BD on applications of spider silk in medical devices. The spider silk scale up facility is operational and is now being used to produce quantities of spider silk. We’ve engaged David Bell as a consultant working with Regan Zane on establishing the SELECT Center. Working with Questar Corporation on the development of an Executive Leadership Development Program that will be hosted at USU in June. Negotiating a distribution agreement for Drs. Ron and Sandi Gillams SKILL manual. Several ongoing conversations with industry partners who are interested in joining SELECT and utilizing the Electric Vehicle Roadway and Test Track Facility for a fee as well as R&D contracts. Recently assisted Jixun Zhan in submitting a 2.3M DOE grant focused on converting lignocellulosic biomass to biofuels and bioproducts. Executed a license agreement for our induced bed reactors. Our spider silk technology participated as an NSF I-corps team and completed that obligation in March. Executed an option agreement with our food safety testing technology. Sales of mesobiliverdin and phycocyanobilin are increasing with Frontier Scientific. One of the world’s largest food suppliers is interested in using PCB as a food dye.
Innovation Campus
Vivint is a new tenant on Innovation Campus currently leasing significant space in existing buildings. Vivint also has plans to break ground on a new 50,000 sq.ft. building on Innovation Campus. Working with Questar Corporation on possibly putting in a new gas regulator station on Innovation Campus. New USURF facility is in the planning process, the architectural design is currently well underway.
Regional Development
Uintah Basin Ozone Study and modeling activities are proceeding.
Professional Employees Association PEA President: Telephone: E-Mail: Date:
Todd Hugie (435) 797-2538
[email protected] April 18, 2016
Events, Actions or Issues since last Trustee’s Meeting Attended and participated with UHESA at St.George Board of Regents meetings, March 2016 Presented our Bring a Friend to Finish Campaign Selecting recipient for Employee of the Quarter Award (January – March 2016), colleen Hobson was the recipient Working on merging PEA and CEA into one Utah State University staff association - Currently writing bylaws and forming committees Upcoming Events, Activities, or Issues •
Planning for the PEA yearly luncheon
•
Selection of PEA quarterly employee for April – June, of 2016
•
Selection of PEA employee of the year award
•
Selection of students to receive PEA scholarships
•
Continual work on merging the PEA and CEA staff associations
•
Hosting UHESA (Utah Higher Education Staff Association) at USU in Logan in July USU staff association will organize and host the meeting
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Media Highlights (February 9 – April 21, 2016): Biological Engineer Patents Method to Make Natural Blue Dye – Phys.org – February 22, 2016 A Utah State University researcher has taken a big step toward making a safer, more natural dye that can be used in the food, textile, cosmetic and other industries. ... Dr. Jixun Zhan, an associate professor of biological engineering at USU, has secured a patent for an innovative method to produce the deep blue dye known as indigoidine. The tint was originally synthesized from a bacterial strain found in Rhode Island and offered a promising alternative to the synthetic dyes used to color jeans, leather, food and paper. ... Zhan says he's confident manufacturers will see the added value of his natural dye process. He says today's consumers are increasingly aware of the synthetic ingredients found in everyday products and are looking for natural substitutes wherever possible. USU researchers studying live Zika virus to develop immunization compound – Deseret News – February 25, 2016 The Zika virus has arrived in Utah, but not inside a mosquito nor in the blood of a traveler from Brazil. Instead, the pathogen is secured in a laboratory at Utah State University as scientists there begin studies at the Institute for Antiviral Research. As mosquito-bourne viruses go, Zika is not new. It's been around since 1947 but hasn't really captured the spotlight until recently. "We've seen a little bit of an emergence in the past five, maybe 10 years, but this last outbreak was unprecedented," said Dr. Justin Julander. Zika has been spreading through countries such as Brazil, but it is also being transmitted by mosquitoes in Puerto Rico, the Virgin Islands and American Samoa. Travelers have also returned to the continental U.S. infected with the virus. Utah State's 121-Year-Old Cheese Course Draws Professionals From All Over – KSL – February 24, 2016 When you think Cache Valley, you probably think of dairy. Utah State University is gaining a reputation as the place to learn how to make quality cheeses. There's a good reason for that: they've been teaching those skills for well over a hundred years. This week, about a dozen cheesemakers from all over the country are at the university. The first cheese courses at Utah State University started up back in 1895, and they haven't stopped teaching the art of 1
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cheese making since then. The course continues to draw professionals from all over the country — even around the world. A recent rise in the number of artisan cheesemakers has brought a demand to teach a more advanced class. The increased interest created a demand for this advanced course — whether it's from budding experts or industry executives. "We get people from the large cheese factories, but we also have some artisans who have been making cheese for a little while, and some people who just want to start," said Carl Brotherson, course instructor and associate director at Western Dairy Center. USU researchers study possible link with video games, social media and marital happiness – Cache Valley Daily – February 25, 2016 According to a new Utah State University study, there may be some correlation between marital unhappiness and the use of social networking and video games. Researchers Jeffrey Dew and Sarah Tulane from the Family, Consumer, and Human Development Department at USU recently studied the effects television use, playing video games and social media use can have on marriages. The two used a survey of married couples to compare the effects the different mediums have. It looked at marital happiness, how often the couples fight with each other and how likely the couples thought their marriage would end in divorce. “We’ve had TV as a medium for six decades now, where social media websites are only 15years old max.” Dew said. “You’ll have message boards before then but video games didn’t really hit mainstream until the 80s. These are kind of two new-types of media that may be impacting families that we were kind of interested in looking at.” Physics of Skipping Stones Could Make Bounceable Naval Weapons – Live Science – February 26, 2016 Skipping elastic balls off water is much easier to do than trying to make stones "hop" across the surface of a lake, but a new study of water-impact physics isn't all fun and games — the research could improve everything from aquatic toys to naval weapons and inflatable rafts, scientists said. Studying how objects ricochet across water has a wide range of applications. For example, during the Age of Sail, when sailing ships ruled the seas for trade and 2
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warfare, cannonballs were skipped over the water to bounce onto decks, killing enemy sailors and breaking masts. "A text titled 'The Art of Shooting [in] Great Ordnaunce' by William Bourne was likely published in 1578, and is the first known account to mention that if cannonballs are fired at a sufficiently low angle they will ricochet across the water surface," said study co-author Tadd Truscott, a fluid dynamicist at Utah State University in Logan. [The Mysterious Physics of 7 Everyday Things]. Former Gov. Huntsman to speak at USU commencement – Desert News – March 16, 2016 Jon M. Huntsman Jr., former governor of Utah and chairman of the Atlantic Council, will serve as Utah State University’s commencement speaker for its 129th graduation ceremony. Huntsman will also receive an honorary doctorate during the ceremony. Four other individuals will also receive honorary doctorates during the ceremony on Saturday, May 7, at the Dee Glen Smith Spectrum in Logan. “We are honored that Mr. Huntsman has accepted our invitation to address our graduating students this year,” USU President Stan L. Albrecht said in a prepared statement. “His service to Utah and his many years of experience overseas in service to the United States should provide a rich and thoughtful sentiment to our graduating class of 2016.” USU business students get new space for learning – KSL – March 20, 2016 Business students at Utah State University now have a new space on campus for classroom learning and private study. University leaders Wednesday officially opened the Jon M. Huntsman Hall, an addition to the existing George S. Eccles Business Building. The project adds 21 classrooms, 21 study rooms, a common area and other facilities to accommodate growing student enrollment at the college. "It's a student-focused building. There are very few faculty offices here," said Dave Patel, associate dean of student and external affairs for the Jon M. Huntsman School of Business. The original business building, now 46 years old, was built for about 1,000 students, but the college now enrolls more than three times that capacity, Patel said. "There's a very real physical need," Patel said. Lights out for USU's 'A' this Saturday – Herald Journal – March 18, 2016 The iconic lighted “A” atop Utah State University’s Old Main tower will go dark for one hour Saturday in the name of combating climate change. At the same time, organizers hope the community participates as well. “What it means, 3
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basically, is that you turn off your lights for one hour,” explained Frank De Leon, a member of the USU International Student Council and organizer of the event. “It’s more than to save energy for one hour; it’s more a simple gesture, where you are saying, ‘I acknowledge climate change is real and it is happening, and we should do something about it.’” Turning off the “A” is part of a global event called Earth Hour, which aims to get people to turn off unnecessary lights and also darken landmarks — like the Eiffel Tower — to show support for taking action on climate change. This year, Earth Hour will take place from 8:30 to 9:30 p.m. March 19, local time. Utah Legislators Provide Science Research Funding – UPR – March 25, 2016 The Utah State Legislative Session wrapped up earlier this month with lawmakers funding Utah State University’s science exploration. Researchers will focus on air quality and water conservation. Lawmakers also provided money to help build a new Life Sciences building and for improvements to an assistive technology lab with resources going to help fund graduate students. $38 million will help pay for the new Life Sciences Building on the Logan campus. The building will be a learning space for a wide variety of programs and departments that study life in general, including cell biology, neuroscience, evolutionary biology and ecology. The building is expected to be finished by 2019. USU faculty member given top research award – Desert News – January 29, 2016 Utah State University has flown more experiments to space than most universities around the world, due in large part to the work of Bruce Bugbee. For his continued demonstration of creative achievement and excellence in research, the College of Agriculture and Applied Sciences researcher is the 2016 D. Wynne Thorne Career Research Award recipient, the most prestigious research accolade given at USU. For 30 years, Bugbee and his students have worked with scientists on a range of NASA-funded projects to develop a life-support system for people traveling to space and investigating how to best grow plants in artificial mediums. Central to Bugbee’s research is the application of the principles of physics to plant biology, to find ways to develop biological life support systems on Earth and in reduced gravity environments. Bugbee’s work drew national attention late last year with the release of the award-winning film “The Martian.” The film is a fictional portrayal of NASA astronaut Mark Watney’s struggle to survive when stranded alone on Mars. National publications reached out to Bugbee to validate the science of the storyline.
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‘The human dimensions:’ CNN’s Fareed Zakaria talks liberal arts education at USU – Herald Journal – April 5, 2016 Speaking to a sold-out crowd Tuesday at Utah State University, CNN host, columnist and best-selling author Fareed Zakaria gave a lecture based on his new book and signed copies of it at the Performance Hall. “In Defense of a Liberal Education,” the book from Zakaria, the expert analyst of global affairs who hosts the weekly CNN Sunday show “Fareed Zakaria GPS,” argues higher education in America is placing more emphasis on degrees that lead to higher-paying jobs, like engineering and biology, and less on liberal arts, which emphasizes writing, communication and critical thinking. Zakaria told attendees of his talk in doing research for the book, he spoke with Facebook founder Mark Zuckerberg and got a surprising answer from him on what spawned Facebook. “He said at the heart of Facebook is not technology but psychology,” Zakaria said. “Before Facebook, no one ever gave out their real name, there were chat rooms. But people want a platform where they can be themselves and communicate with their friends, and if they did that it would be a much richer and deeper platform.” 50 BEST VALUE BACHELOR’S IN EDUCATION: BEST COLLEGE VALUES AWARD 2016 – Best College Values – April 13, 2016 Utah State University is a research university located in Logan, Utah. USU maintains a strong emphasis on undergraduate education and strongly stresses close undergraduate involvement for even their most prestigious faculty and students thus receive numerous benefits that go along with such mentor relationships. The School of Teacher Education and Leadership is ranked by U.S. News and World Report #33 in Best Education Schools. Undergraduate programs are offered in early childhood education, elementary education, the social studies composite secondary teaching major, and the professional education framework leading to secondary education licensure in other teaching majors. Also offered are endorsement programs in early childhood education, reading education, gifted and talented education, ESL education, and administration/supervision certification. Located in the foothills of Utah’s Rocky Mountains, Logan is surrounded by natural beauty, a gateway to countless outdoor activities, and a dream for any outdoor enthusiast. Between the low rate of tuition, and the school’s reputation for quality academics and leadership, USU is most definitely an excellent value. ‘About the students:’ NCAA president visits USU, talks state of college athletics – Herald Journal – April 14, 2016 The president of the National Collegiate Athletics Association got the Utah State University treatment Thursday, meeting with student athletes in a packed Wayne Estes Center and then participating in a forum with the campus community and the 5
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general public. Mark Emmert was invited to campus by USU President Stan Albrecht, who sits on the NCAA governing board and the Division 1 governing board. Emmert said this visit was just one of several he makes to college campuses across the country every year. “It was great fun to be with the student athletes; they’re a great bunch of men and women,” Emmert said in an interview. “They’re very competitive in the classroom, on the court and in the field. They don’t want to spend less time on their sport; they don’t want to spend less time on academics; they would like a little more time on their social life because they’re very, very busy. But mostly, they’re exactly what you see with committed Division 1 students everywhere — they’re managing their time being successful, graduating ahead of the student body here, and they’re pretty happy with their life.” USU panel to hold 6 public meeting on search for new president – Desert News – April 15, 2016 The Utah State University Presidential Search ‘Committee will host six public meetings beginning Wednesday, April 20, to obtain input from members of the community on the search to replace Stan Albrecht, who is retiring. The committee will host inperson meetings in Logan, Vernal and Price, as well as provide opportunities for several of USU’s regional campuses to participate in these meetings through Interactive Video Conferencing from their own campuses. Based on the feedback garnered in these meetings, the committee will approve a position description and call for nominations and applications. The committee will then screen applications for the position and conduct interviews with candidates. After deliberating, the committee will recommend finalists to the Board of Regents. ‘Ignite USU’ mixes personality and research Herald Journal – April 15, 2016 Utah State University student Danielle Christensen was inspired to major in psychology because of the TV show “Lie to Me” and her love of people. As a USU student, she secured research funding for her work in clinical psychology, with an emphasis on veterans and post-traumatic stress disorder. But Christensen realized in conducting her research that she had a love-hate relationship with what she was studying, Christensen told attendees during her talk, “choosing to embrace trauma research” during USU’s Ignite USU event. “I hated what I was learning, but I loved its potential,” Christensen said. “Those emotions are what make this research important.” She added, “I love that being human involves things that are out of our control; we can’t always be overachievers.” In its fourth year, Ignite USU is considered USU Research Week’s most popular event, where a group of graduates and undergraduates give fiveminute presentations on their research and what motivates them to do it. The presentations are meant to go beyond the typical classroom approach and engage people with emotion, personality and creativity about their work. 6
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USU to offer yoga instructor certification Herald Journal – April 18, 2016 A new Utah State University program beginning fall semester will allow students to earn a yoga instructor certification and do it by taking an integrated curriculum approach to the increasingly popular fitness routine. Billed as moving yoga “beyond the mat and into the classroom,” according to a USU news release, the new program will offer courses in yoga literature, history, philosophy and practice for students working to earn a yoga teacher certification through Yoga Alliance, a nonprofit representing teachers, students and studios. The up-and-coming program adds meat on the bones to the yoga classes USU offers now. Chase Fine Arts Center Atrium named for Dell Loy and Lynnette Hansen Deseret News – April 18, 2016 Utah State University’s Chase Fine Arts Center Atrium has been named the Hansen Atrium in recognition of Dell Loy and Lynnette Hansen and their support of the Caine College of the Arts. The atrium is the newest addition to the fine arts complex. Its interior was designed by interior design faculty member Darrin Brooks. Since its opening, it has served as the entrance to the Kent Concert Hall and as a hub for the departments housed within the Chase Fine Arts Center. The Hansens also received the Champion of the Arts Award during ceremony held April 1. The award is presented to individuals who play an important role in furthering the mission of the college. USU alum races 159 miles across Sahara Desert for Cancer Research KSL – April 21, 2016 A Utah State University alumni recently helped support the Huntsman Cancer Institute by completing a rigorous race through the Sahara Desert. During the week-long race, Kaden Comadena ran, climbed and walked 159 miles in the desert while personally carrying supplies he needed to survive the race. Of the race, Comadena said it was “excruciating,” “punishing,” “exhausting” and much more difficult than he thought it would be. “Overall I’m thrilled that I did it and that I got through it and especially the fact that I was able to go through and raise some money for cancer awareness, but it was exhausting and really it pushes you to your limits,” Comadena told KSL.com.
7
Vice President for Research and Dean of the School of Graduate Studies
Name: Mark R. McLellan Telephone: 797‐1180 Email:
[email protected] Date: March‐April 2016 Events, Actions or Issues Since Last Trustee’s Meeting: Proposed USU Policy Revisions Update o Policy # 337: Health and Safety Policy (Complete and ready for Trustee Review/Approval) o Future related policy work driven by changes in federal policy: Open Access to Publications USU Research Data Public Access Obligations Office of Research and Graduate Studies 1) Implementation continues of the new Kuali‐Coeus software to replace aging proposal submission software – Activation date took place on Oct 19. Full campus rollout and training plan currently in process and targeted for Fall 2016. 2) FDA Science Board Meeting (Silver Springs, MD – March 1) 3) iUtah AAAS Accreditation (USU, U of U and BYU) Meetings (U of U Campus – March 7) 4) ORAU Big Data Analytics Meetings – Attended with Curtis Dyreson, College of Engineering, Computer Science Dept. (Oak Ridge, TN – March 8‐10) 5) Guest presenter at U of U Engineering Safety Symposium (U of U Campus – March 15) 6) Training for Research Faculty (TRF) (March 16) “Broader Impacts: How to include them on my proposal” 7) Graduate Council (March 23) 8) Graduate Training Series (GRTS) (March 23) “Getting Smart About Posters and Slides” 9) Research Council (March 24) 10) Mark McLellan selected as USDA Science Advisory Council Chair (April 8) 11) Research Week (see photos on next page) April 11: USU Research Gala (Riverwoods Conference Center) i. Professor Bruce Bugbee recognized as D. Wynne Thorne Career Researcher for 2016 (College of Agriculture and Applied Sciences – Plants, Soils and Climate Dept.) April 12: D. Wynne Thorne Breakfast with past recipients April 13: Faculty Mentor Reception April 13: D. Wynne Thorne Lecture by 2015 Recipient, Professor Alvan Hengge April 14: Graduate and Undergraduate Student Symposium April 15: Student Research Awards Breakfast April 15: Ignite Presentations – Library Atrium 12) April 11: APLU Safety Report released APLU Safety Task Force: Gene Block (honorary chair, UCLA), Mark McLellan (co‐chair, USU) and Taylor Eighmy (co‐chair, University of Tennessee) 13) Sunrise Session featuring USU Graduate & Undergraduate Students (Little America, April 22) CJ Guadarrama, Amy Moser, Brett Hurst and Daisha Cummins 14) NAREEE bi‐monthly teleconferences 15) FDA/FERN monthly teleconferences
Future Events, Actions, or Issues: Quarterly Coordination w/ Tom Parks, U of U VPR (May 12) FDA FoodBev Forum (Miami, May 16‐17) NAREEE Board Meeting, Washington, DC (May 23‐25) USURF Board Meeting (May 26) FDA Board Meeting, Washington, DC (June 15‐16)
Research Week 2016
Utah State University
Sponsored Awards Report FY 2016, Quarter 3
180
• Campus research award dollars are tracking 13.5 percent behind last year’s record-high award amount, however, campus award numbers are tracking only 2.1 percent behind last year. • The College of Engineering leads all campus units in awards (196) and proposals (224). • Karl White in the College of Education received a $1.2 M grant from the Department of Health and Human Services, the largest award this quarter for campus. • USURF received five awards over the $1.0 M mark, including a $2.1 M award from the Air Force Research Lab.
Awards Received
Main Takeaways
$176.4
$167.7
160
$70.5
140
Spring view of Old Main on the Logan campus.
3,000
$186.6 $75.4
$76.8
2,500
$145.9 $56.2
120
1,565 1,382
100
2,000 1,587
1,501
1,500
80 1,000
60 40
500
20 0
$97.2
$89.7
$99.6
$111.2
2012
2013
2014
2015
USU Campus
USU Research Foundation
-
Proposals Submitted
$ Millions
200
# Proposals
USU Awards 2011-2015
Proposals
USU Awards FY 2016 Year-to-Date #
Amt.
USU Campus
842
$84.3 M
USU Research Foundation
251
$79.2 M
39.1%
1093
$163.5 M
5.9%
YTD Total
LY change
USU Proposals FY 2016 Year-to-Date #
Amt. LY change
USU Campus
850
$202.5 M
USU Research Foundation
205
$216.3 M
YTD Total
1055
33.1%
$418.8 M (8.2%)
Utah State University Sponsored Awards Report - APRIL 2016 Notable New Grants FY 2016 Quarter 3
NSF CAREER Award Highlights Since the last report, three USU faculty have been awarded NSF CAREER awards.
Linking nitrification to microbial community in agroecosystems under climate change PI: Jeanette Norton Dept: Plants, Soils & Climate Source: USDA Amount: $150,000 This project will gather preliminary data and assess infrastructure needs to bulid and verify predictive simulation models of nitrification in agroecoystems.
FIT Game: A game-based approach to increase fruit and vegetable intake among children
Jeffery Horsburgh Civil & Environmental Engineering Amount: $507,082
Cyberinfrastructure for Intelligent Water Supply (CIWS): Shrinking Big Data for Sustainable Urban Water
Kyumin Lee Computer Science Amount: $516,005
Amy-Wilson Lopez TEAL Amount: $802,000
Tracking, Revealing and Detecting Crowdsourced Manipulation
Examining Factors that Foster LowIncome Latino Middle School Students’ Engineering Design Thinking in LiteracyInfused Technology and Engineering Classrooms
PI: Gregory Madden Dept: Psychology
USU’s Additional NSF CAREER Awardees
Source: National Institutes of Health
Susannah French, Biology
Amount: $384,927
Roy Sanghamitra, Electrical and Computer Engineering
This project will evaluate affects of game-based intervention to increase elementary school children’s fruit and vegetable consumption at school. Four Cache County schools will be involved.
Study and Recommendations for Instream Flow Requirements PI: Peter Wilcock
David Rosenberg, Civil & Environmental Engineering Oenardi Lawanto, Engineering Education Claudia Radel, Environment and Society Anthony Lowry, Geology Tammy Rittenour, Geology Brian Belland, ITLS Victor Lee, ITLS Nathan Geer, Mathematics and Statistics Peter Adler, Wildland Resources
Total Research Expenditures
Dept: Watershed Sciences Source: UT Reclamation Mitigation and Conservation Commission Amount: $500,000 This projcect conducts sciencebased studies leading to recommendations for instreatm flow regimes on Sixth Water Creek and Diamond Fork River in Utah County.
USU total expenditures (in millions) Rank among all instutions (2,474 total) Rank among public institutions (629 total) Rank among Regents Peers (11 total)
2010
2011
2012
2013
2014
$149.2
$174.2
$157.4
$158.4
$164.9
119
109
119
118
115
87
81
89
86
79
7
5
6
6
6
Utah State University Office of Research and Graduate Studies | 1450 Old Main Hill Logan, UT 84322-1450 | For more detailed charts, visit rgs.usu.edu/spo
STUDENT AFFAIRS
Name: Telephone: e-mail: Date:
James D. Morales 797-9250
[email protected] April 20, 2016
Focus of Student Affairs As a standard part of this report, a page will be included providing updates on enrollment and recruitment activities. The first page of this report will focus on programs and activities relating to the efforts being provided by the many outstanding and supportive departments within the Division of Student Affairs.
Department Reports Exploratory Advising: The Exploratory Advising Center (formerly known as the University Advising Center) has consistently demonstrated a commitment to USU students through the effective programs and activities designed to engage students in the advising process. First, providing advising for exploratory students begins as soon as Student Orientation and Registration. The professional advisors in the Exploratory Advising Center employ researched based strategies to support students as they work towards their educational and personal goals. Most importantly, the center is dedicated to accessibility and customer service. Students are encouraged to schedule an appointment but the center delegates walk-in hours during peak times such as priority registration. The Center recently implemented an online appointment system which has been well received by both students and advisors alike. This has dramatically decreased the number of no show appointments as well as alleviated the frustration for students trying to call in to the office main number. Additionally, over the last 18 months, Exploratory Advising has developed two unique programs to aid in student success. The first is the development of the Aggie Prep Program. A more concerted effort was made to provide the necessary support to students admitted into a two-year Associate Degree program. These students are typically those that would not have an opportunity to attend Utah State. As with all newly admitted students beginning at SOAR, advisors contacted students at integral times, to ensure they were registered for the most appropriate courses to optimize student success. The second program that has been developed and enhanced is the Contract Program. Students who have left the university in less than good standing or who are interested in attending Utah State with a low gpa are screened and admitted on contract. We are looking forward to compiling and sharing the success of these two programs using concrete data this summer. Beginning in May, 2016 we will house the Pre-Health advisor position in our office. The thought and justification for this move includes having this position more closely aligned with similar advising positions as well as to facilitate increased cross training and support. To this end, Exploratory Advising continues to partner with the Academic Resource Center, Career Services and the Disability Resource Center to improve retention rates.
UNDERGRADUATE ENROLLMENT SUMMARY (Apr. 18, 2016) Fall 2016 Summary (Apr. 18, 2016) astern (Blanding) USU SYSTEM HEADCOUNT (Freshman, Transfer, Returning) Logan (Main) Apps Freshman Domestic
Apps
E
Admits Enrolled
Eastern (Blanding) Apps
Regional Campus
Admits Enrolled
Apps
TOTALS
Admits Enrolled
Apps
Admits Enrolled
12,835 10,160
1,428
682
582
13
295
248
1
517
326
14
14,329 11,316
1,456
12,631 10,025
14,102 11,175
1,456
1,428
675
580
13
291
248
1
505
322
14
204
135
0
7
2
0
4
0
0
12
4
0
227
141
0
1,178
970
208
20
20
0
8
8
0
162
130
32
1,368
1,128
240
1,796
947
208
38
20
0
21
8
0
328
128
32
2,183
1,103
240
60
23
0
0
0
0
0
0
0
4
2
0
64
25
0
102
69
33
10
10
0
3
3
0
26
23
3
141
105
36
220
69
33
12
10
0
5
3
0
69
23
3
306
105
36
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
14,115 11,199
1,669
712
612
13
306
259
1
705
479
49
15,838 12,549
1,732
International Transfer Domestic International Returning Domestic International TOTALS
Eastern (Price)
Admits Enrolled
SYSTEM APPLICATION TOTALS CAMPUS
2015
2016
Logan (Main)
15,124
14,647
96.8%
N/A
725
N/A
Eastern (Price) Eastern (Blanding) Regional Campus TOTALS
% of 2015
N/A
317
N/A
1278
902
70.6%
16,402
15,549
94.8%
*Eastern 2016 numbers omitted from total count.
LOGAN HEADCOUNT BREAKDOWN 2015 2016 % of 2015 Admitted Enrolled Admitted Enrolled Admitted Enrolled New Freshman 10,038 2,196 10,160 1,418 101.2% 64.6% Domestic 9,973 2,196 10,025 1,418 100.5% 64.6% Resident 6,735 1,437 6,532 917 97.0% 63.8% Nonresident 3,238 759 3,493 501 107.9% 66.0% International 65 0 135 0 207.7% 100.0% New Transfer Domestic Resident Nonresident International
1,120 1,109 641 468 11
374 374 247 127 0
970 947 557 390 23
208 208 179 101 0
86.6% 85.4% 86.9% 83.3% 209.1%
55.6% 55.6% 72.5% 79.5% 100.0%
Fall 2015 Final Summary
New Freshman Transfer Continuing Returning HS Concurrent/Other Non-Matriculated TOTAL
2014 3,234 1,100 9,676 967 2 35 15,014
USU SYSTEM HEADCOUNT (AAA) LOGAN REGIONAL CAMPUS EASTERN (Price & Blanding) LESS DUPLICATES 2015 % of 2014 2014 2015 % of 2014 2014 2015 % of 2014 2014 2015 3,818 118.1% 541 951 175.8% 554 562 101.4% 247 567 1,148 104.4% 817 880 107.7% 68 82 120.6% 223 393 10,091 104.3% 5,863 7,500 127.9% 771 733 95.1% 2,440 4,063 1,065 110.1% 496 634 127.8% 147 143 97.3% 199 316 0 0.0% 2,349 2,163 92.1% 495 490 99.0% 0 1 76 217.1% 254 262 103.1% 12 5 41.7% 1 4 16,198 107.9% 10,320 12,390 120.1% 2,047 2,015 98.4% 3,110 5,344
TOTAL USU 2014 2015 % of 2014 4,082 4,764 116.7% 1,762 1,717 97.4% 13,870 14,261 102.8% 1,411 1,526 108.2% 2,846 2,652 93.2% 300 339 113.0% 24,271 25,259 104.1%
LOGAN HEADCOUNT BREAKDOWN (Freshman & Transfer) 2014 2015 % of 2014 Admitted Enrolled Admitted Enrolled Admitted Enrolled New Freshman 10,360 3,185 12,054 3,797 116.4% 119.2% Domestic 10,225 3,162 11,893 3,771 116.3% 119.3% Resident 7,052 2,193 8,115 2,585 115.1% 117.9% Nonresident 3,172 969 3,769 1,201 118.8% 123.9% International 135 23 161 26 119.3% 113.0% New Transfer Domestic Resident Nonresident International
1,910 1,877 1,133 744 33
1,062 1,051 688 363 11
2,036 1,975 1,170 805 61
1,126 1,107 708 399 19
106.6% 105.2% 103.3% 108.2% 184.8%
106.0% 105.3% 102.9% 109.9% 172.7%
*Highlighted areas are a recruitment focus for the USU recruitment team.
USU Eastern, April 2016 Price and Blanding Campuses Prepare for Commencement: Commencement in Blanding is scheduled for April 29th at 1:00 PM. Superintendent Douglas Wright (San Juan School District) will address graduates; and San Juan County Commissioner Rebecca Benally will receive the Chancellor’s Medallion, a service award for those who have supported the cause of education. Commencement in Price is scheduled for April 30th at 10:00 AM. Utah Supreme Court Justice and CEU Alum Constandinos Himonas will address graduates; and Representative Brad King will receive the Chancellor’s Medallion. USU Eastern Students Perform Well in Regional and State Automotive Competitions: USU Eastern hosted the regional automotive skills competition and later sent students to the state competition. The following students represented the institution and performed very well: Robbie Mitchell took first place in the region and third place in the state. Jessica White took second in the region. Robbie Jewkes took first in state and will represent the state of Utah in the national SkillsUSA competition during the summer. SOAR and Clusters Coming to USU Eastern Students: In an effort to better align and integrate new student onboarding across the Utah State University system, the offices of Enrollment Services and First Year Experience at USU Eastern have been working with counterparts in Logan to develop a new orientation and advising system. Modeled after the Student Orientation And Registration (SOAR) process in Logan, the program will meet the needs of USU Eastern students in Price and Blanding for Fall 2016. In addition, the Pre-registration program Clusters is being piloted in Price in an attempt to reduce the time new students take to register for courses and bring efficiencies to enrollment management. Medical Assisting Student Wins Statewide Competition: The Medical Assisting program is proud to announce Ms. Jessica Cocciolo as the SkillsUSA state gold medal winner in medical terminology. Ms. Cocciolo has an AS degree from USU Eastern and is currently completing Eastern’s Medical Assisting program. USU’s Mandy Johnson was her medical terminology Instructor, and Ms. Lori Rager is her medical assisting instructor and the Health Professions SkillsUSA Advisor for USU Eastern. USU Eastern Athletics Inks Exclusive Under Armour Apparel Deal: In an effort to raise the profile and brand of Utah State University Eastern Athletics, the department entered a new apparel deal with Under Armour to provide uniforms and apparel. Beginning in 2016, all USU Eastern athletic teams will wear the Under Armour brand, and Under Armour name will be displayed at USU Eastern athletic venues. Athletic Director Dave Paur said the deal elevates the brand of USU Eastern athletics. College Offers First-Generation Student Webinar: The Vice Chancellor for Price Campus Student Success sponsored a webinar, “First-Generation Students: Unique Challenges & Strategies to Help Them Succeed,” exploring critical issues that relate to first-generation students, such as psychological and psychosocial needs, roles as family members first to go to college, postsecondary educator’s techniques for teaching first-generation students, and assessment for campus efforts to create an inclusive institution.
Office of the Student Body President Ashley Waddoups | (435) 705-4221
[email protected]
April 18, 2016
USUSA Trustees Report
USU Global Picnic April 18, 2016 The new Diversity Cabinet sponsored USUSA’s annual Global Picnic, which showcases foods from a variety of cultures. Students participated in cultural exchanges and learned more about diversity at USU. Robin’s Awards April 16, 2016 As always, it was an incredible pleasure to highlight the successes and contributions of our students, faculty, staff and administrators. To name a few of the awardees, USUSA Graduate Studies Senator Ty B. Aller won USU’s Man of the Year; Jeannie Woller won USU’s Woman of the Year and Female Athlete of the Year; and President Albrecht was given the prestigious Lifetime Achievement Award. Inauguration April 15, 2016 The 2016-17 USUSA Officers were inaugurated, marking the beginning of their terms in office. Inauguration was not only a time of excitement, but it was also a time for both outgoing and incoming officers to reflect on their past and future contributions to Utah State. Ignite USU April 15, 2016 In the culminating event of USU’s Research Week, nine student researchers presented at Ignite USU. It was an impressive exhibition of their intellect and wit, but also a display of genuine passion for the university’s mission of learning, discovery and engagement. USUSA Government Relations Council (GRC) National Review Event April 15, 2016 The USUSA GRC held the National Review, an event featuring policy analyst Andrew McCarthy, who discussed America’s interests in the Middle East. The event was well attended, with a turnout of 120 people.
USUSA Awards April 13, 2016 The student association was able to recognize outstanding individuals who contribute to the success of USUSA and Utah State University. Among the many awards given at the USUSA Awards Banquet, each outgoing officer had the opportunity to recognize a member of their cabinet or council who demonstrated dedication and excellence in their work. CHaSS Week April 4-8, 2016 The theme of this year’s CHaSS Week was “CHaSS Your Dreams: Celebrating Education in the Liberal Arts.” If the many activities held this week, there was an ROTC obstacle course, celebrating 100 years of ROTC at USU; a kite-flying competition on the Quad; and a lecture from Washington Post and CNN correspondent Dr. Fareed Zakaria. Quinney College of Natural Resources Week March 28-April 2, 2016 Natural Resources Week began with a showing of “The Martian” film, with an introduction by professor and honored researcher Bruce Bugbee. Students also showed appreciation for QCNR faculty, competed in a bouldering competition, and enjoyed the Logger’s Breakfast. Greek Life Update The Greeks have launched a new 5 year success plan revolving around the areas of growth, service, campus involvement, philanthropy and academic success. To track progress through the plan this semester they are beta testing a new community assessment tool that measures those same areas. Regional Campus Updates Regional campus leadership will be inaugurated Regional campuses will participate in Spring Retreat
April 21, 2016 May 13-14, 2016
Upcoming Events: Earth Day Initiative April 18-22, 2016 The 2015-16 President’s Cabinet is working in conjunction with Aggie Blue Bikes to sponsor a celebration of Earth Day. It will include two service projects, education booths, Yoga on the Quad and a barbecue. A-Week April 18-23, 2016 This year’s A-Week is themed “Always an Aggie.” Events will include the Miss USU Pageant, the Aggie Bull Run, and the End of Year Bash, featuring Charlie Puth. Students and alumni are encouraged to participate in Friday’s special edition of True Aggie Night, which will commemorate 100 years of the A-Block.
ACTION AGENDA 1.
Proposal from the Department of Plants, Soils and Climate in the College of Agriculture and Applied Sciences to offer a Bachelor of Science degree in Climate Science
2.
Proposal from the Department of Management in the Jon M. Huntsman School of Business to transfer the Minor in Business from the Dean’s office to the Management Department
3.
Proposal from the Department of Electrical and Computer Engineering in the College of Engineering to remove all the emphases in the current PhD in Electrical Engineering
4.
Proposal from the Department of English in the College of Humanities and Social Sciences to offer a Baccalaureate degree in English Teaching Composite
5.
Proposal from the Department of Watershed Sciences in the S.J. and Jessie E. Quinney College of Natural Resources to change the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems
6.
Student Fee and Housing Systems Revenue Bonds, Series 2016
7.
Research Revenue Bonds, Series 2016
6 May 2016 ITEM FOR ACTION Utah State University’s Department of Plants, Soils and Climate in the College of Agriculture and Applied Sciences proposes offering a Bachelor of Science degree in Climate Science in the manner described below. EXECUTIVE SUMMARY The Department of Plants, Soils and Climate in the College of Agriculture and Applied Sciences proposes offering a Bachelor of Science degree in Climate Science. RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the proposal to offer a Bachelor of Science degree in Climate Science in the College of Agriculture and Applied Sciences.
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RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Utah State University’s Department of Plants, Soil and Climate in the College of Agriculture and Applied Sciences proposes offering a Bachelor of Science degree in Climate Science, and WHEREAS, The proposed change will provide students with innovative learning environments for educating climate scientists and developing scientifically literate citizens, and WHEREAS, The proposal has been approved by the academic dean, the Educational Policies Committee, and the USU Faculty Senate, and WHEREAS, The proposal has been approved by the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposal to offer a Bachelor of Science degree in Climate Science in the College of Agriculture and Applied Sciences’ Department of Plants, Soils and Climatet and that this proposal be forwarded to the Utah State Board of Regents of the Utah System of Higher Education.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
_________________________________ DATE:
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Executive Summary Higher Education Institution Bachelor of Science Degree in Climate Science 2/29/2016 Program Description The Climate Science Degree (CSD) Program in the Department of Plants, Soils and Climate is focused on understanding the nature and change of the climate system by applying the basic principles of mathematics, physics, and chemistry. The CSD Program will train the next generation of global leaders in climate and climate change sciences while promoting a citizenry informed on the science behind the important environmental and hazard issues of the time. This undergraduate degree program emphasizes the scientific study of the behavior of weather and climate, and applications to the important practical problems of climate prediction and weather forecasting for natural resources. The CSD Program is unique in that it incorporates fundamental knowledge of physical climate with the emergence of a new and more complete approach, encompassing all components of the climate system—atmosphere, water, and land surface—to gain a comprehensive understanding of climate change. Role and Mission Fit As the state’s only land-grant institution and home to the State Climate Office, Utah State University is the logical place to combine both climate science research and higher education. Because of the impact of climate variability on every segment of civilization, including food, water, energy, economy and security, climate science is a quintessential land-grant-university issue. The education mission of Climate Science Degree (CSD) Program is to provide its undergraduate students with a faculty of experienced and knowledgeable educators who provide current content in a field- and classroom-enriched learning environment. Modern facilities and advanced research provides students with the tools and experience required to make professional contributions to science and humanity. The CSD Program will facilitate the Departmental mission in developing innovative learning environments for educating climate scientists and scientifically literate citizens. It distributes knowledge to an audience of peers and citizens through academic literature and diverse professional activities. Faculty USU is the logical place to lead the state’s first climate undergraduate degree with its wide range of expertise in basic sciences, agriculture, engineering, and natural resources—all essential to the study of climate science and climate’s impact on the state’s people, resources, and economy. Climate variability and climate change research is happening at USU across a number of departments and colleges, and faculty resource at USU is sufficient to start the coordinated effort in producing a solid curriculum. To facilitate the CSD program, the Plants, Soils and Climate Department is currently recruiting two additional faculty positions to start in Fall 2016, to address primarily two teaching needs: (1) climate dynamics and modeling as it links climate to extreme weather to forecasting, and (2) paleoclimate observation providing an efficient method of covering the Earth’s past climate variability. These two additional faculty members will greatly strengthen this proposed degree program.
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Market Demand Modern climate sciences require skills in engineering, programming, and good communication. The proposed degree program will teach these skills with special attention to “big data” and physical processes, which translate into effective problem solving. These skills are in high demand in Utah where high tech industry is a priority. In the 21st century, any organizations who want to improve their climate-resilence and performance often do not have the internal know-how to develop climate impact solutions; as a result, hiring for climate-related majors has grown in a wide variety of industry sectors. Today’s financial market takes into account climate model outputs for various timeframes (days to decades). Climate resilence is a new expertise not a single B.S. program has possesed yet. USU graduates from the CSD Program can help companies or governments identify their key climate related challenges, after which he/she can develop support measures or to attract new solutions. Another type of job market is meteorology-related, both in the public sector (military and the federal government) and the private sector (media, commercial companies, insurance, etc.). Private-sector climatologists work in a variety of environments ranging from consulting businesses to commodity and insurance businesses. The number of private companies that hire meteorologist or climatologist has grown in the past few years. Even oil companies are watching the emerging climate-energy laws and risks1. The Utah Department of Workforce services rates atmospheric scientists and similar professionals as having a moderate to strong employment outlook. Student Demand Since 2011, faculty teaching climate courses including Drs. Hipps, Gillies, Wang and Jin have been inquired by students about degree programs in climate or climate change. This newly emerged interest in climate-related issues is a welcoming sign that USU students are in-tune with this important global and societal issue. Their interest and inquries also reflect a new trend in academia: Institutions around the nation (and around the world) are either creating or expanding academic programs, research programs, and centers around climate and climate change sciences. The effect of these efforts is to attract faculty, students, and research funds. As of 2014, at least 11 state universities in the U.S. have launched clusterhires in climate change to meet the demand, but Utah is not one of them. Statement of Financial Support Appropriated Fund…………………………………………………. Special Legislative Appropriation………………………………… Grants and Contracts……………………………………………… Special Fees ………………………………………………………. Differential Tuition (must be approved by the Regents)……….. Other (please describe)……………………………………………
1
http://www.climate-policy-watcher.org/?q=node/491
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Similar Programs Already Offered in the USHE USU will be the first in the Intermountain region to offer a BS degree dedicated to climate and climate change sciences. USU’s graduate degree in Climate Sciences (established in 2013) sets apart from the more traditional, meteorological focus of atmospheric science departments as it covers not only the physical aspects of climate systems but also the applications of climate sciences. The University of Utah (UU) currently has a Department of Atmospheric Sciences with a teaching focus on weather forecasting and atmospheric physics. In 2013, USU’s Climate Sciences graduate program made connection with the UU’s Atmospheric Sciences Department and the two have agreed to share common courses, one of which is Advanced Dynamical Meteorology and the other is Matlab Programming.
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Program Description – Full Template Higher Education Institution Bachelor of Science Degree in Climate Science 02/29/2016 Section I: The Request Utah State University, College of Agriculture and Applied Sciences requests approval to offer Climate Science Bachelor of Science (BS) Degree effective Spring 2017. Section II: Program Description Complete Program Description The Climate Science Degree (CSD) Program in the Department of Plants, Soils and Climate is focused on understanding the nature and change of the climate system by applying the basic principles of mathematics, physics, and chemistry. This undergraduate degree emphasizes the scientific study of the behavior of weather and climate, and applications to the important practical problems of climate prediction and weather forecasting for natural resources. The CSD Program integrates basic and applied principles of climatology, environmental physics, and meteorology, which are concerned with how natural laws determine the climate. Physical meteorology and land surface physics are also part of climate science because the Earth’s climate variability is strongly coupled to the oceans and the land. In addition, interactions between land ecosystems, water and climate are studied. This includes understandings and measurements of the atmosphere, soil, water and plants, and how the data are used to address practical issues related to climate change. The graduates will be well prepared to pursue graduate education in interdisciplinary science programs; they will also be suited for continuing the studies in atmospheric science, climatology, hydrology and most other physical sciences. The skills instilled in the graduates will qualify them as researchers or technicians in federal, state and university laboratories. They will also be qualified to work with private sectors to design and conduct observations and data analyses for tasks related to weather, climate, water, and energy. The core training of the CSD Program focuses on the physical science of the climate system, one that concerns how natural laws determine the climate. As such, the basic curriculum must and will meet the guidelines of the American Meteorological Society (AMS) and the requirements for employment in the National Oceanic and Atmospheric Administration (NOAA) and a variety of consulting and professional meteorological/hydrological services. USU is a member of the University Corporation for Atmospheric Research, a consortium of more than 100 North American member colleges and universities focused on research and training in the atmospheric and related climate system sciences. The CSD Program is unique in that it also incorporates fundamental knowledge of physical climate with the emergence of a new and more complete approach, encompassing all components of the climate system—atmosphere, water, and land surface—to gain a comprehensive understanding of climate change. Purpose of Degree The CSD Program will train the next generation of global leaders in climate system and climate change sciences while promoting a citizenry informed on the science behind the important environmental and hazard issues. The Program aims to teach the students about the dynamics and physics of the oceanic 6
and atmospheric circulations and associated variability across different timescales, with a focus on weather systems, water cycles, and extreme events. Students graduating with a Climate Science Degree will have built a solid foundation in the physical aspects of climate system and climate change, enabling them to pursue specific graduate degrees (either in mitigation or physical research) or work in various sectors. Climate and climate change studies are among the most rapidly growing topics in research, crossing physical science and social science. These are quintessential interdisciplinary studies, involving not only the physical aspects of earth science, but also the science of climatic impacts to natural systems and humanity, and mitigation of rapid change in natural systems. In Utah, these subjects are facing future planning not only for energy and agriculture, but also for water, soil, economics, recreation, and air pollution. Development in the subjects of climate and climate change will form broad umbrellas under which large and rapidly increasing research funds are being offered and deployed. Institutions across the nation (and around the world) are creating and/or expanding academic programs, research programs, and research centers around climate and climate change. The net effect of these efforts has attracted faculty, students, and research funds. In 2014 alone, at least 11 major universities in the U.S. have launched cluster-hires of interdisciplinary nature that includes faculty in climate sciences to meet the increased demand. More programs are being established such as those in the University of California systems. Thus, it is timely and necessary for USU to build an organizational framework capable of connecting the many separate but related efforts into focused, coordinated endeavors on a degree program dedicated to climate science. Climate is about systems, and effectively studying complex and interacting systems requires learning through a broad spectrum of disciplines. Consequently, USU needs a basic degree devoted to climate change research and response – A Climate Science Degree Program. Institutional Readiness Utah State University (USU), as one of the state’s major universities and the state’s only land-grant institution, is well-positioned to make major moves in this direction. There are a number of faculty already involved in climate science, climate change science, and sustainability — they are comprised of climate scientists and meteorologists, as well as geologists, ecologists, water scientists, soil scientists, sociologists, and engineers. USU also possess a successful Extension program necessary to expand the educational goals of climate sciences to the grassroots level, as well as to respond to critical and emerging climate issues in resources planning with research-based, unbiased information. Current faculty and curriculum in the Department of Plants, Soils and Climate (PSC) comprise the research, teaching and outreach capacity to build a degree in climate and climate change sciences: A Climate Science Master and PhD Degree Program was established in 2013 PSC climate faculty are gaining international research prominence with a strong academic record The Utah Climate Center (UCC) has a state mandate for providing climate information to the state and region, and has been more than successful in reaching this goal Climate faculty and UCC are part of the strong USU ecology and water centers that can build and broaden a degree program PSC’s climate faculty and climate center are nationally and internationally recognized leader in the research of climate diagnostics, prediction and extreme events, particularly as it pertains to the U.S. West; this facilitates transformation of science into the core curriculum of the Climate Science Degree.
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Drawing on the faculty expertise of the Climate Science MS/PhD Program, strong foundation of the Utah Climate Center research, PSC’s close association with USU’s Ecology Center and Water Lab, and the two new climate faculty hires in Spring 2016, the new undergraduate program will provide students with an introduction into the science of climate and climate change. Many of USU students are starting in careers where the rules of climate are changing rapidly, and they need to be better prepared for this change. This proposed program will also attract students with a growing interest in pursuing the next big science that prevails in their generation. Departmental Faculty Dept Faculty Faculty Dept Faculty Headcount – Additions Headcount at Department Faculty Category Prior to to Full Program Program Support Implementation Implementation Program With Doctoral Degrees (Including MFA and other terminal degrees, as specified by the institution) Full-time Tenured 25 2 27 Full-time Non-Tenured 0 0 0 Part-time Tenured 0 0 0 Part-time Non-Tenured 0 0 0 With Master’s Degrees Full-time Tenured 0 0 0 Full-time Non-Tenured 5 0 5 Part-time Tenured 0 0 0 Part-time Non-Tenured 0 0 0 Other Full-time Tenured 0 0 0 Full-time Non-Tenured 0 0 0 Part-time Tenured 0 0 0 Part-time Non-Tenured 0 0 0 Total Headcount Faculty in the Department Full-time Tenured 25 2 27 Full-time Non-Tenured 5 0 5 Part-time Tenured 0 0 0 Part-time Non-Tenured 0 0 0 Total Department Faculty FTE (As reported in the most recent A-1/S-11 Institutional Cost Study for “prior to program 30 2 32 implementation” and using the A-1/S-11 Cost Study Definition for the projected “at full program implementation.”)
Staff Academic Advisor: A crucial element of the proposed program is a dedicated academic advisor. Fortunately, USU has this unique structure of Coordinator in the Student Services Center, employing staff serving as Academic Advisor for various departments. Currently, PSC has one dedicated Academic
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Advisor whose role is advising incoming students. In the initial years of the program, this Academic Advisor will be able to serve the additional students. If enrollment grows to large numbers in the program, then advising loads will be revisited and an additional advisor may be warranted. Graduate teaching assistant (TA): Graduate students serving as teaching assistants/lecturers are common in most departments of atmospheric sciences or meteorology, but not in USU. Thus, there is a need to allocate sufficient teaching assistantships that are compatible to research assistantships, i.e. $1,300-1,600 per month per person, to help establish the undergraduate courses in basic meteorology and climate physics. Two fulltime TA will be requested through normal departmental channel based on course and student numbers. Undergraduate teaching fellows will be considered to facilitate this effort. Library and Information Resources The institution currently has the needed library resources. Admission Requirements Requirements for admission into the CSD Program in the College of Agricultural and Applied Sciences (CAAS) are consistent with general University admission requirements (one unit equals one high school year): 4 units of English, 4 units of mathematics, 3 units of natural sciences, 3 units of social studies, and 2 units of foreign language. Students must also meet performance requirements (ACT composite of 20 or higher OR combined SAT score of 950 or higher OR rank in the top one-half of graduating class; transfer students must have a 2.5 (on a 4.0 scale) cumulative grade point average and 2.5 on most recent term of attendance. In addition to the minimum grade point average (GPA) requirements described in the University Policies, the Climate Science entrance-to-major requirement must also be completed with a minimum grade of C: MATH 1210. This course must be completed by the end of the semester during which the entrance-tomajor process is carried out. Student Advisement The scope of Climate Science is extremely broad and can be demanding. Students will be assigned to support groups consisting of six students and one faculty member. Support groups will meet 1-2 times per semester over lunch to discuss matters of mutual concern. The faculty member will serve as the faculty advisor for the students in his or her support group. It is common for students enrolled in physical science (like climate system) to need professional counseling to help them deal with academic or personal problems. Professional counseling on the USU campus will be provided by the center for Counseling and Psychological Services. In addition, upper-level climate students and faculty will participate in a USU program to build better high-school-to-university transition opportunities for diverse STEM-interested students – InTech Early Collegiate High School (InTech) and the Academy for Math, Engineering, and Science (AMES) are Title I public charter high schools serving diverse students and that provide rigorous, supportive learning environments that blend high school and the first two years of college to raise high school graduation and postsecondary success. The AMES students are 52% non-white with 44% of students receiving free or reduced lunch and with an even gender balance. In special situations, it may be possible for students to consult with a Counseling and Wellness Services psychologist. The Climate
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Program will form a Student Progress Committee that reviews academic deficiencies and recommends a remediation plan or dismissal from the program, and to determine an appropriate course of action. Justification for Graduation Standards and Number of Credits The design of the Climate Science Degree Program curriculum does not require more than 126 credit hours. Minimum requirements for this program are: Minimum University Requirements Total Credits
125
Grade Point Average (most majors require higher GPA)
2.50 GPA
Credits of C- or better
100
Credits of upper-division courses (#3000 or above)
40
Total USU Credits
30
Upper-division USU Credits
20
USU Credits within the Major
15
Credits in Minor (if required)
12
Credits in American Institutions
3
Credits in Major General Education Requirements
see below see link
University Studies Depth Requirements
see link
NOTES: highest Math Requirement for this degree is
External Review and Accreditation External consultants were not involved in the development of the program. There are already a group of USU faculty involved in climate science, climate change science, resources management and sustainability — they come from climate scientists and meteorologists, as well as geologists, ecologists, water scientists, soil scientists, sociologists, and engineers and are experienced educators. Projected Program Enrollment and Graduates; Projected Departmental Faculty/Students
Data Category
Current – Prior to New Program Implementation
PROJ YR 1
Data for Proposed Program Number of Graduates in X X Proposed Program Total # of Declared Majors in X X Proposed Program Departmental Data – For All Programs Within the Department Total Department Faculty FTE (as 30 32 reported in Faculty table above)
PROJ YR 2
PROJ YR 3
PROJ YR 4
PROJ YR 5
X
5
15
25
5
10
15
25
34
34
34
34
Total Department Student FTE (Based on Fall Third Week)
Student FTE per Faculty FTE (ratio of Total Department Faculty FTE and Total Department Student FTE above)
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Program accreditation-required ratio of Student FTE/Faculty FTE, if applicable: (Provide ratio here:_______________________) Expansion of Existing Program USU has not had any climate or meteorology undergraduate degree program before. Section III: Need Program Need The recent increases in weather/climate extreme events and the irregular climate variability, together with the broader and connected challenge of global sustainability, are poised to dominate human endeavor and direction this century. The outcome of the 2015 Paris Climate Submit was historical: it concluded with a landmark agreement to curb greenhouse gas emissions around the globe including the United States. The impact of this outcome in the decades to come remains far from certain, and will touch every corner of the world’s societies. The new treaty ends the strict differentiation between developed and developing countries that characterized earlier efforts, replacing it with a common framework that commits all countries to put forward their best efforts and to strengthen them in the years ahead. This includes, for the first time, requirements that all parties report regularly on their emissions and implementation efforts, and undergo international review. Therefore, in 10 or 20 years’ time it will be up to the next educated generation to provide such complicated information, assessment, and mitigation plans. Utah State University will play a leading role in providing higher education of climate for this new generation. As Utah’s premier and only land-grant institution, USU is the logical place to lead the state in climate research and higher education. With its wide range of expertise in basic sciences, agriculture, engineering, and Extension infrastructure, USU is well positioned to lead regionally in educating the state’s young generation in climate and climate change science. While climate variability and climate change research is happening at USU across a number of departments and colleges, these efforts are generally disconnected and few are transferrable into undergraduate education. What is lacking is a dedicated degree program around which expertise and faculty resource can be integrated to bring the cutting-edge science to undergraduate students. Earth’s climate will continue to change; the pace of that change will likely accelerate; and impacts to natural and human systems — already more significant than previously anticipated — will be severe. The simple truth of these statements is manifest in a slew of recent national and international synthesis reports representing a scale of effort unprecedented in science. Made clear in these reports is that meaningful response to these climate-induced challenges is not likely through incrementalism; transformational change is needed. Higher education provides an effective and necessary means to facilitate such a change. In view of these realities an appropriate and achievable vision should be articulated:
See, for example: IPCC Fifth Assessment Report, Working Groups I-III (2014); The National Climate Assessment (2014); Climate Change, Evidence and Causes, An overview from the Royal Society and the US National Academy of Sciences (2014); What We Know: the Reality, Risks, and Response to Climate Change, AAAS (2014);
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VISION Utah State University will be a nationally and internationally recognized leader in the science of regional climate change and climate variability — particularly as it pertains to the U.S. West — and in transforming this science into a strong and rigorous degree program. The purpose of establishing the Climate Science Degree Program is to position Utah State University as the base for higher education on climate and climate change for Utah’s next-generation citizens. One cannot effectively study climate change science — and all that it entails — without first also learning the climate science. Understanding future impacts to natural and human systems, formulating impact mitigation strategies, and formulating adaptation scenarios all begin with the climate science itself: What is the climate system going to be? Answering this question requires not only faculty and graduate students, but also an education entity that brings the next generation up to speed to this 21 st century problem of climate change. The new program’s close proximity with (and involvement of) agriculture and soils faculty will contribute to a successful degree program in the sciences of climate change mitigation. Labor Market Demand Climate scientists, including meteorologists held about 11,100 jobs in 20122. Employment of climate scientists is projected to grow 10 percent from 2012 to 2022, about as fast as the average for all occupations2. New computer models have vastly improved the accuracy and extent of forecasts and allowed climate scientists or meteorologists to tailor climate prediction to specific purposes. This will increase the need for climate scientists working in private industry as businesses demand more specialized weather and climate information. The best job prospects for climate science major are projected to be in private industry3. The industries that employed the most climate scientists in 2012 were as follows: Professional, scientific, and technical services Federal government, excluding postal service Colleges, universities, and professional schools; state, local, and private Radio and television broadcasting
36% 29% 19% 8%
In the federal government, most climate scientists work as weather forecasters with the National Weather Service or Climate Prediction Center of the National Oceanic and Atmospheric Administration (NOAA) in offices throughout the United States, some at airports, in or near cities, and occasionally stationed in critical but remote areas. The Department of Defense, which calls climate change an “immediate risk”, employed several hundred climate scientists in 2012. In addition, hundreds of members of the Armed Forces are involved in climate/atmospheric science. The job market for climate-background personnel has been going through a transformational change, from sections asking people of diverse backgroun to conduct climate-related tasks into companies directly recruting climate scientists or social scientists. Climate scientists involved in research often work in either govenmental or university laboratories. Climate scientists who work in private industry will have to analyze climate change impact on society as a way to formulate insurance policy; this has been on growing demand
2 3
https://collegegrad.com/careers/atmospheric-scientists-and-meteorologists Source: Bureau of Labor Statistics, U.S. Department of Labor.
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for the costal regions (hurricanes and sea level rise), the Great Plains (tornado alley), and western states (drought and large fires). As an exmaple, some recent job postings for climate and climate change fields are provided below (http://jobs.monster.com/v-engineering-q-climate-change-adaptation-jobs.aspx):
The National Oceanic and Atmospheric Administration (NOAA) has recently established its Climate Serivce, a comprehensive and integrated office responsible for NOAA’s climate science, data, information and services. It provides an integrated governentent entity for users across the nation in much the same way NOAA’s National Weather Service has been providing weather information and services for 140 years. Individuals, local and national governments and the private sector are increasingly demanding this information to be able to better understand, adapt to, and plan for a changing climate. The expertise needed for the NOAA Climate Service will include research labs, climate observing systems, modeling facilities, integrated monitoring systems and extensive on the ground service delivery infrastructure. All of these service components are tied into the Climate Science theme the proposed program aims to educate. Student Demand Students in and around Utah are consciously aware of the uncertain future of natural and water resources, such as winter snowpack and drought severity. These conditions are sensitive to the changing climate conditions. As impacts of climate change become an inescapable global reality, the field of climate science 13
is more important than ever. Earning a Bachelor of Science is the first step for future students in this field, and increased employment opportunities on environmental impacts by climate change are seen in both government agencies and private sectors. As of 2014, eleven major universities across the U.S. have launched cluster-hires in climate change to meet the demand. A survey conducted among the department chairs of some newly established climate undergraduate programs indicates a promising student demand: School of Earth and Climate Sciences, University of Maine – established for 4 years with around 50 students and an increasing trend in enrollment and an excellent placement rate (contact: Prof. Scott Johnson) Climate Science Degree Program, University of Nebraska – established for 1.5 year (contact: Prof. John Carroll) BS for Climate Science, University of Idaho – established for 2.5 years with 16 students completed (contact: Prof. John Abatzoglou) BS in Earth Sciences with a Climate emphasis, San Francisco State University – established less than 1 year with ~24 students enrolled (contact: Prof. Dave Dempsey) Having taught climate-related classes for the past five years, current climate faculty members (Drs. Hipps, Gillies, Wang, and Jin) have noted an increase in interest or request about climate science or climate change degree programs at USU. These professors are regularly probed by students with an interest in climate change and learning about how to obtain and apply such knowledge. The PSC academic advisor, Lisa Allen, has noted in the past two career affairs that students inquired for a Climate Science Degree at USU. This emergence of interest in climate and climate change is a welcoming sign that USU students are in-tune with this important global and societal issue. Their interest and inquries also reflect a new trend in academia: Institutions around the nation (and around the world) are either creating or expanding academic programs, research programs, and centers around climate and climate change sciences. The effect of these efforts will also attract faculty, students, and research funds. Similar Programs Currently, no similar programs in the area of climate and climate change sciences exist in Utah. Across USU, there also is not a single major or program that engages in the physical aspects of climate. However, as pointed out previously, some similar degree programs have recently emerged in the western U.S., mostly in the states of California and Washington. The University of Utah has a Department of Atmospheric Sciences that is focused on the meteorological training, weather forecasting, and physical or chemical properties of the atmosphere (e.g., microphysics); they did not offer climate prediction and climate change sciences. In recent years however, realizing the need for climate change research, the UU Atmospheric Sciences department recruited two faculty members specialized in large-scale climate dynamics. These two faculty have been in collaboration with USU climate faculty over the past five years. Thus, the proposed undergraduate degree in Climate Science will be the first in the Intermountain region. Collaboration with and Impact on Other USHE Institutions No collaborative proposals were developed with other USHE institutions. Each state is unique in its geography and demography, and this uniqueness translates into the different needs and focus of the state’s citizen. The prime purpose of the Climate Science Degree Program at USU is to serve Utah,
14
providing its future students with state-of-the-art knowledge and comprehensive education in the emerging climate sciences. Therefore, the new program is not likely to impact other USHE institutions that serve their own unique purposes and audience. However, it is not anticipated that students of other USHE institutes who are interested in climate science to transfer to USU’s Climate Science Degree Program. Benefits The changing climate is a major scientific and social challenge that will dictate many career options and also demands particular technical skills. This program addresses the need to train students to understand, use, integrate, interpret and communicate disparate data to advance climate and climate change sciences – this is unique among all higher-education institutions across the state of Utah. Doing so will increase student interest and student enrollment in the area of climate science. The interdisciplinary research and education infrastructure of USU and PSC department can provide an additional working model for other USHE institutions to observe and adopt. Consistency with Institutional Mission The mission of USU is to be one of the nation's premier land-grant and space-grant universities by fostering the principle that academics come first, and by serving the public through learning, discovery, and engagement. The proposed degree program in Climate Science fits this mission and it will facilitate the emerging research themes across disciplines to study climate change impacts, such as sociology, ecology and agriculture. By establishing a BS degree in Climate Science, USU will show the nation and the world a vision to advancement and preparedness of humanity; doing so also fulfills the USU goal #9 “Communicate the success of the University to the world.” Section IV: Program and Student Assessment Program Assessment Evaluation and assessment will be assisted by the USU STE2M Center in conjunction with the routine external reviews. Full evaluation of the Climate Science Degree Program’s effectiveness requires a comprehensive approach to ensure its goals are attained with regard to outcomes, processes, and their interactions. The CSD Program will apply the so-called Kirkpatrick’s 4-level model of evaluation, which separately examines student learning, transfer of skills in applied settings, stakeholder reactions, and broader outcomes. To assess program success, formative and summative data will be collected from program students and faculty, as well as individuals from outside the university with regular, formal student contact during and after their graduation. This degree can be either terminal or non-terminal, with the “climate dynamics” track (see page 21 the 3rd block of elective credits) more inclined to a non-terminal degree towards graduate schools in physical climate research and other tracks ready for employment. a) Students. At each semester end, students will complete anonymous course evaluations and surveys eliciting opinions on the value of program learning experiences, the extent of skill development toward their professional goals, and facets of the program (courses, mentorship, research experiences, etc.) they find to be most and least helpful. Open-ended items will invite suggestions for concrete ways to improve the program in both the near and long terms. In addition to these survey elements, students receiving supervised lab-based research or conducting undergraduate research projects will complete brief scales of 15
graduate advisement experiences and research experiences. Students participating in extra-academic internships will also complete research self-efficacy and access to research infrastructure subscales. b) Faculty. The group of program faculty will meet once per semester with an evaluator to discuss their perspectives on the strengths and weaknesses of the program as implemented, with the goal of reaching consensus on approaches to refining the program to better meet its articulated goals. The USU STE2M Center will serve as a facilitator during discussions to direct the focus toward concrete actions for the improvement of the program. The STE2M Center will also interview faculty individually to follow up on concerns and ideas. c) Direct Measures. Key indicators of program effectiveness are students’ persistence and completion of the degree program (with particular attention to underrepresented groups), their abilities to contribute to substantive scientific advances, interpret findings from scholarly articles, and conducted research in their final semester. Additionally, students’ ability to obtain employment in a climate-related capacity following completion of their degree will reflect the opinions of employers as to graduates’ capacity to serve as professionals in climate forecasting or adaptation careers. The rate of Climate Science Degree Program students in attaining these traditional markers of success will be compared against that of students from other, comparable programs within USU through collaboration with USU’s Office of Accreditation, Analysis, and Assessment which keeps statistics on enrollment, retention, degree completion, time to degree, etc. d) Professional Contacts. As students meet others in professional interactions (e.g., extra-academic experiences, internships), USU’s Office of Accreditation, Analysis, and Assessment will contact their nonfaculty supervisors to request the completion of a short comparative assessment of the students’ skills, abilities, and knowledge base as reflected in their performance. This survey will ask about students’ quality on both a criterion basis and in comparison to their previous encounters with students not from the Climate Science Degree Program regarding readiness to solve important problems in the field through data analysis, scientific communication ability, and ability to engage productively as part of an interdisciplinary team. Expected Standards of Performance The B.S. in Climate Science will be thorough, intense, and rigorous. This will provide students with a solid grasp of all of the fundamentals in physical climate systems, and will also focus on general science concepts, mathematics, and data-analytical skills. In addition to developing scientific knowledge, bachelor's degree students must also build writing, communication and critical thinking skills. Learning assessment will take place at two levels of performance. At the level of the individual course or program element (e.g., suite of core courses), student performance on exams, papers, and other demonstrations of adequate performance will be compared against students from other PSC programs enrolled concurrently, as well as against pre-existing standards of academic performance. After receiving training delivered by the STE 2M Center to attain reliability, faculty will use integrated forms of two previously validated rubrics to assess research quality for reports and proposals (available at STE2M Center) and a separate rubric to assess the quality of scientific communication (from faculty/instructor feedback), in order to provide consistent performance-based assessment mechanisms and criteria across facets of the program. The CSD students must be able to apply their knowledge to solve meaningful and challenging problems facing the field. To evaluate their progress, faculty will use the rubrics described above to assess research performance in supervised term paper settings after student completion of upper-level courses. Thus, 16
program faculty will identify and evaluate students’ use of specific skills and concepts taught earlier in the program as they complete later courses and mentored research opportunities to communicate as feedback to program participants and as part of formative evaluation. During faculty meetings or through semesterend interviews with the students, faculty will identify those skills that students successfully and unsuccessfully applied in new contexts, so that weaknesses in academic preparation can be remedied and successful practices leveraged more broadly throughout the program. Section V: Finance Department Budget Current Departmental Departmental Budget – Prior Data to New Program Implementation Personnel Expense Salaries and $676,828 Wages Benefits $30,457 Total Personnel $707,285 Expense Non-Personnel Expense Travel $0 Capital $0 Library $0 Current $90,206 Expense Total NonPersonnel $90,206 Expense Total Expense $797,491 (Personnel + Current)
Departmental Funding Appropriated $797,491 Fund Other: Special Legislative Appropriation
Three-Year Budget Projection Departmental Budget Year 1 Year 2 Addition to Budget
Total Budget
$55,158
$731,986
$0
$731,986
$0
$731,986
$2,482
$32,939
$0
$32,939
$0
$32,939
$57,640
$764,925
$0
$764,925
$0
$764,925
$0 $0 $0
$0 $0 $0
$0 $0 $0
$0 $0 $0
$0 $0 $0
$0 $0 $0
$0
$90,206
$0
$90,206
$0
$90,206
$0
$90,206
$0
$90,206
$0
$90,206
$57,640
$855,131
$0
$855,131
$0
$855,131
$855,131
Addition to Budget
Year 3
Total Budget
$855,131
Addition to Budget
Total Budget
$855,131
17
Grants and $5,587,562 Contracts Special Fees / Differential Tuition Total $797,491 Revenue
$5,587,562
$5,587,562
$5,587,562
$855,131
$855,131
$855,131
Difference Revenue-Expense Departmental Instructional Cost / Student Credit Hour* (as reported in institutional Cost Study for “current” and
$0
$ $0
$ $0
$ $0
$374.40 $ $374.40 $ $374.40 $ $374.40
using the same Cost Study Definition for “projected”) * Projected Instructional Cost/Student Credit Hour data contained in this chart are to be used in the Third-Year Follow-Up Report and Cyclical Reviews required by R411.
Funding Sources To make this Climate Science BS possible, additional faculty are needed to teach courses not presently offered at USU. Two new faculty positions have been approved and are being recruited, to start in FY2016. These positions are earth systems modeling and dendroclimatology. Cooperation with the National Central University in Taiwan: A novel part of this program is in the sharing of four core courses and six elective courses (see the Program Curriculum) with the National Central University (NCU)’s Department of Atmospheric Sciences in Taiwan, located 30 miles south of the capital city Taipei. The USU President and the Dean of CAAS have signed the Student Exchange Agreement with the NCU counterpart. In these agreements (Appendix), students will be participating in an exchange program where USU students in their 3rd or 4th year will live in Taiwan and attend classes there, while only paying tuition at USU. The exchange will not affect department expenditures. Students not able to make the physical exchange possible will participate in shared courses via Interactive Video Conferencing (IVC) established by the USU Regional Campuses and Distance Education. These arrangements will be facilitated through USU’s Association for Information System. The USU distance learning facility is scheduled to be installed at NCU in spring 2016. Reallocation No reallocation is proposed. Impact on Existing Budgets Minimal impacts are expected on existing budgets due to new faculty coming to the department in 2017 in dendroclimatology and and earth systems modeling. Program support such as advising and some teaching support will be managed by current staff and current operating budgets.
18
Section VI: Program Curriculum All Program Courses (with New Courses in Bold) Four required core courses and additional four ellective courses will be taught through Curriculum Exchange (Appendix) established between USU and the Department of Atmospheric Sciences, National Central University (NCU) in Taiwan. Agreements are being secured to enable USU students to travel to NCU for one year, taking these courses within two semesters. For those who do not or cannot travel, these NCU courses will be taught through distance education facility in a similar way of taking any USU online courses. An equal number of NCU students will come to USU for the same amount of time, taking any course offerred in the Climate Science Degree Program curriculum, and interact with USU students. Course Prefix and Number Required Courses MATH MATH MATH STAT PSC CHEM PSC PHYS WATS PSC
1210, 1220 2250 2210 2000 2000 1210 3000 2210 3000 NCU-R2
GEO 1110 PSC NCU-R1 PSC NCU-R3 PSC NCU-R4 PSC 5900 PSC 5500 PSC 5003 PSC 5400 (new hire) GEO 5680 POLS 4820 PSC 5123
Title
Credit Hours
Calculus I & Calculus II Linear Algebra and Differential Equations Multivariable Calculus Statistical Methods The Atmosphere and Weather Principles of Chemistry Fundamentals of Soil Science Physics for Scientists & Engineers I Oceanography Atmospheric Thermodynamics
8 4 3 3 3 4
Dynamic Earth-Physical Geology Atmospheric Instrumentation and Operation Atmospheric Dynamics I Atmospheric Physics Boundary Layer Meteorology Land-Atmosphere Interactions Remote Sensing of Land Surfaces General Meteorology Paleoclimatology Natural Resources and Environmental Policy Climate Data Analyses
3 4 3 3 3 3 4 3 3 3 3
4 4 3 3
Sub-Total
77
19
Course Prefix and Number Elective Courses (take up to 7 credits of the following courses)
Title
Credit Hours
JCOM GEO ENVS ECN ENVS CEE
1130 3100 3600 3170 5550 3610
Beginning Newswriting for the Mass Media Natural Disasters Living with Wildlife Law and Economics Sustainability: Concepts and Measurement Environmental Management
3 3 3 3 3 3
APEC WATS CEE PSC CEE GEO
5560 4490 5940 5270 3430 3200
Natural resources and environmental economics Small Watershed Hydrology Snow Hydrology Environmental Plant Physiology Engineering Hydrology The Earth Through Time
3 4 3 2 3 4
CS PSC PSC PSC PSC PSC PSC
3430 5000 NCU-E1 NCU-E2 NCU-E3 NCU-E4 5670
Computational Science: Python and Perl Programming Environmental Instrumentation MATLAB Programming and Application Climatology & Monsoons Boundary Meteorology Air Pollution Environmental Soil Physics
3 2 3 3 3 3 3
Sub-Total
7 32 + 4 36
General Education + Capstone Sub-Total Track/Options (if applicable) Sub-Total Total Number of Credits
n/a 120
Example of Program Admissions Requirements for this Program New freshmen
Admitted to USU in Good Standing
Transfer students from other institutions or other programs at USU
2.75 GPA
First Year General Education Info Fall Semester
Credits
and Notes:
General Education Info Spring Semester
Credits
GEOG 1110: Physical Geology
3
CHEM 1110: General Chemistry (BPS)
MATH 1210: Calculus I (QL)
4
PSC 2000: The Atmosphere and Weather
3
ENGL 1010: Introduction to Writing: Academic Prose (CL1)
3
ENGL 2010: Intermediate Writing: Research Writing in a Persuasive Mode (CL2)
3
4
and Notes:
20
SOC 1010: Introductory Sociology (BSS)
3
MATH 1220: Calculus II (QL)
4
POLS 1100: United States Government and Politics
3
USU 1360: Climate Change on Earth
3
Comments
16 credits
Comments
17 credits
Second Year General Education Info Fall Semester
Credits and Notes:
General Education Info Spring Semester
Credits and Notes:
WILD 2200: Ecology of Our Changing World (BLS)
3
PSC 4810: Climate and Climate Change (DSC/QI)
3
Breadth Humanities (BHU) Course
3
GEO 3300: Geology of the World’s Ocean
3
PHYS 2210: Physics for Scientists and Engineers I (QI)
4
MATH 2210: Multivariable Calculus
3
MATH 2250: Linear Algebra and Differential Equations (QI)
4
CHEM 1210: Principles of Chemistry
4
PSC 3000: Fundamentals of Soil Science
3
WATS 3000: Oceanography
3
Comments 16 credits
Comments 17 credits
Third Year General Education Info Fall Semester
Credits and Notes:
General Education Info Spring Semester
Credits and Notes:
PSC NCU-R2: Atmospheric Thermodynamics
3
GEO 5680: Paleoclimatology
3
PSC NCU-R4: Atmospheric Physics
3
PSC 5003: Remote Sensing of Land Surfaces
4
PSC 5400: General Meteorology
3
PSC 5270: Environmental Plant Physiology
3
PSC NCU-R1: Atmospheric Instrumentation and Operation
4
PSC NCU-R3: Atmospheric Dynamics I
3
Comments
Comments
14 credits
14 credits Fourth Year General Education Info
Fall Semester
Credits
and Notes:
General Education Info Spring Semester
Credits
PSC 5900: Boundary Layer Meteorology
3
Practicum
4
PSC 5123: Climate Data Analyses
3
PSC NCU-E4: Air pollution
3
PSC 5000: Environmental Instrumentation
4
POLS 4820: Natural Resources and Environmental Policy
3
and Notes:
21
GEO 3100: Natural Disasters
Comments
13 credits
3
PSC 5500: Land-Atmosphere Interactions
3
Comments
13 credits
Section VII: Faculty List of current faculty within the institution with their qualifications: Robert Gillies, Professor, PSC – Areas include remote sensing, meteorology, climatology Larry Hipps, Professor, PSC – Areas include air-land interaction, boundary layer meteorology, instrumentation Simon Wang, Associate Professor, PSC – Specialized in climate dynamics, synoptic meteorology, climate prediction Jiming Jin, Associate Professor, PSC/WATS – Areas cover hydroclimatology, regional climate modeling Scott Jones, Professor, PSC – Expert in soil physics, hydrological science, instrumentation Sarah Null, Assistant Professor, WATS – Areas include water resource management, climate change Patrick Belmont, Associate Professor, WATS – Specialized in watershed hydrology, sediment dynamics, geomorphology Beth Nelson, Associate Professor, CEE – Research in stream dynamics, climate change impact Tammy Rittenour, Associate Professor, GEOL – Specialized in paleoclimatology (New Hire 2016), PSC – Areas include tree-ring climatology, dendro-hydrology, climate variability (New Hire 2016), PSC – Areas are in the physical and computational sciences of climate dynamics (Potential New Hire 2017), PSC – Extension Climatologist
22
6 May 2016 ITEM FOR ACTION Utah State University’s Department of Management in the Jon M. Huntsman School of Business proposes transferring the Minor in Business from the Dean’s office to the Management Department in the manner described below. EXECUTIVE SUMMARY The Department of Management in the Jon M. Huntsman School of Business proposes transferring the Minor in Business from the Dean’s office to the Management Department. RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the proposal to transfer the Minor in Business from the Dean’s office to the Management Department in the Jon M. Huntsman School of Business.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Utah State University’s Department of Management in the Jon M. Huntsman School of Business proposes transferring the Minor in Business from the Dean’s office to the Management Department, and WHEREAS, The proposed change will provide a proper academic “home” for a minor that offers training in core business principles to students with majors outside the School of Business for whom this will enhance their career prospects, and WHEREAS, The proposal has been approved by the academic dean, the Educational Policies Committee, and the USU Faculty Senate, and WHEREAS, The proposal has been approved by the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposal to transfer the Minor in Business from the Dean’s office to the Management Department in the Jon M. Huntsman School of Business’ Department of Management and that this proposal be forwarded to the Utah State Board of Regents of the Utah System of Higher Education.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
_________________________________ DATE:
Program Request - Abbreviated Template Utah State University Jon M Huntsman School of Business 1.14.2016 Section I: Request Utah State University’s Jon M Huntsman School of Business has for many years offered a Minor in Business for students with majors outside the School. The School requests that the administrative home of the program be transferred from the Dean’s Office to the Management Department, and that the curriculum be streamlined to better meet program objectives. Section II: Need The Minor in Business has historically been housed in the Dean’s Office of the Jon M. Huntsman School of Business. However, by not having a home in an academic department, the program has lacked the academic ownership that other programs with homes in academic units in the school have. The goal of the program is to offer training in core business principles to students with majors outside the School of Business for whom this will enhance their career prospects. As such, program development and administration will be better served if the program is housed in the Management Department of the School. Given the objective of giving non-business students a broad education in core business functions, the curriculum will also be streamlined. When it was last revised, the curriculum was expanded to give students flexibility. However, in doing so, the curriculum lacked focus on core business functions. Moreover, course prerequisites significantly expanded the number of credits actually needed to complete the minor.
Section III: Institutional Impact The proposed changes will have no impact on staffing, course offerings, or course availability. All courses within the program are already offered and represent a subset of the existing curriculum. Ownership of the program by the Management Department and streamlining of the curriculum will make it easier to promote the program which may lead to increased enrolments. Any such increases can be absorbed by existing course offerings. Section IV: Finances No additional resources are required. Section V: Program Curriculum Course Prefix and Number ACCT 2010 FIN 3200 MGT 3500 MGT 3110 or MGT 3800 MGT 3700 MIS 2100 STAT 2000 or STAT 2300
Title
Credit Hours 3 3 3 3 2 2 3
Financial Accounting Principles Financial Management Fundamentals of Marketing Managing Organizations and People or Leadership Operations Management Principles of Management Information Systems Statistical Methods 4 or Business Statistics Total Number of Credits 20/21
Semester Fall, Spring, Summer Fall, Spring, Summer Fall, Spring, Summer Fall, Spring, Summer Fall, Spring, Summer Fall, Spring, Summer Fall, Spring, Summer
6 May 2016 ITEM FOR ACTION Utah State University’s Department of Electrical and Computer Engineering in the College of Engineering proposes removal of all the emphases in the current PhD in Electrical Engineering in the manner described below. EXECUTIVE SUMMARY The Department of Electrical and Computer Engineering in College of Engineering proposes removing all emphases in the current PhD in Electrical Engineering. RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the proposal to remove all emphases in the current PhD in Electrical Engineering in the College of Engineering.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Utah State University’s Department of Electrical and Computer Engineering in the College of Engineering proposes removing all emphases in the current PhD in Electrical Engineering, and WHEREAS, The proposal has been approved by the academic dean, the Educational Policies Committee, and the USU Faculty Senate, and WHEREAS, The proposal has been approved by the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposal to remove all emphases in the PhD in Electrical Engineering in the College of Engineering’s’ Department of Electrical and Computer Engineering and that this proposal be forwarded to the Utah State Board of Regents of the Utah System of Higher Education.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
_________________________________ DATE
Utah State University Doctor of Philosophy in Electrical Engineering 01/21/2016 Section I: Request The Department of Electrical and Computer Engineering requests that all of the Emphases in the current Doctor of Philosophy Degree in Electrical Engineering (PhDEE) be removed. Since Electrical Engineering is a discipline which is changing quickly, with new sub-disciplines added and obsoleted often, it is impractical to maintain a list of Emphases to which a student must be assigned. In addition, modern study in this field requires a knowledge of several sub-disciplines. The Departments is currently adequately preparing students with existing course offerings, and no instructional activities in the Department will be affected. Section II: Need The current list of emphases requires students to declare an area of study. Many of the students are taking classes in several sub-disciplines, and find it difficult to determine a single emphasis to formally select. Also, as the faculty are added to the Department, their research interests and expertise result in changes in curriculum and course offerings which are not reflected in a fixed set of emphases. A review of the PhDEE programs in the State of Utah, located at the University of Utah and at Brigham Young University, indicate that both programs do not include formal emphases. In addition, feedback from the students indicate that employers are not influenced by a formal emphasis noted on the degree, but by the breadth and depth of classes the student has taken, and the topic of the dissertation research. Section III: Institutional Impact None. Section IV: Finances No costs are anticipated by this change. Section V: Program Curriculum No program curriculum will be changed.
6 May 2016 ITEM FOR ACTION Utah State University’s Department of English in the College of Humanities and Social Sciences proposes offering a Baccalaureate degree in English Teaching Composite in the manner described below. EXECUTIVE SUMMARY The Department of English in the College of Humanities and Social Sciences proposes offering a Baccalaureate degree in English Teaching Composite. RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the proposal to offer a Baccalaureate degree in English Teaching Composite in the College of Humanities and Social Sciences.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Utah State University’s Department of English in the College of Humanities and Social Sciences proposes offering a Baccalaureate degree in English Teaching Composite, and WHEREAS, The proposed degree will offer students an option for developing stronger English teaching skills and credentialing, and WHEREAS, The proposal has been approved by the academic dean, the Educational Policies Committee, and the USU Faculty Senate, and WHEREAS, The proposal has been approved by the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposal to offer a Baccalaureate degree in English Teaching Composite in the College of Humanities and Social Sciences’ Department of English and that this proposal be forwarded to the Utah State Board of Regents of the Utah System of Higher Education.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
_________________________________ DATE:
Utah System of Higher Education Program Description - Full Template Section I: The Request Utah State University requests approval to offer the following Baccalaureate degree(s): English Teaching Composite effective Fall 2016. This program was approved by the institutional Board of Trustees on ____________.
Section II: Program Proposal Program Description
The English Education program prepares students towards professional licensure and preparation in the teaching of secondary-level English. Students become versed in their academic subject matter (language, writing, literature, and multimedia); skilled in the methods of teaching the various components of the English curriculum and classroom management techniques; and committed to the achievement of all students. The English Teaching Composite offers a robust menu of courses, all within English, which recognizes the complexity and depth of English Studies. Students may choose among American Studies, Literature, and Writing for an emphasis. No teaching minor is required with a composite teaching major.
Consistency with Institutional Mission USU's mission serves the public through learning, discovery, and engagement. As part of the land grant institution mission, programs are delivered to students on campuses across the state of Utah. USU's program for teacher licensure is nationally accredited. Teacher education draws on both theoretical and practice-based research in which students prepare to teach the next generation effectively and equitably. Current Teaching Composite Teaching Majors at USU include Social Studies; Biological Sciences; Earth Sciences; Physical Sciences; Agricultural Education; Art Education; Music Education; Mathematics and Statistics Education; Theater Arts; Family and Consumer Sciences Education; Technology and Engineering Education. Section III: Needs Assessment Program Rationale
The current English Teaching Majors complete 42 credits for their degree and then take a teaching minor (minimum of 18 but usually higher). The English Education Student Advisory Group within USU's Department of English is in favor of an alternative composite degree. (A composite is the combination of two or more majors and can come from majors within the same department; several exist already at USU, particularly for teaching.) The composite, proposed at 61 credits, offers options to combine emphasis areas within the department (Literature; American Studies, Writing). Capacity exists in these areas to accommodate English Teaching students. A “super” major in English Teaching helps these future teachers prepare more broadly for teaching
English at the secondary level, particularly in light of new Core Curriculum State Standards (CCSS). The existing major/minor option will continue to exist. However, it should be noted that a teaching minor no longer meets the "highly qualified teacher" standard set by NCLB. The professional advisor for the English Teaching program estimates that about one-third to one-half of majors will find the Composite attractive. For students who decide not to continue in English Teaching, it provides an easier option to move into the second major and still graduate on time. In terms of capacity issues, the advisors counsel that this change could be helpful in some areas that could use additional enrollment. The traditional combination of a teacher major and teaching minor often exceeds 60 credits. The English Teaching Composite is set at 61 credits for completion and includes a clinical experience paired with an English methods course. This option likely means that students can graduate more efficiently. This program was proposed by the English Education faculty within the Department of English. It was discussed with English Teaching majors at large and with the English Education Student Advisory Group in particular (two different groups over 2014-2016). The proposal was discussed and approved by the department's academic coordinating committee and then brought before the entire department as a whole for a vote, which was unanimously positive.
Labor Market Demand
In Utah, demand for teacher education programs remains high. More than 30 percent of Utah teachers will retire in the next 10 years. Along with the loss of so many experienced teachers, Utah's population continues to grow at nearly twice the national average. Utah's student enrollment grew from 540,000 in 2007 to more than 680,000 students by 2014. At the same time, Utah needed 44,000 new teachers to meet this burgeoning population, according to a Utah Educator Supply and Demand study by Utah State University. A serious teacher shortage crisis is a likely possibility.
Student Demand
The English Education faculty and the professional advisor assessed student interest and demand and estimate that about 1/3 of the programs current enrollment (n=150) would opt for the composite degree if offered. Some students will continue with the teaching major/teaching minor pathway. Others choose to complete two teaching majors (most often true for English + language teaching majors).
Similar Programs
Within USHE, only one other composite degree in English Teaching exists: Southern Utah University. It is a composite that combines English Teaching and Creative Writing. The USU English Teaching Composite is complementary as its emphases include American Studies, Literature, and Writing (creative, technical, and rhetoric). Composite Teaching Majors at Other Universities • Southern Utah University: Composite degree in Secondary Education/Creative Writing – 88 credits o http://catalog.suu.edu/preview_program.php?catoid=8&poid=2489&returnto=1034 • Black Hills State University: Composite degree in Communications/English Teaching – 54 credits o http://catalog.bhsu.edu/preview_program.php?catoid=17&poid=1869&hl=%22English%
22&returnto=search • West Texas A&M – 60-65 credits o http://www.wtamu.edu/webres/File/Student%20Support/Advising/20142015%20Degree%20Checklists/ FAH/English,%20Philosophy%20and%20Modern%20Languages/engllang-arts-7-12_ba_1415_f.pdf • Sam Houston – BA in English; “minor” in Secondary Education o http://www.shsu.edu/undergraduate-catalog/2012-2014/english/index.html Collaboration with and Impact on Other USHE Institutions
USU already offers an English Teaching degree on its campuses and through Distance Education. The English Teaching Composite is a more robust option for those seeking a degree in teaching English. As a result, no impact on other programs within USHE is envisioned.
External Review and Accreditation
No external review was solicited.
Section IV: Program Details Graduation Standards and Number of Credits
Minimum GPA for Graduation: 2.75 within major courses; 2.0 USU cumulative NOTE: Secondary Teacher Education Program (STEP) Requirements: 3.0 USU cumulative required; 3.0 career total (for licensure) Minimum Grade Accepted: C (no pass/fail) in major courses; B- in STEP courses (Note: C- or better in Quantitative Literacy (QL) course required by the Secondary Education Program) Number of Required Credits: 60 (63 if required to take ENGL 1410 - Grammar) Admission Requirements
Minimum GPA for Admission: 2.75 within all English courses (other than ENGL 1010, ENGL 2010, CLEP, AP, etc.); 2.75 USU cumulative (including courses taken for another USU major); 2.75 career total (including transfer credits) for new transfer students.
Curriculum and Degree Map Section V: Institution, Faculty, and Staff Support Institutional Readiness
Existing administrative structures support the proposed program, and no new organizational structures will be required to deliver the program. Because the program uses existing curriculum, faculty, and staff, the program is ready to be delivered immediately.
Faculty
Existing faculty (and new hires that are replacing retiring faculty members) are sufficient to support this program. No graduate teaching assistants are associated with this pre-professional program.
Staff
Because this new composite teaching major relies on existing curriculum, faculty, and staff, no new resources are needed in staff lines.
Student Advisement
The Department of English has an advisor dedicated to advising students in the English Teaching program. The numbers of teaching majors are not envisioned to change, as the students will simply opt to continue the traditional English Teaching major or opt for the English Teaching Composite.
Library and Information Resources
Existing library and information resources already exist that support the current program. Additionally, the English Education faculty have integrated digital literacy intentionally in all of its pre-professional courses.
Projected Enrollment and Finance .
Section VI: Program Evaluation Program Assessment
Program Objectives are listed at this site: http://english.usu.edu/files/uploads/assessment%20reports/ E_Ed_Learning_Objectives.pdf. Assessment of English Education and a historical overview of annual reports beginning in 2010, can be found at this link: http://english.usu.edu/htm/about/assessment. The most recent report on Data-Based Decisions is at this site: http://english.usu.edu/files/uploads/ assessment%20reports/E_Ed_Data_Based_Decisions.pdf This report demonstrates how the English Education faculty gather information about the program, use that information to improve the program, and then continue the cycle in a spirit of continuous improvement. Student Standards of Performance
Marketable skills: 1. Employment as an English teacher at the secondary level (following licensure through the STEP program administered through the School of Teacher Education and Leadership. Standards 1. Understand reading and writing as socially constructed practices. 2. Know about and be able to use a variety of instructional strategies to meet students' diverse needs. 3. Be able to promote collaborative relationships among students and between students and teacher.
4. Know about and be able to select age-appropriate course materials. 5. Know about and be able to select age-appropriate literature, including adolescent literature. 6. Know about and be able to use technological aids in the teaching of literature and writing. 7. Be able to design and implement effective lesson plans and course curricula. 8. Have classroom management skills. 9. Understand and be able to use assessment strategies appropriate to the subject matter and the age and diversity of students. These standards are drawn from the National Council of Teachers of English (NCTE). These standards also lead to and support Utah Effective Teaching Standards once these pre-service teacher are employed in the field following graduation and licensure: http://www.uen.org/k12educator/uets/. Formative Assessment 1. Student work is graded within the courses during the semester. 2. Formative assessment is solicited from students during the course. 3. The professional advisor offers suggestions and career advice during the course of a student's undergraduate career. Summative Assessment 1. Students assess the English Education program through a Qualtrics survey constructed to provide feedback on the effectiveness of the program. 2. Students assess their own growth in areas such as Information Technology and Ethics through courseby-course surveys delivered at the end of each pre-professional course. 3. Students (seniors) are assessed annually in capstone projects that also provide information to the faculty of the program in a spirit of continuous improvement.
Appendix A: Program Curriculum Course Number
NEW
Course Title
Credit
Hours General Education Courses (list specific courses if recommended for this program on Degree Map) General Education Credit Hour Sub-Total 40 Required Courses ENGL 2600 Literary Analysis 3
ENGL 3510 ENGL 4500 ENGL 4510 ENGL 4520 ENGL 4530 ENGL 4300
Course
Choose from among 6 courses - Writing Explore Teaching Young Adult Literature Teaching Writing Teaching Literature Teaching Literacy in Diverse Setting (previously ENGL 4220) English Clinical Experience Shakespeare Add Another Required Course Required Course Credit Hour Sub-Total
Elective Courses ENGL 3570 ENGL 3500 SCED 3100 SCED 4210 SPED 4000 SCED 5500 SCED 5630 SCED 4300
3 3 3 3 3 1 3
22
Approaches to Research in English Studies (QI) Literacy, Community, and Service Learning
3 3
Motivation and Classroom Management Assessment and Curriculum Design Education of Exceptional Individuals Student Teaching Seminar Student Teaching in Secondary Schools Clinical Experience II
3 3 3 2 10 1
Add Another Elective Course Elective Credit Hour Sub-Total Core Curriculum Credit Hour Sub-Total
28 90
Course Title
Credit Hours
ENGL 4200 or 42 ENGL 4540, ENG
Choose 15 credits of Literary History (6 from Lit of Americas; 6 from Lit o Choose 9 credits from Authors & Genres Linguistics Choose 6 credits from Writing Electives
15 9 3 6
ENGL 2210, 2630
Choose from among 7 courses - Culture Exploration
3
NEW
Course Number Course Name of Emphasis: Literature
Add Another Emphasis Course Emphasis Credit Hour Sub-Total Total Number of Credits to Complete Program NEW
Course Number Course
Course Title
36 126 Credit Hours
Name of Emphasis: American Studies ENGL 2630 Survey of American Culture American Studies Foundation Courses (3 courses, one each from five di Literature & Folklore Courses Linguistics ENGL 4200, 4210 Writing ENGL 4540, 5430
3 9 18 3 3
Add Another Emphasis Course Emphasis Credit Hour Sub-Total Total Number of Credits to Complete Program
36 126
Course Number
NEW Course
Name of Emphasis: Writing ENGL 3400, 3420 Writing Explore Course Literature Courses ENGL 4200, 4210 Linguistics ENGL 3080, 3400 Writing Courses
Course Title
Credit Hours 3 15 3 15
NEW
Course Number Course
Course Title
Add Another Emphasis Course Emphasis Credit Hour Sub-Total Total Number of Credits to Complete Program
Credit Hours
36 126
Program Curriculum Narrative
The English Teaching Composite offers students seeking a career teaching in secondary schools a solid foundation in English courses in addition to the ability to focus on one particular area: American Studies, Literature, or Writing. English Studies is a rich area with several subfields, including folklore, technical communication, gender studies, and ethnic studies. Students have flexibility in several areas to tailor the curriculum to their particular interests. Students graduate with a degree in English Teaching; licensure is obtained through the STEP program in the School of Teacher Education and Leadership.
Degree Map First Year Fall
Cr. Hr.
ENGL 1010: Academic Prose ENGL 2600: Literary Analysis Breadth Requirement Breadth Requirement STAT 1040: Introduction to Statistics Add Courses
Total
Second Year Fall
Third Year Fall
ENGL 2010: Intermediate Writing ENGL 2210, 2630, 2720, 3070, 3620, 2700, or 37 BHUt: CMST 1020 Public Speaking (BHU) Breadth Requirement Breadth Requirement
3 3 3 3 3
15
Total
15
3 3 3 3 3 3 18
Cr. Hr.
ENGL 4510: Teaching Literature Depth Life and Physical Sciences (DSC) ENGL 4300: Shakespeare Quantitative Intensive ENGL 4540 Teaching Creative Writing (or other ENGL 4200 or 4210 Linguistics Add Courses Total
Fourth Year Fall
3 3 3 3 3 3 18
Cr. Hr.
SCED 3100: Motivation and Classroom Managem SCED 4210: Assessment and Curriculum Design SPED 4000: Education of Exceptional Individuals
3 3 2
SCED 4300: Clinical Experiences II Elective Elective Add Courses
1 3 2 14
Total
Cr. Hr.
3 3 3 3 3
Cr. Hr.
ENGL 3400, 3420, 2430, 3440, 4400, or 4410 (W ENGL 1410: Elements of Grammar ENGL 3500: Literacy, Community, & Service Lea ENGL 3520: Multicultural American Lit ENGL Literary History (Americas): 3355, 3365, 33 ENGL Literary History (British Isles):3305, 3315, Add Courses Total
First Year Spring
Second Year Spring
Cr. Hr.
ENGL 3510: Teaching Young Adult Literature ENGL 3385: World Literature (or 3395 or 4430) ENGL Elective: Prose/Poetry/Drama (4340, 4350 Depth Social Sciences (DSS) ENGL 33xx or higher literature elective ENGL Literary History (Americas): 3355, 3365, 33 Total
Third Year Spring
3 3 3 3 3 3 18
Cr. Hr.
ENGL 4500: Teaching Writing ENGL 4220: Teaching Literacy in Diverse Classro ENGL xxxx: Clinical Experience ENGL 5430: Professional & Tech Writing Capsto ENGL 4XXX or higher Literature elective ENGL Literary History (British Isles): 3305, 3315, Total
Fourth Year Spring
3 3 1 3 3 3 16
Cr. Hr.
SCED 5500: Student Teaching Seminar SCED 5630: Student Teaching in Secondary Sch
Total
2 10
12
Appendix C: Current and New Faculty / Staff Information Part I. Department Faculty / Staff # Tenured
# Tenure -Track
# Non -Tenure Track
25
5
1
Faculty: Full Time with Doctorate Faculty: Part Time with Doctorate Faculty: Full Time with Masters
15
Faculty: Part Time with Masters
1
Faculty: Full Time with Baccalaureate Faculty: Part Time with Baccalaureate Teaching / Graduate Assistants
35
Staff: Full Time
5
Staff: Part Time
2
Part II. Proposed Program Faculty Profiles First Name
Last Name
Tenure (T) / Tenure Track (TT) / Other
Degree
Est. % of time faculty member will dedicate Institution where Credential was Earned to proposed program.
If "Other," describe
Full Time Faculty Benjamin
Gunsberg
TT
PhD
University of Michigan
50%
Steven
Shively
T
PhD
University of Nebraska
75%
Sonia
ManuelDupont
T
PhD
University of Kansas
20%
Joyce
Kinkead
T
EdD
Texas A&M University - Commerce
75%
Patricia
Gantt
T
PhD
University of North Carolina - Chapel Hill
100%
Genevieve
Ford
TT
PhD
University of Illinois
25%
Replacement Hire USU - Uintah Basin
TT
PhD
TBD (Replacement of Virginia Exton)
50%
Brock
T
PhD
University of Virginia
10%
Dethier
Add Another Full Time
Part Time Faculty
Add Another Part Time
Part III: New Faculty / Staff Projections for Proposed Program
# Tenured
Faculty: Full Time with Doctorate Faculty: Part Time with Doctorate Faculty: Full Time with Masters
# Non -Tenure # Tenure -Track Track
Academic or Industry Credentials Needed
Est. % of time to be dedicated to proposed program.
# Tenured
Faculty: Part Time with Masters Faculty: Full Time with Baccalaureate Faculty: Part Time with Baccalaureate Teaching / Graduate Assistants Staff: Full Time Staff: Part Time
# Non -Tenure # Tenure -Track Track
Academic or Industry Credentials Needed
Est. % of time to be dedicated to proposed program.
Appendix D: Projected Program Participation and Finance Part I. Three Year Projection: Program Participation and Department Budget Year Preceding Implementation
New Program Year 1
Year 2
Year 3
Year 4
Year 5
452 150
462 160
462 160
467 165
472 170
Student Data # of Majors in Department # of Majors in Proposed Program(s) # of Graduates from Department # Graduates in New Program(s)
452 68
Department Financial Data Department Budget Year 1 Year 2 Addition to
Year 3
Addition to
Addition to
Year Preceding Base Budget Base Budget Base Budget for New for New for New Implementation Program(s) Program(s) Program(s) (Base Budget) EXPENSES – nature of additional costs required for proposed program(s) Project additional expenses associated with offering new program(s). Account for New Faculty as stated in Appendix C, "Faculty Projections."
List salary benefits for additional faculty/staff each year the positions will be filled. For example, if hiring faculty in year 2, include expense in years 2 and 3. List one-time operating expenses only in the year expended.
Personnel (Faculty & Staff Salary & Benefits) Operating Expenses (equipment, travel, resources)
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
Other:
TOTAL PROGRAM EXPENSES
TOTAL EXPENSES
$0
FUNDING – source of funding to cover additional costs generated by proposed program(s) Describe internal reallocation using Narrative 1 on the following page. Describe new sources of funding using Narrative 2.
Internal Reallocation Appropriation Special Legislative Appropriation Grants and Contracts Special Fees Tuition Differential Tuition (requires Regents approval)
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0 $0
$0 $0
$0 $0
TOTAL DEPARTMENT FUNDING Difference
$0
$0
$0
$0
Funding - Expense
$0
$0
$0
$0
PROPOSED PROGRAM FUNDING
Part II: Expense explanation
Expense Narrative No new expenses are associated with this proposed program since the English Teaching major already exists. Part III: Describe funding sources
Revenue Narrative 1 No reallocations are necessary since this is an expansion of an existing program that does not increase demands on the curriculum, faculty, or staff.
Revenue Narrative 2 No new funding sources are needed.
6 May 2016 ITEM FOR ACTION Utah State University’s Department of Watershed Sciences in the S.J. and Jessie E. Quinney College of Natural Resources proposes changing the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems in the manner described below. EXECUTIVE SUMMARY The Department of Watershed Sciences in the S.J. and Jessie E. Quinney College of Natural Resources proposes changing the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems. RECOMMENDATION The President and Provost recommend that the Board of Trustees approve the proposal to change the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems in the S.J. and Jessie E. Quinney College of Natural Resources.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES WHEREAS, Utah State University’s Department of Watershed Sciences in the S.J. and Jessie E. Quinney College of Natural Resources proposes changing the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems, and WHEREAS, The proposed change better reflects the focus of the degree, and WHEREAS, The proposal has been approved by the academic dean, the Educational Policies Committee, and the USU Faculty Senate, and WHEREAS, The proposal has been approved by the President and Provost of Utah State University; NOW THEREFORE BE IT RESOLVED, That the Utah State University Board of Trustees hereby approve the proposal to change the title of the Bachelor of Science degree in Watershed and Earth Systems to Management and Restoration of Aquatic Ecosystems in the S.J. and Jessie E. Quinney College of Natural Resources’ Department of Watershed Sciences and that this proposal be forwarded to the Utah State Board of Regents of the Utah System of Higher Education.
RESOLUTION APPROVED BY THE BOARD OF TRUSTEES
_________________________________ DATE:
Program Request - Abbreviated Template Utah State University BS, Management and Restoration of Aquatic Ecosystems 03/29/16 Section I: Request Utah State University’s Department of Watershed Sciences in the S.J. and Jessie E. Quinney College of Natural Resources requests a change in title for the current program: BS degree in Watershed and Earth Systems. The proposed new title is: BS degree in Management and Restoration of Aquatic Ecosystems. Section II: Need Based on interviews with current and past students, the Department of Watershed Sciences (WATS) finds that the current program title, Watershed and Earth Systems, is ambiguous and does not adequately convey the nature of the program to prospective students and prospective employers. The proposed new program title, Management and Restoration of Aquatic Ecosystems, more clearly indicates the content, skills, and abilities of students in with the program. The name change is consistent with a broader goal of educating students who will find useful and meaningful employment. The new title is also consistent with the deep Departmental faculty expertise in management and restoration of aquatic ecosystems. Section III: Institutional Impact The new program title is expected to help increase enrollment in the major, because the content and opportunities associated with the degree will be clearer. There are currently 12 majors in the program. The WATS Department hopes to grow the major. A new title and reinvigorated marketing to prospective students are part of that plan. Because the program is already established and currently undersubscribed, no administrative or facilities changes are required. Section IV: Finances Changing the title does not require new funds. The WATS Department anticipates growth in existing classes that are currently staffed with instructors. If the Department successfully grows the major, the only long-term financial change will be a growth in student credit hours for WATS classes. Section V: Program Curriculum This request is for a change in program title only. The existing curriculum is well suited to the new program title. Moving forward with the existing major under a new title, the WATS Department expects to make changes in content and credit hours for two classes and replace an existing capstone class with an expanded capstone class intended to better serve the major.
6 May 2016
ITEM FOR ACTION
RE:
Proposed Student Fee and Housing Systems Revenue Bonds, Series 2016 Issuance of Student Fee and Housing Systems Revenue Bonds, Series 2016 to finance Blue Square apartment complex.
EXECUTIVE SUMMARY The University proposes to issue revenue bonds totaling $20,000,000, together with other amounts necessary to pay costs of issuance, pay capitalized interest, and fund any debt service reserve requirement to finance the Blue Square apartment complex (see the attached Preliminary Summary Sheet) previously approved by the Board of Trustees, Board of Regents, State Building Board, and the Legislature. Bonds will be repaid by funds received from on-campus housing rental revenue.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the issuance of Student Fee and Housing Systems Revenue Bonds, Series 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The University proposes to issue revenue bonds totaling $20,000,000, together with other amounts necessary to pay costs of issuance, pay capitalized interest, and fund any debt service reserve requirement to finance the Blue Square apartment complex (see the attached Preliminary Summary Sheet) previously approved by the Board of Trustees, Board of Regents, State Building Board, and the Legislature; and WHEREAS, Bonds will be repaid by funds received from on-campus housing rental revenue: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the issuance of Student Fee and Housing Systems Revenue Bonds, Series 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES
Date
Utah State University Student Fee and Housing System Revenue Bonds, Series 2016 Preliminary Summary Sheet Proposed Issue:
Student Fee and Housing System Revenue Bonds
Total Approximate Issue Size:
$19,150,000
Use of Funds:
To provide up to $20,000,000 to acquire the Blue Square apartment complex; satisfy any reserve fund requirements; and pay associated costs of issuance.
Detail of Proposed Series 2016 Bonds: Principal Amount:
Not to exceed $20,500,000
Interest Rate:
Not to exceed 5.5%
Maturity Date:
Not to exceed 31 years
Aggregate Discount:
Not to exceed 2%
Underwriter’s Discount: Not to exceed 2%
Timetable Considerations:
Bond Rating:
AA from S&P
Source of Repayment:
Housing System Revenues
Regent approval will be sought at the May 20 meeting. The University is proceeding with plans to sell bonds soon after Regent approval is received, with a tentative sale date planned for June 1, 2016. The University anticipates selling bonds by competitive sale, and the underwriter will be whichever bidder provides the lowest borrowing cost (as a combination of interest rates and fees) to the University. The University may also sell its Taxable Research Revenue Bonds by negotiated sale close to or on the same day. The anticipated closing date is Wednesday, June 22.
6 May 2016
ITEM FOR ACTION
RE:
Proposed Research Revenue Bonds, Series 2016 Issuance of Research Revenue Bonds, Series 2016 to finance Phase II of the Space Dynamics Laboratory building located on the Innovation Campus.
EXECUTIVE SUMMARY The University proposes to issue revenue bonds totaling $12,000,000, together with other amounts necessary to pay costs of issuance, pay capitalized interest, and fund any debt service reserve requirement to finance Phase II of the Space Dynamics Laboratory building located on the Innovation Campus (see the attached Preliminary Summary Sheet) previously approved by the Board of Trustees, Board of Regents, State Building Board, and the Legislature. Bonds will be repaid with funds received for reimbursements from research projects.
RECOMMENDATION The President and Vice President for Business and Finance recommend that the Board of Trustees approve the issuance of Research Revenue Bonds, Series 2016.
RESOLUTION UTAH STATE UNIVERSITY BOARD OF TRUSTEES
WHEREAS, The University proposes to issue revenue bonds totaling $12,000,000, together with other amounts necessary to pay costs of issuance, pay capitalized interest, and fund any debt service reserve requirement to finance Phase II of the Space Dynamics Laboratory building located on the Innovation Campus (see the attached Preliminary Summary Sheet) previously approved by the Board of Trustees, Board of Regents, State Building Board, and the Legislature; and WHEREAS, Bonds will be repaid with funds received for reimbursements from research projects: NOW, THEREFORE, BE IT RESOLVED, That the USU Board of Trustees hereby approves the issuance of Research Revenue Bonds, Series 2016.
RESOLUTION APPROVED BY THE USU BOARD OF TRUSTEES
Date
Utah State University Taxable Research Revenue Bonds, Series 2016 Preliminary Summary Sheet Proposed Issue:
Series 2016 Taxable Research Revenue Bonds
Total Approximate Issue Size:
$12,230,000
Use of Funds:
To fund the construction of Phase II of the Research Park for the Space Dynamics Laboratory; fund a reserve fund if needed; and pay associated costs of issuance.
Detail of Proposed Series 2016 Bonds: Principal Amount:
Not to exceed $12,500,000
Interest Rate:
Not to exceed 5.5%
Maturity Date:
Not to exceed 31 years
Aggregate Discount:
Not to exceed 2%
Underwriter’s Discount: Not to exceed 2%
Timetable Considerations:
Bond Rating:
AA from S&P
Source of Repayment:
Research Revenues
Regent approval will be sought at the May 20 meeting. The University is proceeding with plans to sell bonds soon after Regent approval is received, with the sale tentatively scheduled for the week of May 30. The University anticipates selling bonds by negotiated sale, with Piper Jaffray having been selected as the underwriter. The anticipated closing date is Wednesday, June 22.