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UNIVERSITY POLICY MANUAL

TABLE OF CONTENTS

GUIDING FRAMEWORK

University Mission Statement ....................................................1

Equal Employment Opportunity, Equal Educational Opportunity and

Non-discrimination Policy.................................................1

Affirmation of Values Statement ..................................................1

Positioning Statement ..........................................................3

Organizational Chart ...........................................................4

CHAPTER 1. UNCLASSIFIED PERSONNEL

1A. Categories of Unclassified Appointments ............................... 1-1

1A.01 Academic Appointments ................................................ 1-1

1A.0101 Academic Probationary ......................................... 1-1

1A.0102 Academic Tenure .............................................. 1-1

1A.0103 Non-tenure Track Academic ..................................... 1-1

1A.0104 Academic Temporary ........................................... 1-1

1A.02 Administrative Appointments ............................................ 1-2

1A.0201 Administrative Probationary ..................................... 1-2

1A.0202 Administrative Regular ......................................... 1-2

1A.0203 Administrative Temporary ....................................... 1-2

1A.0204 Administrative Athletics ........................................ 1-2

1A.0205 Limited Appointment ........................................... 1-3

1B. Academic Appointment Policies and Procedures ........................ 1-3

1B.01 Notices of Appointment ................................................. 1-3

1B.02 Appointment Terms .................................................... 1-3

1B.0201 Academic Year Appointments .................................... 1-3

1B.0202 12-month Appointments ........................................ 1-3

1B.0203 Summer Session Appointments ................................... 1-3

1B.03 Faculty Ranks ........................................................ 1-4

1B.0301 Professor ..................................................... 1-4

1B.0302 Associate Professor ............................................ 1-4

1B.0303 Assistant Professor ............................................. 1-4

1B.0304 Instructor .................................................... 1-4

1B.0305 Lecturer ..................................................... 1-4

1B.04 Faculty Titles ......................................................... 1-4

1B.0401 Adjunct ...................................................... 1-4

1B.0402 Distinguished Professor ......................................... 1-4

1B.0403 Clinical Instructor ............................................. 1-4

1B.05 Minimum Faculty Qualifications.......................................... 1-5

1B.06 Graduate Faculty ...................................................... 1-6

1B.0601 Membership in Graduate Faculty .................................. 1-6

1B.0601.01 Regular Graduate Faculty ............................... 1-6

1B.0601.02 Associate Graduate Faculty .............................. 1-6

1B.0601.03 Temporary Graduate Faculty ............................ 1-7

1B.0602 Guidelines for Graduate Faculty Membership ........................ 1-7

1B.07 Academic Freedom .................................................... 1-8

1B.08 Faculty Performance and Recognition ...................................... 1-8

1B.0801 Notification of Faculty Performance and Recognition Policies .......... 1-8

1B.0802 Faculty Recognition Policy ...................................... 1-9

1B.0803 Annual Faculty Evaluation...................................... 1-11

1B.0803.01 Training of Department Chairs .......................... 1-12

1B.0803.02 Student Rating of Teaching ............................. 1-12

1B.0804 Evaluation of the Chair by Faculty ............................... 1-13

1B.0805 Policies and Procedure for Tenure ................................ 1-14

1B.0805.01 Board of Regents Policy for Tenure ...................... 1-14

1B.0805.02 University Policies and Procedures for Tenure .............. 1-15

1B.0805.03 Reappointment during the Probationary Period ............. 1-19

1B.0806 Policies and Procedures for Promotion ............................ 1-21

1B.0806.01 Distribution of Promotion Policies and Procedures to Faculty . . 1-21

1B.0806.02 University Criteria for Promotion ........................ 1-21

1B.0806.03 Procedures for Faculty Promotion........................ 1-22

1B.0807 Faculty Performance and Recognition Decisions when Interdepartmental

Transfers of Faculty Members or Departmental Mergers are Involved . . 1-25

1B.09 Policies on Termination of Employment ................................... 1-26

1B.0901 Resignation .................................................. 1-26

1B.0902 Non-reappointment ........................................... 1-26

1B.0903 Program Discontinuance ....................................... 1-27

1B.0904 Post Tenure Review Policy ..................................... 1-27

1B.0905 Chronic Low Performance and Corrective Faculty Development ........ 1-29

1B.0906 Procedure for Faculty Review Prior to Dismissal for Cause of

Tenured Faculty .............................................. 1-35

1B.10 Implementation of the Kansas Board of Regents’ Policy on Social Media......... 1-39

1B.11 Faculty Enrollment at ESU ............................................. 1-40

1B.12 Faculty Referendum ................................................... 1-40

1C. Administrative Appointment Policies and Procedures .................. 1-41

1C.01 Appointment, Evaluation, Retention, and Termination ........................ 1-41

1C.0101 Introduction ................................................. 1-41

1C.0102 Administrative Probationary .................................... 1-42

1C.0102.01 Administrative Probationary Status with Cause (for Employees

with Prior Permanent Status) ........................... 1-44

1C.0102.02 Administrative Probationary Status without Cause .......... 1-44

1C.0103 Administrative Regular ........................................ 1-44

1C.0103.01 Administrative Regular Status without Cause .............. 1-45

1C.0104 Administrative Temporary ...................................... 1-45

1C.0105 Administrative Athletic ........................................ 1-45

1C.0106 Limited Term ................................................ 1-46

1C.02 Procedures for Faculty/Staff Evaluation of Administrators . ................... 1-46

1C.03 Board of Regents Evaluation of the President ............................... 1-50

1D. Unclassified Personnel with Administrative and

Academic Responsibilities

........................................... 1-50

1D.01 Introduction ......................................................... 1-50

1D.02 Existing Tenure/Rank ................................................. 1-50

1D.03 Evaluations.......................................................... 1-50

1E. Other Unclassified Personnel Policies ................................. 1-51

1E.01 Dispute Resolution, Mediation, and Grievance Policy ........................ 1-51

1E.02 Grievance Policy for Administrators ...................................... 1-60

1E.03 Commitment of Time, Conflict of Interest, Consulting and Other Employment .... 1-60

1E.0301 Conflict of Interest and Conflict of Time Reporting Procedure ......... 1-65

CHAPTER 2: UNIVERSITY SUPPORT STAFF

2A. University Support Staff Employment ................................. 2-1

2A.01 Appointment Notice .................................................... 2-1

2A.02 Appointment Type ..................................................... 2-1

2A.0201 Probationary Appointment ....................................... 2-1

2A.0202 Temporary Appointment ........................................ 2-2

2A.0203 Limited Term Appointment ...................................... 2-2

2A.0204 Acting Appointment ............................................ 2-2

2A.03 Supervisory Training ................................................... 2-3

2A.04 Return to Work Policy .................................................. 2-3

2A.05 Furloughs and Layoffs .................................................. 2-3

2A.0501 Furloughs .................................................... 2-3

2A.0502 Layoff and Reemployment ....................................... 2-4

2A.06 Personal Property...................................................... 2-4

2B. Other Employment .................................................. 2-5

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2C. Personal Business .................................................... 2-5

2D. Work Schedule ...................................................... 2-5

2D.01 Punctuality ........................................................... 2-5

2D.02 Portal to Portal Act .................................................... 2-5

2D.03 Overtime ............................................................ 2-6

2D.0301 Compensatory Time Policy ...................................... 2-7

2D.04 Break Periods ......................................................... 2-7

2D.05 Meals ............................................................... 2-8

2D.06 Call-In and Call-Back .................................................. 2-8

2D.07 Travel Away from Home ................................................ 2-8

2D.08 Shift Differential ...................................................... 2-9

2D.09 Stand-By Compensation ................................................ 2-9

2E. Probationary Period and Performance Evaluation ...................... 2-9

2E.01 Performance Review System ............................................. 2-9

2E.0101 Probationary Period Review ..................................... 2-9

2E.02 Annual Performance Evaluation ......................................... 2-10

2E.0201 Initial Planning ............................................... 2-10

2E.0202 Mid-Year and Annual Review Discussions ......................... 2-11

2E.0203 Performance Factors .......................................... 2-11

2E.0204 Overall Performance .......................................... 2-11

2E.03 Demotion – Involuntary ................................................ 2-12

2F. Disciplinary Action and Grievance Procedures ........................ 2-12

2F.01 Areas Covered by University Support Staff Policies .......................... 2-12

2F.02 Progressive Discipline Policy ........................................... 2-12

2F.0201 General Policy ............................................... 2-13

2F.0202 Role of Human Resources ...................................... 2-13

2F.03 Grievance Procedures ................................................. 2-14

2F.0301 Formal Grievance Procedures ................................... 2-14

2F.0302 Informal Grievance Procedures .................................. 2-14

2F.04 Appeals Board ....................................................... 2-15

2F.0401 Board Governance ............................................ 2-15

2F.0402 Appeal – Demotion and Dismissal ................................ 2-16

2F.0403 Appeal – Performance Review .................................. 2-18

2G. Recruitment ....................................................... 2-20

2G.01 Vacancy Announcements ............................................... 2-20

2G.02 Position Qualifications and Position Descriptions ........................... 2-20

2G.03 Selection Considerations ............................................... 2-20

2G.04 Interview Process..................................................... 2-21

2G.05 Promotions and Transfers .............................................. 2-21

2G.0501 Promotion and Transfer Listings for Other State Agencies ............. 2-21

2G.06 Demotion – Voluntary ................................................. 2-21

2G.07 Reinstatement........................................................ 2-21

2H. Termination of Employment ......................................... 2-22

2H.01 Retirement .......................................................... 2-22

2H.02 Resignation ......................................................... 2-22

2H.03 Termination of Employment ............................................ 2-22

2H.04 Job Abandonment .................................................... 2-22

2H.05 Exit Interview ....................................................... 2-22

2H.06 Termination Clearance Procedures ....................................... 2-22

2I. AFSCME Local Union Agreement ................................... 2-23

CHAPTER 3: INSTITUTIONAL POLICIES

3A. Leave Policies and Holidays ....................................... 3-1

3A.01 Sabbatical Leave – Unclassified .......................................... 3-1

3A.02 Vacation Leave ....................................................... 3-3

3A.0201 Unclassified .................................................. 3-3

3A.0202 University Support Staff ........................................ 3-4

3A.03 Holidays ............................................................. 3-5

3A.04 Discretionary Holiday .................................................. 3-6

3A.05 Sick Leave ........................................................... 3-6

3A.06 Family and Medical Leave Act ........................................... 3-7

3A.07 Bereavement Leave .................................................... 3-8

3A.08 Jury Duty ............................................................ 3-8

3A.09 Military Leave ........................................................ 3-8

3A.10 Leave Without Pay ..................................................... 3-9

3A.1001 Unclassified .................................................. 3-9

3A.1002 University Support Staff & Unclassified Service ..................... 3-9

3A.11 Voting Release Time .................................................. 3-10

3A.12 Shared Leave Policy .................................................. 3-10

3A.1201 Unclassified ................................................. 3-10

3A.1202 University Support Staff ....................................... 3-10

3B. Benefits ............................................................ 3-11

3B.01 Health Insurance ..................................................... 3-11

3B.02 Retirement Plans ..................................................... 3-11

3B.0201 Mandatory Retirement Plan – Unclassified ......................... 3-11

3B.0201.01 Plan Contributions .................................... 3-12

3B.0201.02 Retirement Age ...................................... 3-12

3B.0202 Kansas Public Employees Retirement System ....................... 3-13

3B.0202.01 Unclassified ......................................... 3-13

3B.0202.02 University Support Staff ............................... 3-13

3B.0202.03 Group Life Insurance ................................. 3-13

3B.0203 Kansas Police and Firefighters’ Retirement System .................. 3-13

3B.0204 Phased Retirement – Unclassified ................................ 3-14

3B.03 Social Security ....................................................... 3-14

3B.04 Voluntary Tax-sheltered Annuity Program ................................. 3-14

3B.05 Deferred Compensation ................................................ 3-15

3B.06 Unemployment Compensation........................................... 3-15

3B.07 Worker’s Compensation ............................................... 3-15

3B.08 Flexible Spending Accounts ............................................ 3-16

3B.09 Accidental Work-related Death Benefit ................................... 3-16

3B.10 Disability Insured Benefit .............................................. 3-16

3B.11 Optional KPERS Group Life Insurance .................................... 3-16

3B.12 Employees Association Insurance ........................................ 3-17

3B.13 HealthQuest Employee Assistance Program ................................ 3-17

3B.14 Business Travel Card .................................................. 3-17

3B.15 Identification Card .................................................... 3-17

3B.16 Emeritus Status ...................................................... 3-17

3B.17 Fee Waiver .......................................................... 3-18

3B.1701 Enrollment in Courses – University Support Staff ................... 3-18

3B.18 Defense of State Officers and Employees .................................. 3-18

3C. Salary and Compensation ........................................... 3-19

3C.01 Pay Periods ......................................................... 3-19

3C.02 Time and Leave Reports ............................................... 3-19

3C.03 Paycheck Distribution/Direct Deposit ..................................... 3-19

3C.04 Salary Deductions .................................................... 3-19

3C.05 Regents’ Payroll Deduction ............................................. 3-20

3C.06 Salary Plan .......................................................... 3-20

3C.0601 Unclassified ................................................. 3-20

3C.0601.01 Merit Increases ...................................... 3-20

3C.0602 University Support Staff ....................................... 3-20

3C.0602.01 Salary and Title Management ........................... 3-21

3C.0602.02 Pay Increases ........................................ 3-21

3C.07 Longevity Pay – University Support Stuff ................................. 3-21

3C.08 Acceptance of Gifts ................................................... 3-21

3C.09 Furlough Policy – Unclassified Employees ................................. 3-23

3C.10 Financial Exigency ................................................... 3-25

3C.11 Personnel Retrenchment Policy .......................................... 3-25

3C.12 Ties between Classified Service and University Support Staff .................. 3-32

3D. Conduct Expectations ............................................... 3-32

3D.01 Affirmative Action Plan ................................................ 3-32

3D.0101 Policy Statement ............................................. 3-32

3D.0102 Dissemination of Plan ......................................... 3-33

3D.0103 Affirmative Recruitment ....................................... 3-34

3D.0104 External Relationships: Union, Employment Agencies, Contractors ..... 3-36

3D.0105 Equal Educational Opportunity .................................. 3-37

3D.0106 Harassment, Sexual Violence, Discrimination Prevention Policies

and Procedures ............................................... 3-40

3D.0106.01 Explanations ......................................... 3-41

3D.0106.02 Definitions .......................................... 3-42

3D.0106.02.01 Sexual Harassment and Sexual Violence .......... 3-42

3D.0106.02.02 Racial and/or Ethnic Harassment ................ 3-46

3D.0106.02.03 Other Harassment ............................ 3-46

3D.0106.03 Role of the Affirmative Action Officer and Title IX Coordinator. 3-47

3D.0106.04 Affirmative Action Advisory Council ..................... 3-47

3D.0106.05 Grievance Procedures for Faculty, Staff, and Students ........ 3-47

3D.0107 Searches, Screening, and Appointments for Unclassified Personnel:

Recruitment and Hiring Procedures ............................... 3-58

3D.02 Nepotism Policy...................................................... 3-64

3D.03 Consenting Relationships .............................................. 3-65

3D.04 Professional Ethics.................................................... 3-66

3D.05 Interference with Conduct of the Institution ................................ 3-70

3D.06 Whistleblower Policy.................................................. 3-71

3D.07 Use of University Property for Free Expression Activities . .................... 3-72

3D.0701 Free Expression Activities Policy ................................ 3-72

3D.08 Student Conduct ...................................................... 3-75

3D.0801 Academic Dishonesty ......................................... 3-76

3D.09 Voluntary or Involuntary Withdrawal from the University for Seriously

Disruptive Behaviors .................................................. 3-78

3D.0901 Responses to Seriously Disruptive Behavior ........................ 3-78

3D.0902 Voluntary Withdrawal from the University ......................... 3-79

3D.0903 Involuntary Withdrawal from the University ........................ 3-80

3D.0904 Appeal ..................................................... 3-81

3D.0905 University Action After an Involuntary Withdrawal Because of Behavior

Concurrent with a Diagnosed Medical or Mental Health Disorder . . ..... 3-82

3D.0906 Reinstatement After a Voluntary or Involuntary Withdrawal

from the University ........................................... 3-82

3D.10 Student Bill of Rights ................................................. 3-83

3D.11 Board Policy on Student Organizations and Activities ........................ 3-86

3D.1101 Determination of Appropriate Student Activities and Fees ............. 3-87

3D.12 University Student Complaints .......................................... 3-87

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3E. Research and Development .......................................... 3-88

3E.01 Research and Creativity Policy .......................................... 3-88

3E.0101 Research and Grants Center ..................................... 3-89

3E.02 Research Involving Human Subjects ...................................... 3-89

3E.03 Policy on Animal Care ................................................. 3-90

3E.0301 Guidelines for Forming and Operating the University-wide Animal Care

and Use Committee ........................................... 3-90

3E.04 Policy for Responding to Allegations of Scientific Misconduct ................. 3-91

3E.05 Intellectual Property Policy, Patent, & Copyrightable Software Policy ........... 3-92

3E.06 Use of Copyrighted Material ............................................ 3-96

3E.0601 Digital Millennium Copyright Act Policy ........................... 3-97

3E.07 Export Controls Policy ................................................. 3-99

3F. Employment of Foreign Nationals ................................... 3-105

3F.01 Non-Immigrant Visas and Immigrant Petitions ............................. 3-106

3G. Collection, Use and Protection of Social Security Numbers ............ 3-107

3H. Identity Theft Prevention Program .................................. 3-108

3I. Background Check ............................................ 3-114

3J. Information Technology ............................................ 3-116

3J.01 Security Policy Definitions ............................................ 3-116

3J.02 Information Security ................................................. 3-120

3J.03 Information Technology Usage ........................................ 3-121

3J.04 System Requirements Analysis and Specification ........................... 3-124

3J.05 Information Technology Risk Assessment ................................ 3-125

3J.06 Change Control ..................................................... 3-126

3J.07 Security Awareness .................................................. 3-127

3J.08 Incident Response ................................................... 3-129

3J.09 Password Policy..................................................... 3-130

3J.10 User Identification Policy ............................................. 3-131

3J.11 Network Controls.................................................... 3-132

3J.12 Encryption ......................................................... 3-133

3J.13 Controls Against Malicious Software .................................... 3-134

3J.14 Mobile Computing Devices ............................................ 3-135

3J.15 Clear Desk and Clear Screen ........................................... 3-137

3J.16 Secure Areas ....................................................... 3-138

3J.17 Information Classification ............................................. 3-139

3J.18 Employee Termination and Reassignment ................................ 3-141

3J.19 Secure Disposal and Reuse ............................................ 3-142

3J.20 System Documentation ............................................... 3-143

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3J.21 System Patching..................................................... 3-144

3J.22 Event Logging ...................................................... 3-145

3J.23 Network Logon Banner ............................................... 3-146

3J.24 Disaster Recovery and Business Continuity ............................... 3-147

3J.25 Intrusion Detection .................................................. 3-148

3J.26 Equipment Security .................................................. 3-149

3J.27 Trust Relationships .................................................. 3-151

3J.28 Vendor Management ................................................. 3-152

3J.29 Email Usage Policy .................................................. 3-153

3J.30 Bring Your Own Device .............................................. 3-156

3K. Internal Audit ..................................................... 3-157

3L. Inspection of Personnel Records .................................... 3-157

3L.01 Unclassified ........................................................ 3-157

3L.02 University Support Staff .............................................. 3-158

3M. Travel ............................................................ 3-159

3M.01 In-State Travel ...................................................... 3-159

3M.02 Out-of-State Travel .................................................. 3-160

3M.0201 State Travel Center ........................................... 3-160

3M.03 Airline Travel....................................................... 3-160

3M.0301 KCI Parking ................................................ 3-160

3M.04 State Vehicles ...................................................... 3-160

3M.0401 Accident Reporting Requirements ............................... 3-162

3M.0402 15-Passenger Van Policy ...................................... 3-162

3M.0403 25-Passenger Bus Policy ...................................... 3-163

3M.05 Rental Car ......................................................... 3-164

3M.06 Conference Registration .............................................. 3-164

3M.07 Hotel/Motel Reservations ............................................. 3-164

3M.08 Meals/Per Diem ..................................................... 3-164

3M.09 Travel Reimbursement................................................ 3-165

3N. Financial Policies .................................................. 3-165

3N.01 Purchasing ......................................................... 3-165

3N.0101 General Purchasing Guidelines ................................. 3-166

3N.0102 Guidelines Based on Dollar Amount of Purchase ................... 3-167

3N.0102.01 Purchases of Any Dollar Amount ....................... 3-167

3N.0102.02 Purchases Totaling $0 to $4,999 ........................ 3-167

3N.0102.03 Purchases Totaling $5,000 to $9,999 .................... 3-168

3N.0102.04 Purchases Totaling $10,000 and Over ................... 3-168

3N.0103 Signature Authority on Purchases ............................... 3-168

3N.0104 Lease/Rental of Space ........................................ 3-168

3N.0105 Purchases Requiring ESU Contract .............................. 3-169

3N.0106 Memorandum of Understanding and Memorandum of Agreement . ..... 3-170

3N.0107 Notice of Appointment ........................................ 3-170

3N.02 Inventory .......................................................... 3-170

3N.0201 Transfer or Disposal of Property ................................ 3-170

3N.0202 Transfer of Grant Purchased Items .............................. 3-171

3N.03 Collecting Fees and Handling Cash ...................................... 3-171

3N.0301 Sales Tax .................................................. 3-171

3N.0301.01 Deposit Slip Procedures .............................. 3-173

3N.0302 Payment Card Industry Data Security Standard .................... 3-174

3N.04 Solicitation Policy ................................................... 3-175

3N.0401 Credit Cards ................................................ 3-175

3N.0402 On-Campus Sales of Commercial Activities by Outside Business ...... 3-175

3N.0403 Fundraising ................................................. 3-176

3N.05 Professional Fees .................................................... 3-176

3N.06 Membership Fees .................................................... 3-176

3N.07 Official Hospitality and Food/Beverage .................................. 3-176

3N.08 Capital Financing Policy .............................................. 3-178

3N.09 Moving Expense Reimbursement ....................................... 3-179

3N.10 Fundraising Priority Policy ............................................ 3-180

3O. Media Relations, University Marks, and Printing ..................... 3-182

3O.01 Media Relations ..................................................... 3-182

3O.02 University Names, Logos, and Marks .................................... 3-182

3O.03 Printing............................................................ 3-183

3P. Facilities, Parking, and Related Services ............................. 3-184

3P.01 Key Issuance ....................................................... 3-184

3P.02 Use of Facilities After Closing Hours .................................... 3-184

3P.0201 Obtaining After Closing Hours Permits ........................... 3-184

3P.03 Campus Safety ...................................................... 3-185

3P.04 Scheduling Facilities ................................................. 3-185

3P.0401 Reserving Equipment ......................................... 3-185

3P.05 Building Managers ................................................... 3-185

3P.06 Naming Facilities .................................................... 3-185

3P.0601 Naming of a Room or a Defined Space ............................ 3-186

3P.07 Parking ............................................................ 3-187

3P.08 Food .............................................................. 3-187

3P.09 Animals and Pets .................................................... 3-187

3P.10 Sign/Banner/Chalking Policy .......................................... 3-188

3Q. Inclement Weather and Emergencies ................................ 3-188

3Q.01 Inclement Weather Policy for University Employees ........................ 3-188

3Q.0101 Issue a Declaration of Inclement Weather and Close the University .... 3-189

3Q.0102 Notification ................................................ 3-189

3Q.0103 Inclement Weather Emergency Personnel ......................... 3-189

3Q.0104 Lost Time .................................................. 3-190

3Q.02 Canceling Classes in the Event of Inclement Weather ....................... 3-190

3Q.0201 Regular Daytime On-Campus Classes ............................ 3-190

3Q.0202 On-Campus Night and Weekend Classes ......................... 3-190

3Q.0203 Off-Campus Classes .......................................... 3-190

3Q.03 Accidents, Injuries and Medical Incidents ................................. 3-191

3Q.04 Timely Warnings .................................................... 3-192

3Q.05 Emergency Response ................................................ 3-192

3Q.06 Emergency Mass Exit Evacuation of Non-residence Hall Buildings ............ 3-193

3Q.0601 Classroom Settings ........................................... 3-193

3Q.0601.01 Safe Room ......................................... 3-195

3Q.0601.02 Faculty and Disabled Student Responsibilities in an Emergency3-196

3Q.0602 Non-Classroom Settings ...................................... 3-196

3Q.0603 Conferences and Non-Credit Functions, Offices and Memorial Union . . . 3-197

3Q.07 Tornado Shelters .................................................... 3-197

3Q.08 Chemical Safety and Environmental Concerns ............................. 3-198

3Q.09 Campus Fire and Life Safety ........................................... 3-199

3Q.10 Workplace/Campus Violence .......................................... 3-202

3R. Alcohol, Tobacco, and Controlled Substance Policies .................. 3-204

3R.01 Alcohol Policy ...................................................... 3-204

3R.0101 Home Game Athletic Fundraising Events ......................... 3-206

3R.02 Tobacco Use Free and Smoke Free Campus Policy ......................... 3-207

3R.03 Drug Free Workplace Act Policy ........................................ 3-208

3R.0301 Drug Screening Program for Safety Sensitive Positions . . . ........... 3-209

3S. HIV/AIDS Policy and Guidelines .................................... 3-210

3S.01 Policy and Guidelines ................................................ 3-210

3S.0101 General Policy .............................................. 3-210

3S.0102 Guidelines ................................................. 3-210

3T. Legislative Appearance ............................................ 3-211

3U. Opinions from the Attorney General ................................ 3-211

3V. Political Activity ................................................... 3-212

3V.01 Use of Campus Facilities for Political Meetings ............................ 3-212

3V.02 Political Involvement ................................................. 3-212

3V.0201 Unclassified ................................................ 3-212

3V.0202 University Support Staff ...................................... 3-213

3V.03 Student Governance.................................................. 3-213

3V.04 Contacting Legislators ................................................ 3-213

3W. Mail and Postage .................................................. 3-213

3X. Cellular Phone Policy .............................................. 3-213

3Y. Flag Policy ........................................................ 3-214

3Z. Policy on Weapons Possession ...................................... 3-214

3Z.01 Introduction ........................................................ 3-214

3Z.02 Carrying and Storage of Handguns ...................................... 3-216

3AA. Reporting Sexual Abuse ............................................ 3-221

3AB. Ticket Sales ....................................................... 3-221

3AB.01 Accessible Seating.................................................. 3-222

3AC. Campus Governance ............................................... 3-223

3AC.01 Faculty Senate ..................................................... 3-223

3AC.02 Associated Student Government ....................................... 3-224

3AC.0201 Student Senate ............................................. 3-224

3AC.03 University Support Staff Senate ....................................... 3-224

3AC.04 Unclassified Commission ............................................ 3-224

3AD. Boards, Councils, and Committees .................................. 3-225

3AD.01 Councils .......................................................... 3-225

3AD.02 Advisory Committees ............................................... 3-225

3AD.03 Boards ........................................................... 3-225

3AD.04 Review Committees................................................. 3-225

3AD.0401 Federally Mandated University-Wide Committees Subject to

Senate Review............................................. 3-225

3AD.05 Task Forces ....................................................... 3-226

3AD.06 University Recognition of Faculty Organizations .......................... 3-226

3AD.07 Policy on Campus-Wide Committees ................................... 3-227

3AE. Constitution and Bylaws of Faculty Senate ........................... 3-229

3AE.01 Constitution ....................................................... 3-229

3AE.02 Bylaws ........................................................... 3-237

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3AF. Modifications to Regular and Interim Policies and Procedures ......... 3-246

3AF.01 Regular Policies and Procedures ....................................... 3-246

3AF.02 Interim Policies and Procedures ....................................... 3-247

CHAPTER 4: ACADEMIC POLICIES

4A. Academic Advising .................................................. 4-1

4A.01 Board of Regents Advising Requirements ................................... 4-1

4A.02 Freshman and Undeclared Student Advisement .............................. 4-2

4A.03 Advisement of Other Undergraduate Students ............................... 4-2

4A.04 Graduate Student Advisement ............................................ 4-2

4A.05 International Student Advisement ......................................... 4-2

4B. Academic Load ...................................................... 4-3

4B.01 Undergraduate Load ................................................... 4-3

4B.02 Graduate Load ........................................................ 4-3

4B.0201 Thesis and Research Credit ...................................... 4-3

4B.03 Full-time Status ....................................................... 4-4

4B.04 Concurrent Undergraduate Students ....................................... 4-4

4B.05 Seniors Earning Graduate Credit .......................................... 4-4

4C. Academic Requirements and Regulations .............................. 4-5

4C.01 Graduation Requirements ............................................... 4-5

4C.0101 Undergraduate ................................................ 4-5

4C.0101.01 Time Limit Policy ..................................... 4-5

4C.0102 Graduate ..................................................... 4-6

4C.0102.01 Master’s Degree ...................................... 4-6

4C.0102.01.01 Thesis ...................................... 4-6

4C.0102.02 Specialist in Education Degree ........................... 4-6

4C.0102.03 Doctoral Degree ...................................... 4-7

4C.02 Application for a Degree ................................................ 4-7

4C.0201 Undergraduate ................................................ 4-7

4C.0202 Graduate ..................................................... 4-8

4C.0202.01 Degree Candidacy ..................................... 4-8

4C.0203 Second Bachelor’s Degree ....................................... 4-8

4C.0204 Second Master’s Degree ........................................ 4-9

4C.0205 Posthumous Degree ............................................ 4-9

4C.0205.01 Posthumous Recognition ............................... 4-10

4C.03 Resident Academic Credit .............................................. 4-10

4C.04 External Academic Credit .............................................. 4-11

4C.0401 Transfer Credit – Undergraduate ................................. 4-11

4C.0401.01 Student Transfer Appeals Process ........................ 4-11

xiii

4C.0401.02 Articulation (Transfer) Agreement ....................... 4-12

4C.0402 Transfer Credit – Graduate ...................................... 4-12

4C.0403 Correspondence Study ......................................... 4-13

4C.0404 Credit Offerings in Cooperation with Organizations Outside the University 4-13

4C.05 Life Experience Credit................................................. 4-13

4C.06 Military Service Credit ................................................ 4-13

4C.07 International Baccalaureate Diploma ...................................... 4-13

4C.08 Minimal Competency Examination Requirement for Teacher Education Students . . 4-14

4C.09 Developmental Course Policy ........................................... 4-15

4C.10 English Proficiency Testing and Placement Requirements for International Students 4-16

4C.1001 Undergraduate ............................................... 4-16

4C.1002 Graduate .................................................... 4-16

4C.1003 Graduate and Undergraduate Students ............................. 4-17

4D. Scholastic Standing ................................................. 4-17

4D.01 Satisfactory Academic Progress ......................................... 4-17

4D.02 Good Scholastic Standing .............................................. 4-17

4D.03 Scholastic Probation ................................................... 4-17

4D.0301 Required Withdrawal .......................................... 4-18

4D.0301.01 Readmittance After Required Withdrawal ................. 4-18

4D.04 Scholastic Standing – Graduate .......................................... 4-19

4E. Classroom Instruction .............................................. 4-19

4E.01 Faculty Teaching Load and Other Primary Duties ........................... 4-19

4E.02 Training and Supervision of Graduate Teaching Assistants . . .................. 4-20

4E.03 Textbook and Course Material Selection .................................. 4-20

4E.0301 Use of Controversial Material in Instruction, Including the Use of

Sexually Explicit Materials in Instruction .......................... 4-21

4E.0302 Solicited and Unsolicited Textbooks and Materials .................. 4-21

4E.04 Class Schedule Policy ................................................. 4-22

4E.05 Guidelines for Courses................................................. 4-22

4E.0501 Definition of a Credit Hour ...................................... 4-22

4E.0502 Low Enrollment Policy ........................................ 4-23

4E.0503 Graduate Credit for Short Courses ................................ 4-23

4E.0504 Academic Extension .......................................... 4-24

4E.0504.01 Geographic Jurisdiction ............................... 4-24

4E.0504.02 Base and Nonbase Credit Academic Extension ............. 4-24

4E.0504.03 Noncredit Academic Extension .......................... 4-24

4E.0504.04 Academic Extension Specialty Program ................... 4-24

4E.0505 Distance Education ........................................... 4-25

4E.06 Faculty Participation in Assessment of Student Learning . . . ................... 4-25

4E.07 Providing Students with Syllabi ......................................... 4-25

4E.08 Faculty Office Hours .................................................. 4-25

4E.09 Class Rosters ........................................................ 4-26

xiv

4E.10 Auditing ............................................................ 4-26

4E.11 Guests in Class....................................................... 4-26

4E.12 Use of Recording Instruments in Class .................................... 4-26

4E.13 Absences ........................................................... 4-26

4E.1301 Student Absences ............................................. 4-26

4E.1301.01 Effect on Grade ...................................... 4-26

4E.1301.02 Academic Appeals for Absences ......................... 4-27

4E.1302 Faculty Absences ............................................. 4-27

4E.14 Grades ............................................................. 4-27

4E.1401 Meaning of Grades ............................................ 4-27

4E.1401.01 Plus/Minus .......................................... 4-27

4E.1401.01.01 Satisfactory/Unsatisfactory Midterm Grade Options . 4-28

4E.1401.02 In Progress .......................................... 4-28

4E.1401.03 Pass-No Credit ....................................... 4-28

4E.1401.03.01 Extended Use of Pass-No Credit Designation ...... 4-29

4E.1401.04 Credit by Examination ................................ 4-30

4E.1402 Drop-Add, Withdrawal, and Midterm Grades ....................... 4-31

4E.1402.01 Drop-Add ........................................... 4-31

4E.1402.02 Midterm Grades ...................................... 4-31

4E.1402.03 Withdrawal .......................................... 4-32

4E.1403 Final Grades ................................................. 4-32

4E.1404 Incomplete Grades ............................................ 4-32

4E.1405 Change of Grade .............................................. 4-33

4E.1406 Academic Appeals ............................................ 4-33

4E.1406.01 Academic Appeals Policy............................... 4-33

4E.1407 Course Repeat Grade Policy ..................................... 4-36

4E.1408 Retroactive Credit in Graduate Courses ............................ 4-37

4E.15 Faculty Initiated Student Withdrawal ..................................... 4-37

4E.1501 Withdrawal of Nursing Students ................................. 4-37

4E.16 Academic Calendar ................................................... 4-37

4E.1601 Final Examination ............................................ 4-38

4E.1602 Non-Activity Week ........................................... 4-39

4E.17 Academic Achievement ................................................ 4-40

4E.1701 Academic Achievement at Semester ............................... 4-40

4E.1702 Academic Achievement at Graduation ............................ 4-40

4F. Holds .............................................................. 4-41

4F.01 Holds on Student Records .............................................. 4-41

4F.02 Transcript Holds ..................................................... 4-42

4G. Drop Policy ........................................................ 4-42

4H. Academic Record Review (Academic Bankruptcy) ..................... 4-42

4I. Student Records .................................................... 4-43

4I.01 Educational Records .................................................. 4-43

4I.0101 Undergraduate ............................................... 4-43

4I.0102 Graduate ..................................................... 4-43

4I.02 Access to Student Records (FERPA)...................................... 4-43

4I.0201 Kansas Open Records Act ....................................... 4-47

4I.0201.01 Exceptions to Kansas Open Records Act .................. 4-48

4J. Tuition Waivers, Reductions, or Refunds/Adjustments ................. 4-49

4J.01 Tuition Reductions for Graduate Assistants ................................ 4-49

4J.02 Tuition Waivers For Persons Over 60 ..................................... 4-49

4J.03 Foster Care Tuition Waiver Program ...................................... 4-49

4J.04 Tuition Waivers for Dependents of Deceased Public Safety Officers............. 4-49

4J.05 Refund/Adjustment of Student Charges for Tuition and Fees . .................. 4-50

4K. Student Accommodations Statement in Syllabi ........................ 4-52

4L. Diversity, Equity, and Inclusion Syllabus Statement ...................4-52

4M. Military Service ................................................ 4-53

4N. Commencement Attendance ..................................... 4-53

4N.01 Faculty Marshal ...................................................... 4-53

4O. Curriculum Development and Review ............................. 4-54

4O.01 Course Numbering System ............................................. 4-54

4O.02 Majors ............................................................. 4-54

4O.03 Concentrations or Minors .............................................. 4-54

4O.04 General Education .................................................... 4-55

4O.05 Curriculum Review Procedures .......................................... 4-55

4O.0501 Curriculum Review Panel ...................................... 4-58

4P. Program Discontinuance Policy .................................. 4-59

xvi

GUIDING FRAMEWORK

University Mission Statement (BOR 12/17/92; 3/18/93; 6/12/08; 6/18/2014)

Preparing students for lifelong learning, rewarding careers, and adaptive leadership.

Equal Employment Opportunity, Equal Educational Opportunity and Non-

Discrimination Policy

(FSB 98015 approved by President 4/16/99; FSB 00005 approved by

President 11/14/00; amended 9/02/08; updated 6/22/2010; updated, approved by President 8/2/2011;

FSB 15004 approved by Interim President 11/13/2015)

Emporia State University values and welcomes the benefits of diversity, and pledges to current and

prospective students, faculty, staff, administrators, and the public that we expect and demand the

worth and dignity of all people be recognized without regard to any classification that might

preclude a person from consideration as an individual. The University regards inappropriate

behavior, unfair treatment or harassment of any individual to be inconsistent with its goals of

providing an atmosphere in which students, faculty, staff and administrators may safely learn, work,

and live.

Emporia State University is committed to equal employment opportunity, equal educational

opportunity, and non-discrimination in the operations and administration of all University programs

and services. All decisions with reference to employment (including, but not limited to, selection,

discipline, promotion, or termination) and all decisions with reference to student status (including,

but not limited to, admission, academic achievements, or discipline) will be made without regard

to age, race, color, national origin, ethnicity, religion, gender, sex, gender identity, gender

expression, marital status, parental status, sexual orientation, genetic information, status as an

individual with a disability, status as a protected veteran, sexual orientation, or any other factors

which cannot lawfully be considered, to the extent specified by applicable laws.

Students, employees, or members of the public who feel they have been discriminated against on

the basis of any item set forth in the Equal Employment Opportunity, Equal Educational Opportunity

and Non-Discrimination Policy should contact the Affirmative Action Officer/Title IX Coordinator,

Emporia State University, Office of Human Resources. Employees with inquiries may also contact

the Equal Employment Opportunity Commission or the Kansas Human Rights Commission.

Students with inquiries may also contact the Office of Civil Rights in the U.S. Department of

Education or the Kansas Human Rights Commission.

Affirmation of Values Statement

Emporia State University is an equal opportunity institution of higher education where individuals

of diverse backgrounds and beliefs come to learn and work together professionally and respectfully.

As a university, we seek to create and uphold high intellectual standards within a learning

community, to make those intellectual standards accessible to all who engage in the learning

process, and to foster a curiosity about life and society that will lead to informed and involved

citizenship in all of its forms. Learning requires critical thinking about the production of knowledge

and the various beliefs that people may hold, as well as opportunities to test and actively engage

with new ideas. As an institution of higher education in a pluralistic society, Emporia State

University is committed to helping students, faculty, staff, and administrators acquire those skills

necessary to enable them to think critically, to question intelligently, and to analyze complex and

diverse ideas in order to become thoughtful, educated world citizens.

ESU has a commitment to a positive, quality environment that nurtures academic and

personal excellence in learning and teaching.

Students, faculty, staff, and administrators share a responsibility for sustaining an environment that

is conducive to learning, teaching, and personal growth. ESU sets high intellectual standards, offers

stimulating and challenging courses, and provides quality activities and interactions within the

university community.

ESU has a commitment to recognize the value of diversity and the respect for individual ideas,

opinions, and experiences.

Students, faculty, staff, and administrators provide opportunities within and outside the classroom

that foster contact with and respect for diverse groups of people and increased appreciation for

pluralistic ideas and experiences. We value and welcome the benefits of diversity. Therefore, we

expect and demand that the worth and dignity of all people be recognized without regard to any

classification that might preclude a person from consideration as an individual.

ESU has a commitment to academic and personal integrity.

Students, faculty, staff, and administrators set the highest standards of personal integrity and thus

will not resort to cheating, plagiarism, and/or the use of unauthorized materials. In addition, the

university strives to foster an environment of objectivity, fairness, and impartiality.

ESU has a commitment to open expression of ideas.

In any institution of higher learning it is inevitable that people will hold a multitude of perspectives

on a wide range of issues. Discussions at Emporia State University occur in a challenging, but

physically safe, non-threatening environment without fear of retribution. Students, faculty, staff,

and administrators value and strive to engage in constructive listening, principled dialogue, and

respectful disagreement in all forms of communication.

ESU has a commitment to a collegial and shared governance.

Students, faculty, staff, and administrators work together in a collegial manner to solve problems

to benefit the university community in accordance with governance structure, policy, and

procedures. This principle of collegial and shared governance requires mutual respect and civility,

but does not exclude beneficial and constructive criticism. The principles of collegiality are also

manifested concretely in a commitment to mutual respect for the purpose of strengthening all

academic programs and collective endeavors. This commitment is essential as we mentor and

support all our colleagues in their individual and collective endeavors of teaching, learning,

scholarly activity, and service.

POSITIONING STATEMENT

Emporia State University is the comprehensive state supported university for Kansas high school

graduates, transfers, and graduate students from throughout the region, the country, and the world

who want a personalized education that prepares them for fulfilling lives and successful careers.

Emporia State University offers a safe, caring, nurturing environment in a close-knit community

devoted to learning, that provides every student with instant opportunities for growth, involvement,

and leadership.

ORGANIZATIONAL CHART

The University organizational chart is on the following page.

September 7, 2017

KANSAS

BOARD OF REGENTS

Vice President

Administration &

Finance

Controller/

Business Office

Director

Human Resources

Director

University Facilities

Assoc VP for Info

Technology and

CIO

Customer Service &

Engagement

Learning

Technologies

Dean

Liberal Arts &

Sciences

Dean

School of Library &

Info Management

Executive Director

Intercollegiate

Athletics

Dean of

International

Education

Network and

Security

Solutions

Data Management

& Analytics

Vice President

for Student Affairs

PRESIDENT

Executive Director

Marketing & Media

Relations

Men’s & Women’s

Track & Field

Cross Country

Men’s & Women’s

Tennis

Dean of

Students

Director

Residential Life

Director

Recreation

Services

Director

Memorial Union

Payroll

Office

Associate Athletic

Director

External

Provost/VP for

Academic Affairs

Associated Student Government

Faculty Senate

Unclassified Commission

Unclassified Support Staff Senate

Executive Director

Alumni Relations

Director

Counseling

Services

Asst. Dean

Diversity, Equity &

Inclusion

Governmental

Relations

Foundation

President/

VP Univ Adv

Aff Action Officer

Title IX & EEO

Coordinator

Internal

Audit

Asst Provost

Institutional

Effectiveness

Asst Provost

Enrollment Mgmt &

Acad Success

Associate

Provost

Student

Advising Center

Dean

School of Business

Dean

Graduate School &

Distance Education

Dean

Teachers College

Dean

University Libraries/

Archives

Men’s

Basketball

Director

Financial

Operations

Registrar

Registration

Director

Fin Aid, Schol &

Veteran Svcs

Director

TRiO Programs

Director

Career Services

Director

Health Services

Men’s

Baseball

Men’s

Football

Women’s

Basketball

Women’s

Softball

Women’s

Soccer

Women’s

Volleyball

Admissions

Honors

College

Systems &

Client Solutions

Budget

Office

Administrative

Solutions

General

Counsel

Police and Safety

Director

Center for

Stdt Involvement

1-1

Chapter 1. UNCLASSIFIED PERSONNEL

1A. CATEGORIES OF UNCLASSIFIED APPOINTMENTS

Unclassified appointments apply to all University employees except those who have civil service

classification or those who are student employees. An unclassified appointment is either an academic

or an administrative appointment. The appointment category may include both academic and

administrative responsibilities. Policies and procedures pertinent to each appointment category are

included in this chapter.

1A.01 ACADEMIC APPOINTMENTS

1A. 0101 Academic Probationary

An academic probationary appointment is for a full-time, tenure-track teaching position. The

number of years required toward tenure is included in the Notice of Appointment. Probationary

appointments may, on the basis of continuing satisfactory performance, lead to review for the

award of tenure. However, probationary appointments carry no promise that tenure will be

awarded. Probationary appointments are reviewed on an annual basis. The standards of non-

reappointment apply to this appointment.

1A. 0102 Academic Tenure

An academic tenure appointment is a continuous, full-time, academic position for faculty with

tenure. Tenured appointments will be annually renewed. Termination of a tenured faculty

member must follow appropriate policies and procedures.

1A.0103 Non-Tenure Track Academic

A non-tenure track academic appointment is for a teaching position that is at least half-time and

will not lead to review for tenure. The appointment is subject to annual review. Notification

of non-reappointment must be made by March 1 of the current appointment period. This

appointment type only applies to benefits eligible positions.

1A.0104 Academic Temporary

An academic temporary appointment is for a temporary teaching position and may not exceed

1 year. The Notice of Appointment is renewable annually. The appointment carries no

expectation of continued employment. Employment is considered to be at-will and may be

terminated at any time, without cause, prior to the end date specified in the notice of

appointment. The standards of non-reappointment do not apply. There is no consideration for

tenure.

Academic temporary appointments which are made for at least a half-time and for at least a 9

month basis will be eligible for benefits and are subject to the 5-year stipulation. The 5-year

stipulation is defined as employment which should not exceed 5 years of consecutive

1-2

appointments. Multiple simultaneous appointments of less than half-time may make an

employee eligible for benefits even when the individual appointments do not.

An academic temporary appointment that is less than half-time is a non-benefits eligible

appointment. An academic temporary appointment that is less than half-time is not subject to

the 5-year stipulation.

1A.02 ADMINISTRATIVE APPOINTMENTS

1A.0201 Administrative Probationary

An administrative probationary appointment is for a full-time, non-teaching position. The

number of probationary years is specified in the probationary Notice of Appointment and may

be modified by the appropriate vice president in conjunction with the performance evaluation.

The expectation is for continuing employment subject to the provisions specified in the

personnel policies and procedures for administrative appointments. At the end of this service,

the individual moves either to administrative regular status or is no longer employed, in

accordance with the personnel policies and procedures for administrative appointments.

1A.0202 Administrative Regular

An administrative regular appointment is for a full-time, non-teaching position after being in

administrative probationary status for no less than 2 years. Expectation is for continuous

employment subject to the requirements stated in the personnel policies and procedures for

administrative regular appointments.

1A.0203 Administrative Temporary

An administrative temporary appointment is at least half-time and may not exceed 1 year. The

appointment is renewable annually and is subject to the 5-year stipulation. The 5-year

stipulation is defined as employment which should not exceed 5 years of consecutive

appointments. Such appointment carries no expectation of continued employment. Employment

is considered to be at-will and may be terminated at any time, without cause, prior to the end

date specified in the Notice of Appointment. Temporary appointments which are made for at

least a half-time and for at least a 9 month basis will be eligible for benefits. Multiple

simultaneous appointments of less than half-time may make an employee eligible for benefits

even when the individual appointments do not. A non-benefits eligible appointment is defined

as less than half-time and is not subject to the 5-year stipulation.

1A.0204 Administrative Athletics

An administrative athletics appointment may be full-time or less and is for coaches and trainers.

This status requires annual review for reappointment with no expectation of continuing

employment. The Athletic Director has an administrative probationary or administrative regular

appointment.

1-3

1A.0205 Limited Appointment (revised 5/09)

A limited appointment is for an individual hired in a benefits-eligible position to fulfill

requirements under a contract agreement, a federal or state grant, or a specific project or role

and is subject to annual review. The appointment is for the period as outlined in the Notice of

Appointment or no longer than the period for which the funds are available. Inasmuch as this

is a limited appointment, this appointment carries with it no expectation of continuing

employment. This appointment may involve an academic component but would not be eligible

for tenure.

1B. ACADEMIC APPOINTMENT POLICIES AND PROCEDURES

1B.01 NOTICES OF APPOINTMENT (approved by President as revised 4/18/08)

Faculty notices of appointment as approved by the President, or designee on behalf of the President,

are sent from the Provost and Vice President of Academic Affairs after the legislature and the Board

of Regents have acted on the fiscal year budget. The Notice of Appointment, when signed by all

parties, constitutes an agreement indicating the term of employment, salary, faculty rank, and

appointment status.

Federal law requires ESU to verify employment eligibility of all individuals hired after November

6, 1986. The I-9 Form must be completed in Human Resources within 3 days of hire, or the

employee may forfeit his/her position. Documentation is most easily provided by a driver's license

and social security card. Other documents may be substituted. The I-9 form will be retained in the

employee's personnel file located in Human Resources, and once completed, may need to be

completed again for ESU employment if documentation expires.

1B.02 APPOINTMENT TERMS

1B.0201 Academic Year Appointments (BOR Council of Presidents, 2/16/78)

Academic year appointments are for a period of approximately 9 months beginning just prior

to fall registration and extending through spring commencement. Faculty duties include

teaching, advising and counseling, research, scholarly activities, other University duties, and

community and public service. Periods when classes are not in session are normally devoted

to the above listed non-teaching functions or to other specially scheduled activities.

1B.0202 12 Month Appointments

Some faculty and most administrative personnel receive 12 month appointments, including

vacation and holidays.

1B.0203 Summer Session Appointments

Summer session appointments are for specified periods of time and duties. The appointments

are handled on a separate budget and through separate notices of appointment. Most

departments have employment for only a portion of the staff and base teaching assignments on

department assessment of student needs in the summer program.

1-4

1B.03 FACULTY RANKS

The principal ranks granted by the University to academic faculty are those normally bestowed by

institutions of higher education: professor, associate professor, assistant professor, instructor, and

lecturer.

1B.0301 Professor (Refer to University Criteria for Promotion for definitions and

expectations for the rank of professor.)

1B.0302 Associate Professor (Refer to University Criteria for Promotion for definitions

and expectations for the rank of associate professor.)

1B.0303 Assistant Professor (Refer to University Criteria for Promotion for definitions

and expectations for the rank of assistant professor.)

1B.0304 Instructor

An instructor is a faculty member with a full-time appointment who may continue in the

position in accordance with appointment and re-appointment policies consistent with the

appointment category. An instructor is on a non-tenure track, and a maximum of 3 years of

service as instructor may count toward tenure if the person moves to the tenure track.

1B.0305 Lecturer

A lecturer is a faculty member with an academic temporary appointment that is less than full-

time (part-time). The faculty member is not expected to continue to teach more than 1 semester

or 1 year. Tenure or credit toward tenure does not apply with this rank.

1B.04 FACULTY TITLES

1B.0401 Adjunct

The title of adjunct faculty is for qualified individuals who contribute without remuneration to

the University’s academic efforts. Such appointments are made for a specified term but may

be renewed, carry no stipends, and do not imply eligibility for tenure or other such faculty

benefits. An adjunct faculty appointee has an opportunity to use the University name and

designated laboratory, library, and study facilities.

1B.0402 Distinguished Professor

The title of distinguished professor may be given to qualified individuals. Remuneration is

commensurate with expectations.

1B.0403 Clinical Instructor (approved by Vice Presidents’ Council and the President, 5/09)

The title of clinical instructor is for an instructional faculty member with at least a part-time

appointment (benefits-eligible position) and is renewable annually. Employment is considered

to be at-will and may be terminated at any time, without cause. Tenure or credit toward tenure

1-5

does not apply with this title. This title would begin after the 5-year academic temporary

appointment has expired. This title would then be eligible for the appointment type of Limited

Appointment.

1B.05 MINIMUM FACULTY QUALIFICATIONS (FSB 15001 approved by Interim President

12/09/2015)

Institutions accredited by the Higher Learning Commission identify qualified faculty members

primarily by degree credentials appropriate to the academic discipline and level of the courses

taught. In instances where the normally-expected degree is not held, faculty employment can also

be based on equivalent experience.

Each full-time faculty member’s qualifications, whether by degree credentials or by equivalent

experience, shall be established and documented at the time of initial hire. The evaluation of these

qualifications shall be completed by the Search Committee at the time of hire. If no Search

Committee is convened, the hiring department chair or dean shall evaluate the faculty member’s

qualifications.

Each part-time faculty member’s qualifications, whether by degree credentials or by equivalent

experience, shall be established and documented at the time of initial hire. The evaluation of these

qualifications shall be completed by the Search Committee if any is convened. If no Search

Committee is convened, the hiring department chair or dean shall evaluate the faculty member’s

qualifications. Qualifications for part-time faculty must be re-established after a lapse of

employment of more than 5 years. Any part-time faculty member who receives a teaching

assignment requiring substantively different qualifications will have their qualifications re-evaluated

by the appropriate department chair or dean at the time of said teaching assignment.

To be qualified on the basis of credentials, instructors (excluding for this requirements teaching

assistants enrolled in a graduate program and supervised by faculty) must possess an academic

degree relevant to what they are teaching and at least 1 level above the level at which they teach,

except in programs for terminal degrees, where they must possess the same level of degree:

• Undergraduate level: A master’s degree or higher in the discipline or subfield of the courses

taught OR a master’s degree or higher in a different discipline or subfield plus a minimum

of 18 graduate credit hours in the discipline or subfield of the courses taught.

• Graduate level: The terminal degree determined by the discipline and a record of research

and scholarship appropriate for the graduate program.

• Doctoral level: The terminal degree determined by the discipline and a record of recognized

research and scholarship commensurate with doctoral expectations.

Teaching qualifications – when established by equivalent experience – are determined by

disciplinary standards and faculty members within the discipline or department. Thus, department

chairs and deans, when evaluating faculty qualifications–especially for part-time faculty–should

consult appropriate faculty in the discipline and/or department.

1-6

To be qualified on the basis of equivalent experience, instructors must have a documented record

of discipline-related practice at a level that ensures mastery of the content of the courses taught and

ongoing currency in the field. A determination of qualification by equivalent experience must be

supported by evidence, which may include:

• Professional licensure or certification

• Documented excellence in professional practice

• Honors, awards, or special recognition

• Research and publications

1B.06 GRADUATE FACULTY (returned to original version 7/09/04; revised 02/09)

1B.0601 Membership in Graduate Faculty (updated 9/2010; revised by Graduate Council

2/17/2011; approved by Provost 3/11/2011; updated 10/2/2013)

The Graduate Faculty of Emporia State University shall consist of the faculty of the

school/college who have been nominated and approved as members of the Graduate Faculty.

Appointments to the Graduate Faculty will be either a regular, associate, or temporary member.

The President, Provost/Vice President for Academic Affairs, deans and associate/assistant deans

of the academic schools/colleges, and the Dean of the Graduate School are members of the

Regular Graduate Faculty.

1B.0601.01 Regular Graduate Faculty

Membership in the regular graduate faculty is restricted to those faculty members with the

rank of assistant professor or above who hold earned doctorates or recognized terminal

degrees in their fields and are actively participating in research or creative activities and

teaching. Faculty members with the rank of associate professor or above, having 35

semester hours beyond the master's degree from an accredited institution and engaged in

research or creative activities, may be considered for appointment to the regular graduate

faculty. Members of the regular graduate faculty:

• demonstrate a record of current engagement (within the past 5 years) in graduate-

level teaching and/or advising supported by such items (but not limited to) peer

evaluations, student evaluations, thesis and/or project supervision, and graduate

teaching assignments; and

• demonstrate a record of current engagement in research (within the past 5 years) or

scholarly or creative contributions to the discipline recognized beyond the University

(examples include but are not limited to publications, presentations, performances,

exhibits, competitions, journal editorship, review panels, grants); and

• demonstrate a record of current participation in professional activities (examples

include but are not limited to participation on University committees or in state,

regional, or national professional organizations, consulting/contract work in

disciplinary or research interest, relevant professional practice).

1B.0601.02 Associate Graduate Faculty

Associate graduate faculty members are faculty of the school/college with the rank of

assistant professor or above and who hold a master's degree plus at least 30 hours of

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additional graduate work. Associate graduate faculty must demonstrate 2 of the following

categories:

• Demonstrate a record of current engagement (within the past 5 years) in graduate

level-teaching and/or advising supported by such items (but not limited to) peer

evaluations, student evaluations, thesis and/or project supervision, and graduate

teaching assignments;

• Demonstrate a record of current engagement in research (within the past 5 years) or

scholarly creative contributions to the discipline recognized beyond the University.

Examples include but are not limited to publications, presentations, performances,

exhibits, competitions, journal editorship, review panels, grants or other (use of

work coming from other category must be approved through procedural steps as

defined in the procedures);

• Demonstrate a record of current participation in professional activities. Examples

include but are not limited to participation in state, regional or national professional

organizations, consulting/contract work in disciplinary or research interest, relevant

professional practice.

Associate members may serve on graduate committees, but not as major advisor.

1B.0601.03 Temporary Graduate Faculty (Revised by Graduate Council 2/2014)

Temporary membership in the Graduate Faculty is open to faculty who:

• Have significant professional accomplishments in their field may be appointed as

Temporary members of the Graduate Faculty for a specified period. Appointments

are made by the Graduate Dean upon recommendation of the school or college dean.

Temporary members are appointed to teach a specified graduate course or, because of unique

qualifications, to serve as a member of a graduate committee. The length of the temporary

appointment will be specified at appointment time for a maximum of 3 years and be

consistent with the nature of the specified duties. A temporary appointment can be renewed

at the end of the 3-year period.

1B.0602 Guidelines for Graduate Faculty Membership (Updated 9/2010; revised by

Graduate Council 2/17/2011; approved by Provost 3/11/2011)

1. Nominations for membership in the Graduate Faculty are made by the department

chairperson, using whatever intradepartmental procedure is appropriate. Appointment to the

Graduate Faculty becomes official upon the approval of the dean of the school/college, the

Graduate Council, and the Dean of the Graduate School. Appointment to the Regular

Graduate Faculty is for a period of 5 years, and appointment to the Associate Graduate

Faculty is for a period of 3 years. Temporary Graduate Faculty shall be appointed upon the

recommendation of the department chairperson and the approval of the dean of the

school/college and the Dean of the Graduate School for a specified period of time with a

maximum of 3 years.

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2. Present members of the Regular Graduate Faculty not holding the recognized terminal

degree shall be engaged in meeting the requirements of a planned graduate program

appropriate for the field at another college or university in order to retain membership unless

other criteria are amply satisfied.

3. New faculty members who are expected to immediately teach graduate courses should be

nominated for membership in the Graduate Faculty at the same time as they are

recommended for appointment.

4. Entering tenure track (not tenured) assistant professors who have recently completed

(received PhD within past 5 years) the PhD will be permitted to teach graduate classes and

are eligible to apply for associate membership in the graduate faculty. They may not chair

thesis committees or doctoral dissertation committees. In exceptional circumstances and

with the approval of the department chair and dean of the Graduate School may chair a

masters committee.

5. Entering tenure track (not tenured) assistant professors with significant prior post-doctoral

experience may apply for regular graduate faculty status and if appointed, serve as chairs of

thesis and/or doctoral committees.

4. Renewal of Regular Graduate Faculty membership is contingent upon the review of evidence

documenting current scholarship, active professional activity, and graduate teaching/advising

effectiveness during his/her 5 year appointment. Renewal of Associate Graduate Faculty

membership is contingent upon the review of evidence documenting at least 2 areas from the

following criteria (1) current scholarship, (2) active professional activity; or (3) graduate

teaching effectiveness during his/her 3 year appointment. Faculty who do not meet the

renewal criteria will not be approved for an extension of their Graduate Faculty membership.

1B.07 ACADEMIC FREEDOM (FSR 02007 approved by the President 3/25/03)

Emporia State University believes the policies and guidelines developed by the American

Association of University Professors, in its 1940 Statement of Principles on Academic Freedom and

Faculty Tenure with 1970 Interpretive Comments, are reasonable and prudent. The University

endorses them insofar as they are compatible with the laws of the state of Kansas and the policies

of the Kansas Board of Regents in decisions and actions that are pertinent.

1B.08 FACULTY PERFORMANCE AND RECOGNITION

1B.0801 Notification of Faculty Performance and Recognition Policies (FSB 14108

approved by President 5/01/2015)

At the time of initial employment (i.e., within 2 weeks of assuming duties), each faculty member

who is hired on either a tenure track or a continuous non-tenure track basis shall receive an up-

to-date electronic or paper copy of the department’s faculty recognition document, which

explains the policies of the department, school or college (if applicable), and the university

regarding faculty evaluation, including retention, promotion, tenure, chronic low performance

and corrective faculty development, post tenure review, sabbatical leave, and other policies.

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Faculty recognition documents shall be developed by, and approved by a majority vote of, the

department’s faculty, followed by consecutive approval of the department chair, school/college

dean, and the Provost/Vice President for Academic Affairs. Changes to the faculty recognition

document shall follow the same development and approval process.

1B.0802 Faculty Recognition Policy (FSB 88016 approved by President 4/89; FSB 13107

approved by President 5/21/2014)

All Emporia State University tenured and tenure-track faculty are expected to make

contributions to teaching, research, and service. The amount and nature of these contributions

should reflect the standards of the faculty member's discipline and specific assignment to ESU.

Moreover, teaching faculty members who are not connected with the tenure system may, or may

not, have expectations in the areas of research and/or service; if these expectations exist, then

these expectations shall be in written form consistent with 1B.0701 Notification of Faculty

Performance and Recognition Policies.

Consistent with 1B.0703 Annual Faculty Evaluation, each faculty member who will return to

ESU in a teaching capacity shall be evaluated. This includes the requirement for annual

evaluation when merit salary increases are absent or small. There is no prescribed length for the

written evaluation and the scope of coverage depends on the appointment of the faculty member.

Exceptions include faculty members who permanently separated from ESU within the

calendar year. This includes but is not limited to resignation or retirement from ESU within

the calendar year that coincides with the evaluation year (e.g., if a faculty member retires at

the end of the spring semester of the calendar year 2014, then no evaluation is necessary for

the 2014 calendar year). Moreover, if the intent to resign or retire was formally initiated

before December 31 of a calendar year, then an ineffectual annual evaluation for that

calendar year is not required unless the faculty member or the Chair request an annual

evaluation.

Salary decisions will be based on a written annual evaluation of these contributions.

Provision for Consideration of Past Evaluations (i.e., multiple evaluations forming a composite

evaluation)

If merit increases have been “small” (i.e., defined by this policy as less than a 2 percent

increase as the stated average for all faculty), then in the future when the stated average is

a 2 percent increase or more, the increase will be based on a composite evaluation of 2 or

more annual evaluations since the last time merit salary increases were 2 percent or more and

any additional material. The faculty member determines both the number of annual

evaluations in the composite evaluation and the additional material. If a faculty member has

had only 1 annual evaluation at ESU, then his or her evaluation would be based on a single

evaluation.

In contrast with (annual) merit salary increases, reappointment, tenure, promotion, Post Tenure

Review, and sabbatical leave decisions will be based on the faculty member’s contributions over

his/her entire career or a designated time frame longer than 1 year.

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In every case, the faculty member's performance will be judged by all parties involved in

recognition decisions on the basis of written policy statements or criteria (i.e., specific

requirements) developed by the academic unit with which the faculty member is involved. These

criteria should reflect the highest professional standards associated with university work. Faculty

recognition includes the granting of tenure, salary increases and adjustments, reappointments,

promotions, and sabbatical leaves. While recognition certainly includes leaves of absence

without pay, reduced loads and other modifications in assignment, office and laboratory space

assignments, teaching assignments, and honors accorded, these types of recognition are not

within the scope of this policy. This policy is intended to apply to all unclassified employees

who are eligible for the types of recognition described herein.

The primary responsibility for initiating the process of recommendations to the President, the

Provost, and the deans regarding faculty recognition resides with the units chairs/directors.

Faculty members under consideration are to be kept informed of each recognition

recommendation and copies of these evaluations and recommendations shall be provided to the

faculty member. Missing evaluations shall not be created retroactively and the absence of an

evaluation shall not be used to the disadvantage of the faculty member. Unit chairs/directors are

expected to work closely with their recognition committees and their deans in making

recognition decisions.

On some recognition matters specific policies require consideration by a departmental

committee. Unless otherwise specified, unit chairs/directors are to give their faculties the option,

by a secret ballot process, of being involved in faculty recognition by October 1 of each year.

If faculty involvement is elected, each unit chair/director in consultation with his/her faculty,

shall establish appropriate procedures for that purpose. These procedures must insure that any

committees formed for such involvement be democratically constituted. Each unit faculty must

determine which recognition matters are to be considered by its committee(s).

The unit chair/director is required to make a specific independent, written recommendation on

each personnel item. If the faculty of a unit has exercised its option to be involved in recognition

decisions, the unit chair/director must transmit all committee recommendations in writing to the

dean along with his/her own specific recommendations. The unit chair/director also must give

to the appropriate committee, and to the faculty member involved, a notice as to whether his/her

personal recommendations agree or disagree with the committee's recommendations. At this time

the reasons for the unit chair/director's recommendations must be given to the faculty member.

These reasons may be shared with the committee if the faculty member does not object.

The dean must make a specific, independent, written recommendation on each personnel item.

The dean has the responsibility of submitting all previous recommendations with his/her own

to the Provost. The dean also has the responsibility of notifying the unit chair/director in writing

of the reasons for any decisions which differ from recommendations made by a chair or a

recommendation committee.

The unit chair/director then has the responsibility of notifying the recognition committee

whether the dean agrees or disagrees with its recommendations.

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The Provost and the President have responsibility of informing the dean whether or not they

agree with the recommendations that have been forwarded by the dean. Reasons for

disagreement with such recommendations must be given in writing to the dean.

At every level in the recognition process a faculty member may withdraw a request for

recognition. Such a withdrawal must be in written form.

1B.0803 Annual Faculty Evaluation (BOR approved 12/15/94; 3/16/95; FSB 08020 passed

by Faculty Senate 4/21/09; approved by President 4/24/09)

It is the Board of Regents policy that the performance of every faculty member is evaluated and

that merit increases are based on the annual evaluation of each faculty member’s performance.

At ESU this process is participatory, cooperative, continuing and meets the following objectives:

1. To recognize that the education of students is the highest priority of ESU. The education of

students occurs in a variety of ways and venues, including the classroom, research

laboratories, and libraries. Consequently, individual faculty or units may vary their

emphasis on instruction, scholarly activity, and service. Annual evaluations reflect

individual faculty assignments.

2. To involve faculty in the design and evaluation of expectations central to their performance

and professional growth.

3. To provide a documented record of faculty performance to support such personnel decisions.

4. To recognize special talents, capabilities, and achievements of faculty members.

5. To develop strategies to link evaluation and its outcomes to assistance and support for

growth and development.

Annual faculty evaluations must include but are not limited to: an anonymous rating by students

at least once per semester on an instrument that is controlled for initial student bias and other

major sources of bias. The instrument measuring student ratings of instruction solicit, at a

minimum, students’ perspectives on (a) the delivery of instruction, (b) the assessment of

learning, (c) the availability of the faculty member to the students, and (d) whether the goals and

objectives of the course were met. Printed directions on the rating scale indicate that the

information will be used by the faculty member to improve his/her instruction. Student

evaluations of faculty are intended primarily for the faculty members as a means of improving

instruction. They are considered only one of a number of factors in the overall evaluation of the

faculty.

The department, school or college, and University will use the information to enhance teaching

effectiveness. The evaluation instrument is distributed to the classes of the faculty member.

Once collected, the instruments are sealed and stored in an appropriate office and not examined

by the instructor of record until after grades are reported. After grades are reported, the faculty

member and the department chair jointly examine and discuss the evaluation. The faculty

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member has the prerogative of submitting written comments which become an integral part of

that evaluation.

Multiple sources of information are gathered to evaluate teaching. These might include the

content of the course, its design, and presentation. For example, (a) syllabi, examinations and

samples of graded exams, handouts, and textbooks may be evaluated by peers for their suitability

and coherence, (b) videos of class presentations may be viewed by peers to evaluate presentation

of material, or (c) the chair and/or peers may sit through class periods evaluating teaching and

learning. Exit interviews and graduate interviews may also provide information.

A comprehensive, flexible approach to the evaluation of teaching is collected, presented, and

evaluated as a portfolio. Student ratings are but one part. Peer evaluation, defined as a critical

review by knowledgeable colleagues of the entire range of teaching activities, should also be

included. No single source of information is taken at face value but is interpreted within all the

evidence and placed in appropriate academic context.

Department chairs participate in the evaluation of each faculty member and meet with the faculty

member to discuss the evaluation. Based upon the ESU strategic plan and department goals,

tenured and tenure track faculty members discuss with the chair the amount of effort the faculty

member will devote to teaching, scholarly activity, and service. The minimum effort in teaching

is 50%. Scholarly activity and service make up the remainder - but both must be included in

some amount. A reduction of effort in one area is augmented in another. Merit evaluations

follow this agreement and the agreements reflect varying emphases at different times during a

faculty member’s career.

1B.0803.01 TRAINING OF DEPARTMENT CHAIRS (FSB 14002 passed by Faculty

Senate 10/21/2014; approved by President 10/28/2014)

Just as annual evaluations reflect individual faculty assignments, they also vary according

to the characteristics of each college or school and the standards of the faculty member’s

discipline. It is the responsibility of each college or school dean to ensure that department

chairs receive training in the administration of faculty evaluations that is consistent with, and

supportive of, department and college/school written and approved expectations for faculty

performance.

1B.0803.02 STUDENT RATING OF TEACHING (approved by Dean’s Council 8/96;

FSB 08020 passed by Faculty Senate 4/21/09; approved by President

4/24/09; FSB 13023 passed by Faculty Senate 12/3/2013; approved by

President 12/12/2013)

In compliance with the Kansas Board of Regents policy, Emporia State University requires

all faculty members to have their teaching performance rated anonymously by students under

standard conditions on an instrument that is norm-referenced and adjusted for initial student

motivation and other major sources of bias as demonstrated by research.

1. The instrument, other major sources of bias, and methods of bias adjustment will be

determined collectively by the faculty of the academic unit, which for this policy is the

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administrative level from which a faculty recognition document originates, usually a

department. The faculty will make these determinations annually by a majority vote of

all faculty members within the department.

2. During each semester they teach, all full-time and part-time members of the faculty must

solicit ratings of teaching for at least 1 course. If a faculty member has students rate only

1 course per semester, then the course must have at least 15 students enrolled. If none

of the courses taught by the faculty member that semester has 15 or more enrolled

students, then the rated course must be the one with the highest student enrollment.

Faculty recognition documents may require more frequent student evaluations of

teaching, but they cannot require less than specified in this policy. Unless the faculty

recognition document requires otherwise, the decision about which course or courses will

be evaluated will be made by the faculty member.

3. Student ratings of teaching must be considered in decision-making about salary

increases, promotion, tenure, and other appropriate personnel decisions. The extent to

which they will be considered in this regard may vary by academic unit, based on its

faculty recognition document. Student ratings can be used to make comparisons about

faculty teaching only within the academic unit.

4. Completed student rating instruments and their data are considered to be personnel and

performance records to be used in developing evaluations, and these records are to be

treated as confidential to the full extent provided by law. The student ratings will be used

by the academic unit for the purposes of improving teaching and evaluating faculty

teaching performance. A faculty member will have access to his or her course’s

completed instruments and data after the end of the semester in which the students

completed them and after course grades have been submitted.

1B.0804 Evaluation of the Chair by Faculty (FSB 77006 approved by President 4/4/78;

FSB 13015 approved by President 5/21/2014)

The performance of the chair is to be evaluated regularly. The nature of the evaluation and its

procedures are as follows:

1. It shall be written and comprehensive.

2. It must be done at least every 3 years and may be done in the intervening years at the

discretion of the eligible faculty members. Only faculty members who have served with the

chair for at least 1 year shall be eligible.

3. In the years when the evaluation is optional, a decision whether or not to conduct the

evaluation must be made by secret ballot by the eligible faculty by February 1.

4. The procedure to be used, the method of evaluation, and the type of summary will be

determined by the faculty of the unit in consultation with the appropriate dean. Each dean

is responsible for initiating the process in the units in the school/college and for ascertaining

that all evaluations are conducted appropriately.

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5. Summaries of the findings of the evaluation shall be distributed to (a) the chair being

evaluated, (b) the appropriate dean, (c) the Provost and Vice President for Academic Affairs,

and (d) the President. Access to the evaluation results of the departmental chairs by parties

other than those mentioned above is regulated by KAR 1-13-1a(a)(2); 1-13-1b.

6. The chair shall be given a copy of the summary before it is finalized and have the

prerogative of submitting a written comment which shall become a part of the summary.

7. Information from the evaluation will be considered in the overall assessment of performance

and shall figure in the determination of continuance in the role of chair.

1B.0805 Policies and Procedures for Tenure

1B.0805.01 Board of Regents Policy for Tenure (revised 2/05)

1. After the expiration of a probationary period, teachers or instructors should have

permanent or continuous tenure, and their services should be terminated only for

adequate cause, except in the case of program or unit discontinuance or under

extraordinary circumstances because of financial exigency. (2/19/97)

2. In the interpretation of the principles contained in paragraph 1 of this policy, the

following is applicable:

a. The precise terms and conditions of every appointment should be stated in writing

and be in the possession of both institution and teacher before the appointment is

consummated.

b. Beginning with appointment to the rank of full-time instructor or a higher rank, the

probationary period should not exceed 7 years, including within this period full-time

service in all institutions of higher education; but subject to the proviso that when,

after a term of probationary service of more than 3 years in one or more institutions,

a teacher is called to another institution it may be agreed in writing that his/her new

appointment is for a probationary period of not more than 4 years, even though

thereby the person's total probationary period in the academic profession is extended

beyond the normal maximum of 7 years; except when the interests of both parties

may best be served by mutual agreement at the time of initial employment,

institutions may agree to allow for more than 4 years of probationary service at the

employing institution provided the probationary period at that institution does not

exceed 7 years. Notices should be given at least 1 year prior to the expiration of the

probationary period if the teacher is not to be continued in service after the expiration

of that period. Under unexpected special and extenuating circumstances, prior to

the 6th year of service, and at the request of the faculty member and the appropriate

dean, the Chief Academic Officer of the University may grant an extension of the

tenure clock for a maximum of 1 year. (9-18-97)

c. During the probationary period a teacher should have the academic freedom that all

other members of the faculty have.

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d. Termination for cause of a continuous appointment, or the dismissal for cause of a

teacher previous to the expiration of a term appointment, shall, if possible, be

considered by a faculty committee which will make recommendations to the

administration. In all cases where the facts are in dispute, the accused teacher shall

be informed before the hearing in writing of the charges against him/her and should

have the opportunity to be heard in his/her own defense by all bodies that pass

judgment upon his/her case. He/She may have with him/her an advisor of his/her

own choosing who may act as counsel. There shall be a full stenographic record of

the hearing available to the parties concerned. In the hearing of charges of

incompetence, the testimony should include that of teachers and other scholars,

either from his/her own or from other institutions. Teachers on continuous

appointment who are dismissed for reasons not involving moral turpitude shall

receive their salaries for at least a year from the date of notification of dismissal

whether or not they are continued in their duties at the institution.

e. Termination of a continuous appointment because of financial exigency should be

demonstrably bona fide.

3. Within this general policy, each Regents institution may make such operating regulations

as it deems necessary, subject to the approval of the Board.

4. Any tenure approved by the institution shall be limited to tenure for the recommended

individual at the institution consistent with the tenure policies of that institution.

(Effective 11/14/2002)

5. In exceptional cases, the chief executive officer at a Regents institution may hire a

faculty member with tenure without their having completed a probationary period. (6-

29-99)

6. Decisions of the chief executive officer shall be final and are not subject to further

administrative review by any officer or committee of the institution or by the Board of

Regents. (4-18-47; 2-15-80; 5-15-81; 4-16-82; 1-20-84; 2-16-89; 6-29-95)

1B.0805.02 University Policies and Procedures for Tenure (FSB 80004 approved by

President 12/9/80; FSB 88001 approved by President 10/28/88; FSB 05007

approved by President 5/3/06; FSB 07003 approved by President 2/4/08)

Emporia State University shall award permanent status to faculty members who have been

judged, on the basis of academic credentials and systematic annual evaluation as stipulated

in this document, worthy of continuous appointment.

Policies for Tenure

To be eligible for tenure a faculty member shall fulfill all the requirements set forth in the

sections below:

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1. Degree Requirement

The terminal degree or professional certification deemed appropriate by the discipline

is the expectation.

2. Professional Expectations

Expectations for the granting of tenure shall embrace excellence in the areas of teaching,

scholarly/creative activity, and service to the University and profession. Such excellence

must be demonstratively evident and offered as such by the candidate for tenure.

3. Probationary Period

a. Probation is a period of annual contract renewal preceding the granting of tenure.

The probationary faculty member shall be given every opportunity to demonstrate

his/ her suitability for tenure, and shall be judged by the most objective academic

standards and processes.

b. The academic year will be considered the minimal basis for determining a

probationary year.

c. All faculty shall serve a probationary period of 6 years of full-time employment.

Normally, this period will consist of 6 regular annual academic year appointments

at the rank of assistant professor or higher, plus reappointment for the 7th year.

In accordance with BOR policy, if an untenured faculty member becomes a parent

through birth, adoptive placement, or adoption of a child under the age of 5 prior to

May 1

of the fifth year of the probationary period, that faculty member, upon

notification to the Vice President for Academic Affairs, shall be granted a one-year

delay of the tenure review. Notification must occur within 90 days of the birth,

adoptive placement, or adoption. Faculty members retain the right to opt out of this

interruption policy.

Under unexpected special and extenuating circumstances, prior to the sixth year of

service, the Vice President for Academic Affairs may grant an extension of the

tenure clock for a maximum of one year. Such request shall be routed through the

appropriate department chair and dean.

No more than two extensions of the tenure clock may be granted to a faculty member

for any reason. Nothing in this provision shall be construed to guarantee

reappointment of an untenured faculty member.

Systematic evaluations, as set forth later in this document, are conducted each year.

The decision to award tenure shall be made during the 6th year of service. In cases

where tenure is denied, the 7th year of service is the terminal year of appointment.

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d. Tenure is not granted at the rank of instructor or lecturer or for a temporary or

part-time position. Regular annual appointments at the rank of instructor do count,

upon promotion, toward meeting the probationary requirements of a higher rank.

Service in a part-time position does not count toward the probationary period.

e. Faculty coming to ESU with prior service at other accredited institutions of higher

education at ranks earning tenure at ESU may have some or all of these years of

service count toward the probationary period. For persons employed at the rank of

assistant professor, no more than 3 years of prior service at another institution may

count toward the probationary period. For persons employed at the rank of associate

professor, not more than 4 years of service may be counted. For persons employed

at the rank of professor, no more than 5 years of service may be counted.

f. No later than February 1 of each year, the department chair is responsible for

informing, in writing, each faculty member of his/her development, his/her fitness

for his/her position, and his/her prospects for attaining tenure.

g. No later than the 6th year of the probationary period, the department chair shall

notify the faculty member in writing either that he/she will not be recommended for

tenure, but that he/she will be recommended for a 1 year terminal appointment, or

that he/she will be immediately recommended for tenure.

4. A leave without pay for 1 year will not be regarded as a break in continuous service

provided such leave has been taken with prior approval by the President.

5. Statement of Exception: The minimal expectation for the granting of tenure emphasizes

the need for excellence in the areas of teaching, scholarly/creative activity, and service.

To this expectation, there can be no exception. Granting of exception to other eligibility

requirements set forth in this document may be made only if the candidate exhibits

extraordinary merit, demonstratively beyond the rule of excellence.

Procedures for Granting Tenure

1. Prior to October 15 of each fall semester, each department shall establish a committee

to evaluate candidates who have been identified by the department chair as candidates

for tenure. At its discretion a department may utilize a committee already established for

matters of faculty recognition (i.e., promotion, merit pay, sabbatical leave) provided that

such committee is composed of 3 or more full-time department faculty members. If the

department chooses to establish a specific committee for tenure review, such committee

shall be composed of 3 or more full-time department faculty. Whichever the case, the

committee utilized shall be formed by democratic procedures. It shall be the

responsibility of the committee to make advisory recommendations, concerning tenure,

to the department chair. If a department chair is seeking tenure the recommendations

are submitted to the appropriate school/college dean.

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2. The committee shall base its recommendation on systematic evaluation of the candidate

in the areas of teaching, scholarly/creative activity and service. In addition, the

systematic evaluation of the candidate (by the Faculty Recognition Committee and at

each additional university level of review) must be aligned with and not violate the terms

and conditions of the appointment. The Faculty Recognition Committee document for

the department in place at the beginning of faculty employment will be used for tenure

and/or first promotion. If a different Faculty Recognition Committee document goes

through the approval process and has received final approval by the Chief Academic

Officer before tenure and/or first promotion, the faculty member shall have the right to

choose which document will be used. The chair of the department will ensure that each

newly hired tenure track faculty member will receive the departmental Faculty

Recognition Committee document within two weeks of employment.

3. It shall be the responsibility of the candidate to supply the committee with supporting

documentation in each of these areas.

a. Supporting evidence in the area of teaching may include, but need not to be limited

to, self-evaluation, student evaluations, chair evaluations, reports of peer visits and

evaluations, and examples of teaching techniques (i.e., tests, syllabi, assignments).

b. Supporting evidence in the area of scholarly/creative activity shall include, but may

not be limited to, publications relevant to the candidate's discipline, performance or

exhibitions, copies of papers presented, reports of research in progress, reports of

grants and fellowships, and reports of supervised student research.

c. Supporting evidence in the area of service shall include, but need not be limited to,

service on academic committees (department, school/college, and University),

service to student organizations, recruitment activity, work as a consultant, and

service to the profession or community.

d. Supporting evidence specifically relevant to each discipline may be requested and/or

submitted.

4. The committee recommendation shall be viewed by the department chair. The chair shall

notify the candidate in writing of both the committee's and his/her recommendations no

less than 3 working days prior to the deadline set by the dean. The chair also has the

responsibility to inform the committee of his/her recommendation. Before forwarding

recommendations, the chair shall give the candidate an opportunity to meet with the

committee and/or the chair to resolve any dissatisfaction the candidate may have. After

such a meeting, the candidate may request in writing that his/her candidacy not proceed

further. Such a request shall be honored. If the candidate chooses to proceed with his/her

candidacy, the chair shall keep the committee informed of the response of the dean and

the Vice President for Academic Affairs.

5. If a chair is being reviewed by the department committee their recommendation is

submitted to the appropriate school/college dean. The dean shall notify the candidate in

writing of both the committee's and his/her recommendations no less than 3 working days

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prior to the deadline set by the dean. The dean also has the responsibility to inform the

committee of his/her recommendation. Before forwarding recommendations, the dean

shall give the candidate an opportunity to meet with the committee and/or the dean to

resolve any dissatisfaction the candidate may have. After such a meeting, the candidate

may request in writing that his/her candidacy not proceed further. Such a request shall

be honored. If the candidate chooses to proceed with his/her candidacy, the dean shall

keep the tenure committee informed of the response of the Vice President for Academic

Affairs.

6. The dean of the school/college shall review the recommendations and inform the

candidate in writing of his/her recommendation no less than 3 working days prior to the

deadline set by the Vice President for Academic Affairs. The candidate may request in

writing that his/her candidacy not proceed further. Such a request shall be honored. If no

such request from the candidate is forthcoming, the dean shall forward his/her and all

previous recommendations to the Vice President for Academic Affairs.

7. Recommendations concerning the tenure of probationary faculty members will be made

to the President by the Vice President for Academic Affairs on recommendations of the

dean and of the department, as described in earlier parts of these policies, and in the

manner so described.

8. The Vice President for Academic Affairs shall review the recommendations and inform

the candidate in writing of his/her recommendation before forwarding his/her

recommendation and all previous recommendations to the President of the University.

9. The President of the University shall make the final decision on a tenure

recommendation. If his/her decision is affirmative, he/she shall notify the Kansas Board

of Regents that tenure be granted.

10. The University’s policies and procedures for tenure and reappointment during the

probationary period affirm any and all due process rights whether or not such rights are

expressly stated.

1B.0805.03 Reappointment during the Probationary Period (FSB 75001 approved by

President 3/3/76)

The following procedures pertain to relations with individual faculty members during the

probationary period and at the time recommendations and decisions are made regarding

renewal of term appointments leading to the granting of tenure. These procedures do not

apply to special appointments, those clearly designated in writing at the outset as involving

only a brief association with the institution for a fixed period of time.

Criteria and Notice of Standards

Faculty members shall be advised, early in their appointments, of the substantive and

procedural standards generally employed in decisions affecting reappointment and tenure.

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Any special standards adopted by a department or school/college shall also be brought to

their attention.

Opportunity to Submit Material

A faculty member shall be advised of time when decisions affecting reappointment and

tenure are made, and he/she shall be given the opportunity to submit material which he/she

believes will be helpful to an adequate consideration of his/her circumstances should such

be necessary.

Notice of Nonrenewal

In the event of a recommendation or decision not to renew the appointment, the faculty

member shall be so informed in writing, and if requested, shall be advised of the reasons.

He/She shall also have the opportunity to request a reconsideration of the action.

Petition for Review Alleging Inadequate Consideration

The faculty member not being reappointed may expect that any review of his/her situation,

whether through usual grievance procedures or otherwise, shall accomplish the following:

1. Determine whether the decision of the appropriate faculty body was the result of

adequate consideration. The term adequate consideration refers essentially to procedural

rather than substantive issues. The conscientious judgment of the faculty member's

departmental colleagues must be respected if the invaluable tradition of departmental

autonomy in professional judgments is to prevail. The committee should not ordinarily

substitute its judgment for that emanating from the faculty process.

2. Request reconsideration when the committee believes that adequate consideration was

not given. The committee should indicate the respects in which it believes the

consideration may have been inadequate.

3. Provide copies of its report and recommendations to the faculty member, the President

or other appropriate administrative officers, and others concerned.

Petition for Review Alleging an Academic Freedom Violation

If the faculty member alleges that considerations violative of academic freedom significantly

contributed to a decision or recommendation not to reappoint, he/she should pursue the usual

grievance procedures of the University.

Non-Reappointment during Probationary Period

Notice of non-reappointment, or of intention not to recommend reappointment to the

governing board, should be given in writing in accordance with the notice of non-

reappointment standards.

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1B.0806 Policies and Procedures for Promotion

1B.0806.01 Distribution of Promotion Policies and Procedures to Faculty

All new faculty members employed at Emporia State University shall receive a copy of

promotion policies and procedures within 2 weeks of assuming their duties. Criteria are also

established by each department/unit.

1B.0806.02 University Criteria for Promotion (FSB 82004 approved by President

5/23/85)

Promotion in rank is not a matter of routine, seniority, or time in rank. Rather, it is the

recognition of the cumulative professional record of a faculty member as well as his/her

potential for continued growth and contribution. Promotion to the next rank shall be by merit

as determined in accordance with the criteria which are presented below.

Assistant Professor

1. Time in Rank: Five years in rank will be regarded as the normal time necessary before

an Instructor becomes eligible for promotion to Assistant Professor. At the end of 5 years

of professional experience in higher education, promotion will be recommended only on

the basis of documented meritorious performance.

2. Degree Requirement: The terminal degree/certification deemed appropriate by the

discipline is the minimum expectation for this rank.

3. Exceptions to Above: Early promotions, or promotion in the absence of an appropriate

terminal degree, will be considered only when there is acceptable evidence of truly

exceptional contributions in teaching, scholarly and/or creative achievements, University

service or professional service.

4. Other Criteria: Evaluation for promotion to an assistant professor shall emphasize

dedication to and ability for teaching. In addition, the faculty member shall have a

scholarly knowledge of disciplines relative to his/her academic responsibilities and a

developing mastery of relevant skills. The candidate shall also show a clear potential for

continued professional growth, for making scholarly as well as creative contributions,

and/or involvement in University and professional services. These criteria shall be

applied and weighted according to the nature of the discipline and the official department

standards.

Associate Professor

1. Time in Rank: Five years in rank will be regarded as the normal time necessary before

an assistant professor becomes eligible for promotion to associate professor. At the end

of 5 years promotion will be recommended only on the basis of documented meritorious

performance.

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2. Degree Requirement: The terminal degree/certification deemed appropriate by the

discipline is the minimum expectation for this rank.

3. Exception to Above: Early promotion or promotion in the absence of an appropriate

terminal degree, will be considered only when there is acceptable evidence of truly

exceptional contributions in teaching, scholarly and/or creative achievements, University

or professional service.

4. Other Criteria: Evaluation for promotion to rank of associate professor shall emphasize

a sustained commitment to excellence in teaching. In addition, the candidate shall clearly

have achieved a level of scholarship indicated by mastery of relevant disciplines and

skills as well as having made significant scholarly and/or creative contributions which

have been recognized by professional peers. The candidate shall have become a visible

member of the academic community through involvement in University and professional

service, shall demonstrate a commitment to continued professional growth and shall

make additional academic and service contributions. These criteria shall be applied and

weighted according to the nature of the discipline and the official department standards.

Professor

1. Time in Rank: Five years in rank will be regarded as the normal time necessary before

an associate professor becomes eligible for promotion to the rank of professor. At the end

of 5 years promotion will be recommended only on the basis of documented meritorious

performance.

2. Degree Requirement: The terminal degree/certification deemed appropriate by the

discipline is the minimum expectation for this rank.

3. Exceptions to Above: Early promotions, or promotion in the absence of an appropriate

terminal degree, will be considered only when there is acceptable evidence of truly

exceptional contributions in teaching, scholarly and/or creative achievements, University

service, or professional service.

4. Other Criteria: In addition to maintaining excellence in his/her teaching, the candidate

shall also have provided leadership in creating an intellectual environment. The candidate

shall be an accomplished scholar in his/her discipline and shall have achieved mastery

of relevant skills. Also, the cumulative record of scholarly and/or creative productivity

shall be substantially greater than that expected of other ranks. Accomplishments shall

be recognized by professional peers both from within and without the University.

Furthermore, there shall also be an established record of significant contributions in the

form of University and/or professional service. These criteria shall be applied and

weighted according to the nature of the discipline and the official department standards.

1B.0806.03 Procedures for Faculty Promotion

The department faculty at the start of each fall semester shall meet and vote on whether to

provide peer review for any colleague who is being considered for promotion. The

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guidelines for faculty promotion shall be consistent throughout the University, and providing

peer review is strongly recommended. In the event that the department does not decide to

provide peer review, the chair shall follow the guidelines as outlined in this document.

Establishment of Promotion Committee

The department shall establish a Faculty Promotion Committee (FPC) by democratic

procedures prior to October 15. The committee shall be composed of 3 or more full-time

departmental faculty members. The role of the FPC is to make advisory recommendations,

concerning promotion, to the department chair.

Faculty Promotion Committee (FPC) Responsibilities

The FPC shall carry out its functions in keeping with the following guidelines:

1. The FPC shall meet prior to November 15th to begin its consideration of promotion

recommendations.

2. Nominations for promotion may be initiated by the department chair, by colleagues, or

by the candidate. Upon written notification, the nominee has the right to accept or reject

this nomination.

3. FPC shall meet with the department chair to review those faculty members to be

considered for promotion and to establish a time schedule for forwarding to the chair its

recommendations for promotion.

4. The FPC shall invite the candidate to submit any documentary materials.

5. The FPC will include as a minimum the following steps in evaluating a candidate:

A. The FPC shall determine the merits of the candidate's teaching by:

a. Reviewing student evaluations from at least 1 semester per year for the 3

years immediately prior to the year in which the request for promotion is

made.

b. Reviewing peer evaluations.

c. Reviewing course material (e.g., syllabi, tests) from at least 2 consecutive

semesters.

B. The FPC shall determine the merits of the candidate's service, particularly as it

relates to classroom teaching and/or the mission of the University, by:

a. Reviewing the candidate's statement of his/her activities in the area of

University and public service.

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b. Reviewing statements from such pertinent sources as coworkers, committee

chairperson, officers of student organizations, and members of audiences

before whom the candidate has performed The candidate must be notified

of the FPCs receiving any statements that he/she does not personally submit

and must be permitted access to such statements.

C. The FPC shall determine the merits of the candidate's scholarly and creative

activities utilizing the written criteria established by the department, department,

college, school, and the University particularly as they relate to classroom teaching

and/or the mission of the University, by:

a. Reviewing all written material pertinent to this evaluation, including

publication, manuscripts, reports, and accounts of scholarly and creative

activities.

b. Reviewing a statement from the candidate regarding his/her

scholarly/creative activities.

Forwarding Faculty Promotion Recommendations

1. The FPC shall review all candidates and submit its recommendations to the department.

The department chair shall review all recommendations and shall notify the candidate of

the FPC recommendations and his/ her recommendation. The candidate may, if

dissatisfied, meet with the department chair. After reviewing the recommendations with

the candidate, the chair shall forward both the FPC and his/her recommendations to the

office of the dean of the college unless the candidate requests that his/her candidacy not

proceed further.

2. The dean of each school/college shall review the recommendations and, unless the

candidate requests that his/her candidacy not proceed further, forward them along with

his/her recommendation to the office of the vice president. In addition, the dean shall

inform the candidate of his/her recommendation.

3. The academic vice president shall review the recommendations and forward them along

with his/her recommendation to the office of the President. In addition, the academic vice

president shall inform the candidate of his/her recommendation.

4. The President shall make the final decision concerning promotion.

5. Final notification of a promotion is made to the Board of Regents.

6. The candidate shall have the right to be kept fully informed of all submissions and

recommendations made with regard to his/her candidacy and to attach his/her comments

to any or all of them.

7. Throughout the procedure, the right of due process is recognized for all candidates.

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8. It will be the responsibility of the respective chairpersons/directors and deans/

administrative heads to ensure that only those faculty members who have been evaluated

according to the criteria and procedures specified herein will be recommended for

promotion.

1B.0807 Faculty Performance and Recognition Decisions when Interdepartmental

Transfers of Faculty Members or Departmental Mergers are Involved (FSB

14019 approved by President 5/15/2015)

Employment Decisions

If a faculty member transitions to a new department (e.g., via transfer or merger), then the

faculty member shall have the option during the transition period to be evaluated by previous

guidelines, i.e., by the old department’s faculty recognition document (FRD) or by the FRD of

the department to which he or she transitions.

The transition period is likely to be different for different decisions, and these transition periods

will be called “cycles” for clarity hereafter. This choice of FRD is available for one cycle of

retention and tenure, promotion, post-tenure review, and chronic low performance and

corrective faculty development. The cycle for retention is 1 year; the cycle for tenure is until

a tenure decision is made; the cycle for promotion is the minimum time in rank for promotion

plus 1 year; the cycle for post-tenure review is until post-tenure review has been conducted or

promotion has been achieved, whichever is first. The cycle for chronic low performance and

corrective faculty development is more complex and is elaborated on below.

Development Policy

The chronic low performance and corrective faculty development process shall neither

prematurely cease nor restart due to an interdepartmental transfer or merger (i.e., the time clock

does not stop or restart if it has already begun). The cycle remains the same as determined

before with corrective faculty development continuing without interruption over the remaining

designated time period.

Absent current involvement in the chronic low performance and corrective faculty development

process, transfer or mergers shall not place a faculty member into it. The faculty member shall

have the option to selected the FRD from either the old department or the new department over

the 3-year chronic low performance and corrective faculty development cycle.

Merit Pay and Sabbatical Decisions

The cycle for merit pay and sabbatical leave decisions is 1 year. If the transfer or merger is

within a school or college, merit pay and sabbatical leave will have the dean as the arbiter of

these decisions; similarly, transfers to another school or college will have the provost as the

arbiter. The faculty member may select the guidelines of the old department or the new

department; alternatively, a mutually acceptable (i.e., with the faculty member and the arbiter)

composite of the two FRDs may be created to form the foundation of these decisions, with

recommendations flowing via the normal channels. This is not intended to replace peer review

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if it was elected by the faculty in either department according to the University Policy Manual.

For example, if peer review was elected in the old department and a faculty member is

transferred, the faculty member has the right to peer review if the faculty member follows the

old department’s FRD, and this recommendation would flow as stated in the selected FRD. One

role of the arbiter is to ensure the faculty member in transition is not placed in a position of

disadvantage due to the transfer or merger.

Good-Faith Effort of All Parties is Expected

Transfer and merger transitions can create ambiguities, confusion, and uncertainty. These

guidelines attempt to reduce these for typical decisions. A myriad of other issues may need to

be resolved involving a good faith effort on behalf of all parties; moreover, it is important to

recognize that after tenure is earned, its rights and responsibilities remain with the faculty

member regardless of transfer or merger. A transfer (or merger) should place a previously

qualified faculty member into a department where he or she would be productive and qualified;

never the opposite. It is incumbent on the university administrative, faculty, and staff to make

these transitions as smooth as possible and to ensure the faculty continue to perform at a high

level.

1B.09 POLICIES ON TERMINATION OF EMPLOYMENT

1B.0901 Resignation

A faculty member may terminate his/her appointment effective at the end of an academic year,

provided that notice is given in writing at the earliest possible opportunity, but not later than

May 15, or 30 days after receiving notification of the terms of appointment for the coming year,

whichever date occurs later. The faculty member may properly request a waiver of this

requirement of notice in case of hardship or in a situation where he/she would otherwise be

denied substantial professional advancement or other opportunity.

1B.0902 Non-Reappointment

The University may at its discretion decide not to renew an academic probationary appointment.

The following standards apply:

Notice of Non-Reappointment Standards

(BOR 4/16/82)

Notice of non-reappointment, or of intention not to recommend reappointment to the governing

board, should be given in writing in accordance with the following standards:

1. Not later than March 1 of the 1st academic year of service. If a 1 year appointment

terminates during an academic year, notice is given at least 3 months in advance of its

termination.

2. Not later than December 15 of the 2nd academic year of service. If an initial 2 year

appointment terminates during an academic year, notice is given at least 6 months in advance

of its termination.

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3. At least 12 months before the expiration of an appointment after 2 or more years in the

institution.

These statements shall apply even during periods of declared financial exigency, unless

impossible, in which case notice shall be provided as early as feasible.

1B.0903 Program Discontinuance

Termination may occur as a result of a bona fide discontinuance of a program in accordance

with established University policy.

1B.0904 Post Tenure Review (FSB 13106 approved by President 5/21/2014; FSB 14002

approved by President 10/28/2014; FSB 14004 approved by President 2/03/2015;

FSB 14016 approved by President 5/01/2015)

1. Post Tenure Review

Post Tenure Reviews of all tenured faculty members shall be conducted at 7 year intervals,

with the first review in the 7

year after tenured employment is initiated with some necessary

exceptions stated below. If a tenured faculty member receives a promotion in rank within

7 years of the anniversary of his or her previous review, the next review shall be conducted

in the 7

year after the promotion takes effect.

Starting with the year of policy implementation, all tenured faculty must undergo Post

Tenure Review within 7 years. Post Tenure Review shall be in addition to, not in lieu of,

annual evaluations.

Exceptions:

a. Because this is a new policy, the implementation of which begins in the academic year

2014-2015, the 7

year review will be phased in through the initial 7 year period with

volunteers having first priority. Unless otherwise specified in the department’s Post

Tenure Review Policy, the faculty member shall select the year of his or her Post Tenure

Review.

b. If a tenured faculty member becomes an administrator (i.e., reports to an administrator

higher than a department chair or equivalent and is teaching less than half of the normal

teaching load in the department), the schedule of performance reviews shall be suspended

until the faculty member returns to regular faculty status. If the term of administrative

duties exceeds 3 years, the next review will be rescheduled in the 7

year after the

resumption of faculty duties.

c. A faculty member may delay the review by 1 year in order to accommodate a sabbatical

leave or change in family status (i.e., birth, death, adoption, marriage, or divorce); these

delays may not occur more than twice in a review cycle. Other compelling reasons, such

as a major health issue, may also allow for a delay of a year provided both the faculty

member and the academic supervisor (department chair or equivalent) approve.

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d. Tenured faculty in phased retirement are excluded since they already have contractually

agreed to a retirement date.

e. Tenured faculty who retire or resign at the end of the 7

year following a previous review

are excluded from this policy.

f. For a tenured faculty member who is subject to the Chronic Low Performance and

Corrective Faculty Development policy, the Post Tenure Review shall be delayed until

the faculty member successfully emerges from the Chronic Low Performance and

Corrective Faculty Development policy or is terminated per the policy.

The Post Tenure Review shall be conducted by the Department Chair or by the Faculty

Recognition Committee, or both as set forth in the department’s Faculty Recognition

Document, and shall be based upon the most recent 6 annual evaluations (missing

evaluations may be replaced by additional documentation provided by the faculty member),

the materials submitted by the faculty for these annual evaluations, and any additional

materials the faculty member chooses to submit. The Post Tenure Review shall consist of

an evaluation of the faculty member’s performance in teaching, scholarship, and service as

those factors are weighted in the relevant Faculty Recognition Document.

The faculty of the department shall adopt such additional procedures as are deemed

necessary and appropriate for the Post Tenure Review.

The Post Tenure Review shall identify any observed trends, strengths upon which to build

or weaknesses to improve.

If the Post Tenure Review finds failings consistent with those designated by the Chronic

Low Performance and Corrective Faculty Development policy, then the Post Tenure Review

may recommend the faculty member be moved into the beginning of the Chronic Low

Performance and Corrective Faculty Development process. In short, this Post Tenure

Review policy is not intended to delay entry into the Chronic Low Performance and

Corrective Faculty Development process.

The faculty member shall be given a copy of the Post Tenure Review and shall have the

opportunity to reply to whomever conducted the review (i.e., the Review Committee, the

Chair, or both before the review is officially submitted in the process designated by the

department’s Post Tenure Review Policy, required by school, college, or university. To be

included in the record, this reply must be submitted within 10 class days after receipt of the

initial review. The Review Committee, Chair, or both may change the review after

considering the faculty member’s reply, or not change it. If changes are made, the faculty

member shall be given the revised copy of the review before it is officially submitted.

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1B.0905 Chronic Low Performance and Corrective Faculty Development (FSB 95007

approved by President 5/9/96; FSB 96001 approved by President 10/4/96; FSB

04003 approved by President 2/15/05)

I. Related Principles and Definitions

A. Related Principles

Emporia State University is committed to recruiting only those faculty who show clear

promise of success in the academic setting. The University is committed to the principles

of academic freedom and, within those principles, to the system of tenure. Tenure is an

important part of academic freedom but does not accord freedom from accountability.

Just as the University is committed to recruit excellent faculty and to ensure the

excellence of their performance, so too is the University dedicated to faculty renewal and

development. Thus, the concept of regular, rigorous faculty review is a part of the

University’s commitment to providing support to every faculty member.

B. Definition of Chronic Low Performance (FSB 95007)

Chronic low performance of a tenured faculty member is demonstrated when the faculty

member fails in his/her professional responsibility as identified in annual evaluations.

Continued low performance, despite all assistance provided, may be considered an

adequate cause for dismissal.

C. Definition of Department and Department Chair

For the purposes of this policy, University Libraries and Archives and the School of

Library and Information Management are considered as departments and their deans are

considered as their department chairs.

II. Statement of Policy

The Faculty Senate of Emporia State University hereby recognizes that the University

requires adequate performance of certain duties by the faculty member. While tenure, in its

protection of academic freedom, shields faculty from discriminatory, unfair, arbitrary or

capricious dismissal, is not designed to shield them from the consequences of inadequate

performance or non-performance of their duties.

Every faculty member's performance is subject to review to determine whether each faculty

member has fulfilled his/her duties. Sustained failure of a faculty member to carry out his/her

academic responsibilities, despite the opportunities for University-supported faculty

development or other appropriate interventions, is cause for consideration of dismissal from

Emporia State University, by due process.

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III. Implementation

A. Evaluation Process

The annual evaluation document used by each department will include: (1) a statement

of the overall acceptable level of faculty performance, (2) a definition of failure for each

area of faculty responsibility (i.e., teaching, scholarly activity, and service), (3) a

provision for faculty development, and (4) a statement of a faculty member's right to due

process in the event any disagreement should arise in the course of the evaluation, and

(5) a procedure for establishing an Evaluation Committee when needed to review claims

of inadequate performance about a tenured faculty member. Each department shall

review its evaluation process at least once every 5 years and any changes shall be

adopted by a faculty vote and approved by the dean or the appropriate

school/college/library and by the Vice President for Academic Affairs. Any request for

a secret ballot must be honored when changing this evaluation process. A current copy

of each department's evaluation process shall be kept on file in the office of the Vice

President for Academic Affairs.

In addition, the annual evaluation document for each school and college and the library

must provide for a Performance Review Committee to consider any situation in which

the department chair and the departmental Evaluation Committee disagree about a claim

of inadequate performance. The procedure for establishing this committee must be

approved by the faculty of the school/college/library, the dean, and the Vice President

for Academic Affairs.

All components of the Evaluation Process, including the specified committees, must be

in place before this policy is implemented.

B. Individualized Expectations

Consistent with the Regents' policy, Emporia State University’s policy provides for

differential allocations of effort among tenured faculty in the areas of their academic

responsibilities. The individual's performance responsibilities and expectations for the

period are determined by the allocation of effort and the departmentally-established

responsibilities in an academic area. These responsibilities and expectations will serve

as the basis for the individual's Annual Evaluation.

C. Annual Evaluation

1. (Typical) Annual Evaluation by the Department Chair

The department chair using criteria and methods appropriate to that department for

teaching, scholarly activities, and service shall evaluate each faculty member

annually. The faculty member will provide relevant information for the purposes of

evaluation. Multiple sources of information used to evaluate the teaching component

will include students' ratings of instruction and such other information as may be

appropriate.

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2. (Special) Annual Evaluation by the Department

Beyond the department chair’s responsibility for the evaluation of each faculty

member, the department’s tenured faculty share the responsibility in evaluating

tenured faculty who might be considered failing in any area of responsibility (e.g.,

teaching, scholarly activity, or service) as defined in the department’s annual

evaluation document. It is important to note that this Special Annual Evaluation is

not tantamount to a reapplication for tenure. Instead, this process is intended to

ensure professional self-direction and the success of faculty who already have earned

tenured. It encourages the department to exercise its collective wisdom in

determining if serious problems actually exist and seeking effective solutions when

they occur.

a. Department’s Annual Evaluation by the Chair and the Department’s Evaluation

Committee when a Tenured Faculty Member Might be Considered Failing

If a tenured faculty member is considered failing in teaching and one of the other

two areas of responsibility, scholarly activities and service, he/she must be

informed of the concerns on or before March 15 of any given year. Subsequently,

an Evaluation Committee, composed of tenured faculty, will conduct an

independent evaluation as part of this evaluation process (i.e., the chair and

tenured faculty will both be involved in this annual evaluation process).

Throughout this process, assertions of failure must be substantiated with clear and

convincing evidence to which the tenured faculty member has a right to respond.

The burden of demonstrating adequate cause rests with those who contend a

tenured faculty member has failed in his/her professional responsibility.

b. Composition of the Evaluation Committee

Although this Evaluation Committee may coincide with another democratically-

constituted committee such as a promotion committee, it might also be a

committee of all tenured faculty in the department, or a democratically-

constituted committee expressly for this purpose. In any case, it may include

neither non-tenured individuals nor anyone who is a chair or above (e.g., chair,

associate dean, dean, vice president).

c. Independence of the Evaluation Committee

It is expected that the Evaluation Committee will act independently. For example,

it is expected that the tenured members of the faculty in a department understand

what constitutes a failing performance of a tenured faculty member from the

annual evaluation document mentioned above. The Evaluation Committee’s

initial charge is to conduct an independent evaluation of the material used in the

annual evaluation process.

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d. Access to Information and Input from the Faculty Being Evaluated

The faculty member shall have access to all pertinent information. Furthermore,

copies of any (or all) documents shall be provided to the faculty member upon

request. The faculty member shall have the right to respond to any of these

documents.

The faculty member shall have the right to provide input to any committee,

comment in response to its evaluations, and to request the record be corrected, if

in error. Furthermore, the faculty member shall have the right to invite a

representative to participate in any discussions with an administrator (e.g.,

department chair) or any hearings by a committee.

e. Delivery of the Draft of the Evaluation Committee’s Contribution to the Annual

Evaluation to the Faculty Member

The Evaluation Committee’s independent evaluation shall be provided to the

faculty member in writing at least 5 (class) days prior to its final adoption. The

faculty member has the right to respond to the Evaluation Committee’s

independent evaluation and the Committee may modify its evaluation. If the

Committee modifies the evaluation, the faculty member once again, shall have at

least 5 (class) days to respond.

f. Delivery of the Independent Evaluation to the Department Chair

The Evaluation Committee’s contribution to the Special Annual Evaluation shall

be delivered to the department chair. The department chair may change any

aspect of his/her evaluation after receiving the Evaluation Committee’s

contribution to the Annual Evaluation, or may choose not to do so.

g. Delivery of the Draft of the Department’s Evaluation by the Chair and the

Evaluation Committee to the Faculty Member

The chair shall include the Evaluation Committee’s independent evaluation as

part of a draft of the Annual Evaluation and provide it to the faculty member

within 5 (class) days of the receipt of the Evaluation Committee's independent

evaluation. It is important to recognize that the Annual Evaluation of a faculty

member who is accused of failing in his or her professional responsibilities must

be a combined product of the chair and the Evaluation Committee. Although

these may seemingly appear to be two separate documents, together they form the

department's evaluation.

IV. Determination that Academic Responsibilities Are Not Being Met

A. If the chair and the Evaluation Committee agree that the individual failed in teaching and

either scholarly activity or service, then a determination is made that academic

responsibilities are not being met. Such a determination must be made on the basis of

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convincing evidence. If the chair and Evaluation Committee do not agree in this

determination then the matter is referred to the school/college/library Performance

Review Committee. The faculty member will have the right to strike preemptively any

member (or members) of the Performance Review Committee who also served on the

department’s Evaluation Committee.

B. Within 20 class days of the referral, the Performance Review Committee will make a

determination of whether academic responsibilities are being met. If the Performance

Review Committee agrees that the individual failed in teaching and either scholarly

activity or service, then a determination is made that academic responsibilities are not

being met and this determination is submitted to the dean and Vice President for

Academic Affairs. If the Performance Review Committee does not agree in this

determination, then the matter is closed for the current year.

C. Department chairs shall consult with the academic dean, and the dean shall consult

annually with the Vice President for Academic Affairs, on the progress of any faculty

member who falls within the category of overall failure to meet his/her professional

responsibilities.

V. Appropriate Interventions, including Faculty Development Options

Faculty development is the term used for the University's investment in its faculty. While

primarily relied upon to promote development, it may be utilized for corrective action.

Effective faculty development in this context is intended to refresh and restore vitality and

it may develop, expand, or enhance other talents. Early and accelerated faculty development

is encouraged, when a tenured member of the faculty begins experiencing difficulty in any

area of responsibility. Such corrective action need not wait for the annual evaluation to be

implemented.

If the annual evaluation indicates that a tenured faculty member has failed in any of his/her

professional responsibilities (i.e., teaching, scholarly activities, or service), a written plan of

action to improve the faculty member's performance shall be developed as a product of

mutual negotiation. This corrective faculty development plan should have the objective of

raising the faculty member's performance to acceptable levels or beyond within 3 years. It

shall respect academic freedom and professional self-direction, and it shall be flexible

enough to allow for subsequent alteration or even its own abandonment. Good faith is

expected from all parties which includes a commitment to improve by the faculty member

and adequate support of that improvement by the university. The plan should not require a

literal fulfillment of a set of nonnegotiable demands or rigid expectations by any party,

quantitative or otherwise. If the chair and the faculty member cannot agree on a plan, the

Evaluation Committee shall assist by offering recommendations and/or reviewing the plan.

If a mutually agreeable plan cannot be developed, the faculty member may appeal to the

college/school/library Performance Review Committee, the dean, or the Vice President for

Academic Affairs to assist in the development, and provision of additional resources, of such

a plan. Beyond appropriate provisions for faculty development, such as a sabbatical (if

eligible), campus opportunities for faculty continued renewal and development, a change in

teaching assignments, or reassigned time dedicated to improvement, the plan may seek other

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appropriate interventions away from campus, including funding for professional travel to

participate in workshops, seminars, conferences, or other opportunities that might be

expected to help the faculty member develop. Non-academic options may be part of the plan

when appropriate (e.g., counseling or medical leave).

Normally, a corrective plan should be approved by the faculty member to whom it applies,

department chair, Evaluation Committee, and others who are to provide resources for such

a plan (e.g., dean or Vice President for Academic Affairs). The plan normally should provide

continuous faculty development for 3 years. The faculty member may reject an approved

plan recommended to aid performance levels, but the faculty member must understand that

a sustained overall failure in his/her professional responsibilities is a basis for dismissal.

VI. Recommendation for Dismissal

If the chair and either the departmental Evaluation Committee or the school/college/library

Performance Review Committee determine that there has been a sustained overall failure in

teaching and either scholarly activity or service (i.e., failing in teaching and at least one other

area), in 3 consecutive years or 4 out of 6 years, the department chair may recommend to the

dean that a tenured faculty member be dismissed, provided the faculty member has had the

opportunity for corrective faculty development for the commensurate amount of time (i.e.,

for 3 consecutive years or 4 out of 6 years). The dean may forward such recommendation

to the Vice President for Academic Affairs. In making this determination, the department

chair must state the nature of the failure, the reasons for this failure, the number of years that

the faculty member has failed, the level of discernible improvement in the faculty member's

performance after being notified of any failure in performance, and the extent to which the

faculty member has complied with the terms of an approved plan developed to improve the

faculty member's performance. If the Vice President for Academic Affairs, upon reviewing

the recommendations, agrees with these recommendations, he/she may recommend to the

President that the faculty member be dismissed. If the President agrees and wishes to

recommend dismissal, the faculty member may proceed to the dismissal policy.

Should any recommendation to dismiss be brought against a tenured faculty member based

on grounds of sustained failure, the reports of the Evaluation Committee(s), Performance

Review Committee(s), the annual written evaluations concerning the faculty member, any

outside evaluations, and any written response by the faculty member to the charges shall be

made available to the faculty committee charged with hearing the dismissal case and any

subsequent dismissal or grievance committee.

The finding of failure must neither abuse academic freedom nor be used as a cover for

discriminatory, unfair, arbitrary, or capricious dismissal. If a dismissal or grievance

committee concludes that such factors were considered in formulating the recommendation

to dismiss, the committee shall recommend to the President that the proceeding to dismiss

be terminated.

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1B.0906 PROCEDURE FOR FACULTY REVIEW PRIOR TO DISMISSAL FOR

CAUSE OF TENURED FACULTY (FSB 04001 approved by President 11/04/04;

FSB 14020 approved by President 5/15/2015)

A. Charge

When termination of a tenured member of the faculty is under consideration, a faculty

Committee to Hear a Case Regarding the Dismissal for Cause of a Tenured Faculty Member,

hereafter referred to as the committee, is established according to the Regents’ policy

incorporating the 1940 AAUP Statement of Principles of Academic Freedom and Tenure.

The formal procedure is commenced by communication to the faculty member by the vice

president for academic affairs (VPAA) that termination is under consideration. The VPAA

will also inform the faculty member that a hearing will be conducted by the committee,

unless the faculty member rejects such a review within ten class days after receiving the

statement from the VPAA. The committee shall be constituted and convened by the process

indicated below; it represents an independent peer review of the faculty member’s case. The

charge of the committee shall be to receive evidence at the hearing, to make written findings

to fact, and to recommend to the president of the University action concerning the proposed

dismissal.

B. Jurisdiction

The jurisdiction of the committee shall extend to cases involving adequate cause for

dismissal of faculty. Adequate causes for dismissal are limited to:

1. actions that would result in a general condemnation of the faculty member by the U.S.

academic community, or

2. abandonment or substantial and manifest neglect of professional or academic

responsibilities, or

3. chronic low performance as defined in the University Policy Manual, or

4. causes prescribed by the Kansas Board of Regents.

Adequate cause for dismissal shall be directly and substantially related to the fitness of a

faculty member in his or her professional capacity as a teacher or scholar. Dismissal shall

not be used to restrain a faculty member in his or her exercise of academic freedom or other

rights of American citizens. The jurisdiction of the committee would not extend to financial

exigency or program discontinuance unless recommended by a grievance panel.

C. Composition and Eligibility

The committee shall be composed of six tenured full-time faculty members, none of whom

shall be administrators or faculty with administrative responsibilities (e.g., deans, associate

deans, department chairs). One of the six shall serve as the non-voting chair. Faculty of the

department in which the faculty member holds an appointment shall not be eligible.

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D. Nature of Hearing

The hearing shall be open, unless the faculty member requests it to be closed; however,

deliberations of the committee shall be conducted in closed session.

E. Rights of Participants

The effective and equitable discharge of the responsibilities of the committee require the

following guidelines to safeguard the rights of principals and committee members and to

preserve the autonomy of the process:

1. The charge of the committee and its procedures as defined by action of the Faculty

Senate shall not be abridged in any way. Proposed changes in procedures shall require

a review of the Faculty Affairs Committee and approval of the Faculty Senate. The

committee shall have the right to adopt necessary operational procedures which are not

inconsistent with these procedures.

2. The University shall arrange for an outside attorney (which might be an attorney from

another Regents’ university) to advise the committee as required. Expenses incurred by

the committee for the hearing shall be borne by the University.

3. The VPAA will inform the appropriate dean and department chair of each committee

member’s responsibility for the task of the committee. The VPAA shall confer with the

appropriate dean or department chair to discuss how assigned responsibilities for each

panel member will be arranged while the panel member is involved with the hearing and

committee deliberations. This form of University service must receive positive

recognition and shall not jeopardize the faculty member’s yearly evaluation for

performance, merit pay increase, or promotion.

4. Rights of the parties to the hearing shall include but are not limited to the following:

a. To be represented by an attorney

b. To present supporting witnesses

c. To question opposing witnesses

d. To make closing statements

e. To receive written findings and recommendations of the committee and written

notice of the President’s decision and a full explanation of the reasons

f. To obtain and/or examine the record of the proceedings

F. Procedures

1. The hearing procedure shall be initiated by a written request submitted by the VPAA to

the President of the Faculty within 15 class days of the faculty member’s receipt of the

statement from the VPAA (i.e., this is only 5 class days beyond the time for the faculty

member to reject a hearing). Within 20 class days from the receipt of such request, the

President of the Faculty shall designate a panel of 13 faculty members, by random

selection, from a list of eligible faculty. If this random selection does not include at least

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one member from each college or school, the last name(s) drawn should be removed and

replaced with a randomly selected eligible faculty member from the unrepresented school

or college. (Although it is recognized they are from separate entities, eligible faculty

from the Library will be combined with the School of Library and Information

Management in this selection process.) Within 10 class days from the designation of the

panel, the President of the Faculty shall call the administration and the faculty member,

and/or their respective representatives, together for the purpose of selecting the hearing

committee. From the list of 13 names, each party shall remove 3 names, one at a time,

in alternating sequence, with the administration striking the first name. From the

remaining 7 names, 6 shall be selected by lot; the 7

shall serve as an alternate. Within

5 class days after the committee has been named, the President of the Faculty shall

convene the committee and the members shall select one member as the nonvoting chair.

Within 2 class days after the selection of the chair, the VPAA shall submit to the chair,

a statement of the specific grounds for the dismissal.

2. Within 5 class days from the selection of the chair, the chair shall provide to each party:

a. a copy of the specific grounds for the dismissal,

b. a list of the membership of the committee,

c. a notification of the date, time, and place of the pre-hearing conference.

3. At the pre-hearing conference each party shall provide a list of proposed witnesses to be

called and a list of documents to be introduced, with copies available to the other party.

The date, time, and place of the hearing shall be determined by the chair and both parties

shall be so notified. The hearing shall begin not less than 10, no more than 20, class days

after the pre-hearing conference. In a period of time not to exceed 5 class days following

the pre-hearing conference, both parties, or their respective representatives, shall confer

and assemble a common set of documents, consecutively numbered and with duplications

eliminated. An attorney for each party and for the committee may be present at the pre-

hearing conference.

4. At the hearing, each party may be accompanied by (1) a representative, who is not an

attorney, to serve as an advocate and/or assist in the presentation of evidence, and (2) an

attorney who may advise and participate in the proceedings. Both parties, or their

representatives, must be present.

5. The chair shall call the hearing to order, summarize the case, establish the order of

business, and review the rules. Since the hearing is conducted by peers, the committee

shall not be bound by strict rules of legal evidence; it may admit any evidence it deems

to be of value and may exclude evidence judged not pertinent to the case. If the hearing

is open, the chair shall have the right to limit the number of observers. Observers shall

not participate in any of the proceedings. Witnesses shall be excluded from the hearing

room until they testify. Photographs of the hearing room and the participants shall be

allowed only when the committee is not in formal session.

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a. The administration and the faculty member, in that order, shall make an opening

statement and present evidence, which may include testimony by supporting

witnesses.

b. The administration and the faculty member shall have the opportunity to question the

witnesses and/or present rebuttal.

c. Members of the committee may question the parties and/or witnesses.

d. The parties may be recognized by the chair for the purpose of objecting to any

testimony or question on the grounds that it is not pertinent to the case. The chair

shall rule on each objection; the chair may consult with the committee and/or its

attorney.

e. The administration and the faculty member, in that order, shall be given the

opportunity to make closing statements.

f. The administration bears the burden of proof by presenting clear and convincing

evidence of the justification for dismissal.

6. The chair, may on request of any member of the committee or either party, continue the

hearing to a specified date, time, and place. The chair, after consultation with members

of the committee, may request the production of additional information and/or invite

other witnesses to provide testimony pertinent to the case. Reasonable expenses for

outside witnesses, invited by the chair, shall be borne by the University.

7. A sound recording of the hearing shall be available to the parties concerned. A written

record shall be made of the hearing. An official copy of the record and supporting

documents shall be kept in confidential files in the Office of the President of the

University for a period of at least 3 years following these proceedings and may be

examined only with the approval of the faculty member, except in the case of a closed

hearing for which consent of both parties shall be required. With the consent of both

parties a videotape recording shall be made, at the expense of the requesting party.

8. The decision of the committee shall be based upon only testimony and evidence

presented at the hearing. The report of the committee shall provide findings of fact

regarding the evidence and shall recommend action concerning the proposed dismissal.

Its content shall reflect a majority vote of total committee membership. A minority

report may be appended.

G. Reports

The decisions of the committee and the President of the University shall be communicated

in the following manner: In the case of either an open or a closed hearing, within 20 calendar

days from the conclusion of the hearing, the chair shall send the report to the President of

the University and to the faculty member; a copy shall be sent to th4e President of the

Faculty, unless the faculty member requests otherwise, in which case only written notice the

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committee has submitted its report will be sent to the President of the Faculty. Within 20

calendar days from the receipt of the report, the President of the University shall send a

written notice of his/her decision and a full explanation of the reasons to the faculty member;

a copy shall be sent to the President of the Faculty, unless the faculty member requests

otherwise, in which case only written notice that a decision has been rendered shall be sent

to the President of the Faculty. The President of the Faculty shall announce the information

received at its next meeting of the Faculty Senate.

H. Class Days and Calendar Days Defined

As indicated by the academic calendar established by the University, class days include all

days that classes are conducted, excluding legal holidays, vacation periods, the period of

final examinations, and intersessions; in addition, for the purpose of this policy, summer

sessions are also excluded. However, calendar days include any day on an annual calendar

excluding days the University is officially closed (e.g., legal holidays); calendar days are

used exclusively in the reports section to expedite the conclusion of this process.

1B.10 IMPLEMENTATION OF THE KANSAS BOARD OF REGENTS’ POLICY ON

SOCIAL MEDIA (FSB 14011 approved by President 4/17/2015)

Before any faculty or non-student staff member of the university can be subject to disciplinary action

(e.g., suspended without pay or terminated for cause) by the University President of the University

President’s delegate for being found to have made any improper use of social media under the

Kansas Board of Regents’ (KBOR) Social Media Policy, it must first be determined that such action

is consistent with the First Amendment of the University States Constitution and with principles of

academic freedom. This determination is to be made by the University President or the University

President’s delegate in consultation with legal counsel for advice and with consideration of a

recommendation by a Committee of Peers of the accused.

Composition of the Committee of Peers

The Committee of Peers shall consist of 5 individuals from the employee’s peer group only (i.e.,

faculty or unclassified professionals or university support staff or administration, respectively).

Three of the committee members shall be selected by the president/chair of the employee’s

representative group (i.e., Faculty President or Chair of the University Support Staff Commission

or President of the Unclassified Commission), and 2 committee members shall be selected by the

University President or the University President’s delegate. If the employee is a faculty member,

then at least 1 of the 5 committee members must be a faculty member from the same discipline (or,

if none, then the same department) as the employee.

Steps in the Process

1. The University President or the University’s President’s delegate determines that an incident

occurred that potentially violates the KBOR’s Social Media Policy.

2. The University President or the University President’s delegate contacts the appropriate

representative group president/chair to form the Committee of Peers.

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3. The University President charges the committee to review the incident in accordance with this

procedure and make a recommendation, with rationale, to the President or President’s delegate

as to whether the incident violates the KBOR policy, and if so, what, if any, disciplinary action

should be taken.

4. During the investigation by the committee, the employee shall be given every opportunity to

defend himself/herself, including, but not limited to, providing documentation and calling

witnesses in front of the committee.

5. The committee is to gather relevant information and make a written recommendation to the

University President or the University President’s delegate within 30 calendar days of receiving

its charge.

The procedures defined here do not preclude a university employee from using formal grievance.

The procedures defined here are in addition to, and do not replace, the policy of Review Prior to

Dismissal for Cause of Tenured Faculty, which policy must be followed in the event that a tenured

faculty member is to be terminated. Individuals who serve on the Committee of Peers shall not serve

on related grievance or termination committees.

1B.11 FACULTY ENROLLMENT AT ESU (FSB 01003 approved by President 10/26/01)

A full-time faculty member at ESU with the rank of assistant professor or above may not earn a

degree at this University. Exceptions to this rule may be granted by the Vice President for

Academic Affairs in circumstances where conflict of interest is deemed not present. An exception

must be applied for and granted before a faculty member can apply for admission and work toward

a degree at Emporia State University.

1B.12 FACULTY REFERENDUM (FSB 00008 approved by President 2/5/01)

1. Any member of the voting faculty submitting legislation to be adopted by referendum must

submit a petition signed by at least 20% of the voting faculty, as defined in Article 1, Section 1

of the Faculty Senate Constitution, to the Faculty Senate Committee on Campus Governance

(COCG). A list of the voting faculty is available by request from the COCG. Each copy of the

petition must contain the complete text of the proposed legislation. See Paragraph 5 for an

example.

2. After certifying that the petition has been signed by the appropriate number of voting faculty, the

COCG shall within 10 class days put the question to the voting faculty by means of anonymous

ballot. All ballots must be returned to the COCG within 10 class days. The COCG shall tally

the votes and will submit the result to the Senate Executive Committee no later than 5 class days

after the close of balloting.

3. If a majority of the faculty voting are in favor of the referendum, the Senate Executive

Committee shall assign the appropriate legislative number to the legislation. Hereafter the

legislation shall be treated in the same manner as any other bill passed by the Faculty Senate with

the exceptions noted in Paragraph 4. Within 5 class days of receiving the results of the

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referendum, the Senate Executive Committee shall forward it to the President of the University

for approval. The Faculty Senate may not amend this legislation.

4. If this bill is approved by the President of the University, the legislation shall become University

policy. If disapproved by the President of the University, the legislation may not be amended

or resubmitted without conducting another referendum. The President of the University may not

return any legislation passed by referendum for revision.

5. The following is an example of the referendum format.

TITLE OF THE REFERENDUM

I. Purpose: THE PURPOSE OF THE REFERENCE GOES ON THIS LINE.

II. Definitions: THE DEFINITIONS OF ANY TERMS NECESSARY TO CLEARLY

UNDERSTAND THE REFERENDUM GOES IN THIS SECTION.

III. Sponsors: See below

IV. REFERENDUM: Attached

------------------------------------------------------------------------------------------------------------

THE NAME OF THE REFERENDUM

THE TEXT OF THE REFERENDUM

-------------------------------------------------------------------------------------------------------------

The undersigned understand and support the above stated referendum and request submission

of the referendum to the faculty for adoption.

1._____________________________________

2._____________________________________

3._____________________________________

4._____________________________________

5._____________________________________

6._____________________________________

1C. ADMINISTRATIVE APPOINTMENT POLICIES AND PROCEDURES (Approved

by President 5/26/00; revised 12/16/02; revised 4/18/08; revised 8/10/2017)

1C.01 APPOINTMENT, EVALUATION, RETENTION AND TERMINATION

1C.0101 Introduction

1. Policies on appointment, evaluation, retention, and termination of administrative unclassified

employees are distinguished from the policies governing academic appointments. Academic

appointments are not encompassed by administrative policies.

2. Eligibility. All administrative unclassified appointments are governed by administrative

policies and procedures, with the exception of the President, which is governed by the Board

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of Regents. The following appointments have been designated to serve at the pleasure of the

Chief Executive Officer and, thus, are also exempt from this policy: provosts,

associate/assistant provosts, vice presidents, associate/assistant vice presidents, deans, chairs,

Chief Information Officer, Director of University Advancement and President of Foundation,

Director of Alumni Relations, Athletic Director, head coaches, Director of Public Relations,

Director of Marketing, and Legal Counsel.

3. Campus specific assignments, including but not limited to legislative liaison, faculty athletic

representative, affirmative action officer, are considered to be at-will and may be terminated

at any time and without cause prior to the end date specified in the Notice of Appointment.

4. The President, or the President’s designee on behalf of the President, approves

administrative notices of appointment. Federal law requires ESU to verify employment

eligibility of all individuals hired after November 6, 1986. The I-9 Form must be completed

in Human Resources within 3 days of hire, or the employee may forfeit his/her position.

Documentation is most easily provided by a driver’s license and social security card. Other

documents may be substituted. The I-9 form will be retained in the employee’s personnel

file located in Human Resources, and once completed, may need to be completed again for

ESU employment if documentation expires.

5. The following clause will be added to all notice of appointments for persons in a position

funded by non general-use money, except tenured appointments: Inasmuch as this is a

non-state funded appointment, this appointment is for the appointment period or no longer

than funds are available.

6. Application: The Faculty Grievance Policy does not apply to administrative and non-

academic unclassified employees. Administrative and non-academic unclassified employees

who do not serve at the pleasure of the Chief Executive Officer may use the evaluation

appeals process defined in this policy.

7. Administrative polices shall be construed in a manner consistent with the laws of the United

States of America, the State of Kansas, and the policies and procedures of the Kansas Board

of Regents. Should a conflict arise between this policy and the laws/policies referred to

above, the latter will control. A finding of invalidity of any section or sections of this policy

shall not invalidate the remaining provisions of this policy.

1C.0102 Administrative Probationary (UPCM 17001 approved by President 8/10/2017)

1. A new employee who has not had prior service at ESU, or at another accredited college or

university or other professional experience as determined by the appropriate vice president

in consultation with the President, shall serve a probationary period of no less than 1 year

and no more than 18 months.

2. The probationary employee’s performance shall be evaluated in writing by the supervisor

to whom the employee is responsible.

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a. During the probationary period, the employee shall receive a performance evaluation at

6 months and 1 year, and 18months if applicable.

b. The employee shall be informed at each evaluation period of whether satisfactory

progress is being made toward successfully completing the probationary period. The

employee must take responsibility for contributing data and information to assist in the

evaluation.

c. A copy of the unclassified employee’s Probationary evaluation shall be submitted to the

appropriate vice president who will sign off and forward to Human Resources.

d. If an evaluation is not received by the employee’s 1-year anniversary date, the employee

will be given permanent status.

3. Evaluation Appeals Process: At the request of the employee, an Evaluation Review

Committee shall be appointed to review the employee’s evaluation. This process will be

coordinated by the Director of Human Resources.

a. The Evaluation Review Committee shall consist of 1 University employee recommended

by the person being evaluated; 1 University employee recommended by the evaluator;

and 1 University employee who is mutually acceptable to the employee and the

evaluator.

b. The recommended committee members shall serve unless unable or unless one party

challenges a member due to bias or other cause. Committee members may be challenged

only upon initial appointment to the committee.

c. The committee shall elect 1 member to serve as the chair of the Evaluation Review

Committee. The report of the Evaluation Review Committee shall be submitted to the

Director of Human Resources, who will forward it to the President. The President’s

decision shall be final.

d. The initial request for an Evaluation Review Committee must be filed with the Director

of Human Resources within 10 working days of the receipt of the evaluation. At that

time, the employee shall provide the name of the employee recommended committee

member. Within 10 working days of receipt of the request, all committee members shall

be appointed. The committee shall proceed in a timely manner (i.e., as soon as practical),

and shall submit its recommendation (including a written statement of the facts and the

reason(s) for its recommendation) to the Director of Human Resources within 6 weeks

of the initial request for review. All time limits may be extended by agreement of the

parties.

4. The probationary period is considered to be a working test of the employee’s ability to

perform satisfactorily in the position. During this period, the supervisor will provide any

necessary instruction and training. The probationary period may be ended at any time by

either party, either for cause or not, in compliance with applicable state and federal laws.

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1C.0102.01 Administrative Probationary Status with Cause (for employees with

prior permanent status) (UPCM 17002 approved by President 8/10/2017)

An Administrative Probationary employee released from employment with cause would

receive the following:

1. Two days separation pay per each full year of service to the University.

2. Human Resources will provide information regarding free community career services

during the exit conference.

3. Employees separated for reasons qualifying as gross violations would not be covered

under this clause.

1C.0102.02 Administrative Probationary Status without Cause (UPCM 17002

approved by President 8/10/2017)

An Administrative Probationary employee released from employment without cause would

receive the following:

1. Two days separation pay per each full year of service to the University.

2. Human Resources will provide information regarding free community career services

during the exit conference.

3. University will agree not to contest unemployment claims.

1C.0103 Administrative Regular (UPCM 17003 approved by President 8/10/2017)

1. The performance of an employee in an administrative regular appointment shall be evaluated

annually in writing by the supervisor to whom the employee is responsible. A copy of the

evaluation will be submitted to Human Resources annually and will become a part of the

employee’s permanent employment record. If the evaluation indicates that the work of the

employee is not satisfactory, the employee shall be so informed and, if circumstances

warrant, may be subject to: (1) termination; (2) reassignment to another position or other

responsibilities; (3) an adjustment in salary; and/or (4) a return to probationary status.

a. If an employee is returned to probationary status, the employee must requalify (in the

judgement of the supervisor) for an administrative regular appointment within a period

of 1 year or be subject to termination of employment.

b. The employee being evaluated may request a review of his/her evaluation by the

Evaluation Review Committee, as defined in 1C.0102.

2. If, at any time, it is necessary to terminate an administrative regular appointment for reasons

other than just cause, the employee would receive the following:

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a. Two days separation pay per each full year of service to the University.

b. Information provided by Human Resources during the exit conference regarding free

community career services.

c. Assurance that the University will not contest unemployment claims.

1C.0103.01 Administrative Regular Status without Cause (UPCM 17002 approved

by President 8/10/2017)

An Administrative Regular employee released from employment without cause would

receive the following:

1. Two days separation pay per each full year of service to the University.

2. Human Resources will provide information regarding free community career services

during the exit conference.

3. University will agree not to contest unemployment claims.

1C.0104 Administrative Temporary

1. An administrative temporary appointment may not exceed 1 year. The appointment is

renewable annually, but is subject to the 5-year stipulation. The 5-year stipulation is defined

as employment which should not exceed 5 years of consecutive appointments.

2. Temporary appointments which are made for at least a half-time, 9 month basis will be

eligible for benefits. Multiple simultaneous appointments of less than half-time may make

an employee eligible for benefits even when the individual appointments do not.

3. A non-benefits eligible temporary appointment is defined as less than half-time and is not

subject to the 5-year stipulation, as defined above.

4. Administrative temporary appointments carry no expectation of continuing employment, and

therefore are not entitled to the appeal procedures as defined in 1C.0102 of this manual.

Employment is considered to be at-will and may be terminated at any time, without cause,

prior to the end date specified in the Notice of Appointment.

5. Upon the recommendation of the supervisor, time served in a temporary appointment may

be applicable toward satisfaction of the probationary requirements as defined in 1C.0102.

Such credit will be stated in the initial probationary Notice of Appointment.

1C.0105 Administrative Athletic (revised 12/16/02)

1. An administrative athletic appointment is renewable annually, based upon the

recommendation of the Chief Executive Officer, Athletic Director and/or head coach.

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2. An administrative athletic appointment as an assistant coach is offered only on the condition

of continuous employment of the current head coach. Should the current head coach cease

his/her employment, this appointment may be terminated.

3. Administrative athletic appointments carry no expectation of continuing employment, and

therefore are not entitled to the appeal procedures as defined in 1C.0102 of this manual.

Employment is considered to be at-will and may be terminated without cause, at any time,

prior to the end date specified in the Notice of Appointment.

4. In compliance with NCAA Bylaw 11.2.1 and 11.2.1.1., knowing or willful violation of

NCAA or MIAA rules will render the administrative athletic employee subject to immediate

termination.

5. In compliance with institutional policy, the administrative athletic employee agrees to

annually report all athletically-related income from sources outside the institution; such

income, to include but not be limited to, annuities, sports camps, housing benefits,

complimentary ticket sales, television and radio programs, and endorsements or consultation

contracts with athletic shoe, apparel or equipment manufacturers. This information must be

reported to the Chief Executive Officer of the University through the Athletic Director.

1C.0106 Limited Term (revised 5/09)

1. A limited term appointment is for an individual hired in a benefits-eligible position to fulfill

requirements under a contract agreement, a federal or state grant, or a specific project or role

and is subject to annual review.

2. A limited appointment is for the period as outlined in the Notice of Appointment or for no

longer than the period for which the funds are available.

3. Inasmuch as this is a limited appointment, it carries no expectation of continuing

employment. Therefore, a limited term appointment is not entitled to the appeal procedures

as defined in 1C.0102 of this manual.

4. No academic rank is associated with this type of appointment.

1C.02 PROCEDURES FOR FACULTY/STAFF EVALUATION OF ADMINISTRATORS

(FSB 78008; FSB 86016 approved by President 6/11/87; FSB 95004 approved by President

4/11/96; FSB 03006 approved by President 3/17/04; FSB 07002 approved by President

11/29/07; updated 9/2010; updated 10/2/2013; FSB 13001 approved by President 5/21/2014;

FSB 14020 approved by President 5/15/2015; FSB 15022 approved by President 6/9/2016;

approved by COCG 10/11/2016; approved by COCG 10/24/2016; FSB 16005 approved by

President 4/17/2017; approved by COCG 01/30/2018)

The following are the procedures for the regular evaluation of Emporia State University

administrators in their professional roles. The Faculty Senate Executive Committee has the

responsibility for implementing a procedure to solicit faculty input regarding administrators at

Emporia State University as described in the following procedure.

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OFFICEHOLDERS TO BE EVALUATED UNDER THE PURVIEW OF THIS POLICY

This list is based upon the most recent Emporia State University Administrative Organizational

Chart. The list shall be reviewed and revised annually by the Committee on Campus Governance

as changes in the administrative organizational structure occur.

President

Provost/Vice President for Academic Affairs

Vice President for Student Affairs

Vice President for Administration and Finance

Vice President for University Advancement

Associate Provost for Academic Affairs

Assistant Provost for Enrollment Management and Academic Success

Assistant Provost for Institutional Effectiveness

Associate Vice President for Information Technology

Associate Vice President for Finance

Dean of the School of Library and Information Management

Associate Dean of the School of Library and Information Management

Dean of the College of Liberal Arts and Sciences

Associate Dean of the College of Liberal Arts and Sciences

Dean of The Teachers College

Associate Dean of The Teachers College

Dean of the School of Business

Associate Dean of the School of Business

Dean of the Graduate School and Distance Education

Dean of University Libraries and Archives

Dean of Students

Dean of International Education

PURPOSE OF EVALUATION

The purpose of the evaluation is to review the professional performance of administrator employees

of the University and provide input to the reviewed administrator, his/her supervisor, and the

President of the University. The faculty/staff evaluations shall be used by supervisors in their

evaluation of the administrator.

ELIGIBILITY FOR PARTICIPATION

Representation from each unit which reports to the administrator being evaluated must be included.

The evaluation shall involve appropriate faculty, university support staff, unclassified personnel, and

subordinate administrative officers. In the evaluation of some administrator’s professional

responsibilities, participation by students or other groups may be suitable.

For the Dean of Liberal Arts and Sciences, the Dean of The Teachers College, the Dean of the

School of Business, the Dean of the School of Library and Information Management, and respective

associate deans, the appropriate faculty shall hold assignment in their respective college or school

for at least 1 academic year. All faculty in the unit over which an administrator presides shall be

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invited to take part in the evaluation, although a sampling may be used outside of the unit. All

faculty members shall have the opportunity to evaluate the President, Provost/Vice President for

Academic Affairs, Vice President for Student Affairs, Vice President for University Advancement,

Vice President for Administration and Fiscal Affairs, Associate Provost for Academic Affairs,

Assistant Provost for Academic Affairs, Assistant Provost for Institutional Research and

Assessment, Dean of University Libraries and Archives, Dean of Students, Dean of International

Education, Associate Vice President for Information Technology, Associate Vice President for

Fiscal Affairs, and the faculty members’ respective deans. All graduate faculty shall have the

opportunity to evaluate the Dean of the Graduate School and Distance Education.

FREQUENCY AND SEQUENCE OF EVALUATION

Pursuant to this policy, each administrator shall be evaluated at least once every three years. The

year, for this purpose, will be defined as a fiscal year beginning July 1. The end of the first year is

considered June 30 following the initial hire date as an administrator. When an administrator is

retiring within the year, a review is not required. Upon a reasonable request by an administrator to

the Committee on Campus Governance, the review may be postponed upon application and approval

by the Faculty Senate Executive Committee.

INFORMING THE ADMINISTRATORS OF UPCOMING EVALUATIONS

On or before October 15, the Chair of the Committee on Campus Governance will notify the

administrators scheduled for evaluation in the current academic year. Information will be given to

the administrator concerning committee selection, timelines, and procedures on how the evaluation

will be conducted.

FORMATION OF THE EVALUATION COMMITTEE

The administrator will propose an evaluation committee to the Faculty Senate Executive Committee

no later than November 1. The evaluation committee must be approved by the Faculty Senate

Executive Committee. The administrator may suggest a chair of the evaluation committee who is

not a subordinate to the administrator being reviewed. The administrator’s list should include

members of the various constituent groups in which the administrator reports or supervises. The

Faculty Senate Executive Committee reserves the right to name evaluation committee members not

listed on the administrator’s submitted list. The evaluation committee may be any size, but it is

recommended the committee be between 3 and 6 committee members.

Once the membership of the evaluation committee has been selected by the Faculty Senate

Executive Committee, the President of the Faculty, or one of his/her designees, will contact the

selected chair of the evaluation committee. The selected chair of the evaluation committee should

be contacted first in case this person is unable to serve on the committee, or he/she is unable or

unwilling to serve as the committee chair. When the chair of the evaluation committee is secured,

then the chair will contact the remaining selected evaluation committee members and ask them to

serve. If a selected evaluation committee member is unable or unwilling to serve, then the Faculty

Senate Executive Committee may choose to have a smaller evaluation committee or replace this

person with another person who may or may not have been on a previous selection list of potential

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evaluation committee members. Once the evaluation committee is firm, the administrator is notified

of the persons on the evaluation committee. This notification should be no later than December 1.

SUBMISSION OF THE EVALUATION PLAN

The selected evaluation committee submits an evaluation plan to the Faculty Senate Executive

Committee by February 1 for approval by a majority vote of the FSEC’s total voting-eligible

membership. The plan should include a summary of the job description of the administrator being

evaluated; the evaluation instrument; a list of the eligible participants who will be invited to

complete an evaluation; and the distribution method of the evaluation instrument for evaluation

completion. A timeline for the evaluation process must also be a part of the evaluation plan for

ensure completion of the evaluation process by April 1. Plans not approved by the Faculty Senate

Executive Committee should be reviewed and resubmitted for approval in time to complete the

evaluation process by April 1.

The evaluation committee shall develop the evaluation instrument using the administrator’s job

description as a basis with an option to include additional criteria relevant to the duties of the

position. This instrument shall be sent to the Faculty Senate Office to be developed into a digital

survey in collaboration with the Assistant Provost for Institutional Research and Assessment. When

the Assistant Provost for Institutional Research and Assessment is scheduled for evaluation, the

Committee on Campus Governance shall select an appropriate individual to administer that

evaluation. The survey shall be available to eligible participants for 7 to 12 class days.

COMPILATION OF RESULTS

The evaluation committee is charged with developing a summary report. The report shall include:

• a title page

• the names of the committee members

• a qualitative interpretation or contextualization of the numerical data and comments

• an analysis of the numerical data

• the procedures followed by the committee’s evaluation plan

• the identity of the independent administrator of the survey

• a list of eligible participants (e.g., faculty, staff, students)

• signatures of each committee member verifying agreement with the report or minority

report(s)

The chair of the evaluation committee will notify the Chair of the Committee on Campus

Governance upon completion of the administrator review.

DISTRIBUTION OF RESULTS

When the results of the evaluation have been tabulated and compiled, copies shall be distributed to

the President of the University, to the administrator being evaluated, and to the administrator’s

immediate supervisor.

Access to the evaluation of the administrators by parties other than those mentioned above is

regulated by KAR 1-13-1a(a)(2); 1-13-1b. In order to protect the privacy of the evaluation results,

the reputation of evaluated administrators, and the integrity of the evaluation process, the University

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President shall be the sole custodian of the administrative evaluations. Completed evaluation forms

and other raw data shall be seen only by the evaluating committee and those providing

administrative assistance, and shall be destroyed once the process is complete.

The evaluation results shall be treated with the same regard as any faculty evaluation and as required

by law.

1C.03 BOARD OF REGENTS EVALUATION OF THE PRESIDENT (BOR, 6/27/96)

The President reports directly to the Board of Regents (BOR). The BOR holds the President

responsible and accountable for all operations of the University and expects that the President

devotes his/her undivided attention and energies to the management of the University. The President

serves at the pleasure of the board. Each year the BOR evaluates the performance of the President.

1D. UNCLASSIFIED PERSONNEL WITH ADMINISTRATIVE AND ACADEMIC

RESPONSIBILITIES

1D.01 INTRODUCTION

1. Unclassified employees with academic appointments may have a percent of time assigned to

administrative responsibilities. Unclassified employees with administrative appointments may

have a percent of time assigned to academic responsibilities.

2. Policies and procedures for academic appointments guide the academic aspects of the

appointment. Policies and procedures for administrative appointments guide the administrative

aspects of the appointment.

1D.02 EXISTING TENURE/RANK

A faculty member who has tenure and who accepts an administrative appointment will continue to

retain tenure in the academic department in which tenure was obtained. Administrative appointment

policies and procedures shall apply to the tenured faculty member’s administrative appointment.

1D.03 EVALUATIONS

1. Employees with academic appointments and administrative responsibilities are evaluated for

academic rank, promotion and tenure based on the following:

a. Performance evaluations for a faculty member whose duties are primarily academic and are

assigned a percent of time to administrative responsibilities will be completed by the faculty

member’s department chair. The director of the office in which the faculty member’s

administrative responsibilities are performed will provide to the department chair an

evaluation of the faculty member’s administrative performance. The director’s evaluation

shall be based on any information deemed pertinent in assisting the department chair to

evaluate the faculty member’s overall performance. A copy of the final evaluation shall be

provided to the faculty member by the department chair.

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b. Performance evaluations for faculty members whose primary responsibilities are

administrative will be completed by the individual supervising the faculty member’s

administrative assignments. Such evaluations will include the employee’s performance of

primary administrative responsibilities. The department chair shall provide an assessment

of the teaching, research, and/or service contributions of the faculty member to the mission

of the University. All evaluation material shall be forwarded to the appropriate department

for consideration of academic rank, tenure, and promotion.

2. Decisions for academic probationary retention, promotion and tenure for individuals with

academic rank whose primary responsibilities are administrative will be subject to regular

academic evaluation procedures in the appropriate department.

1E. OTHER UNCLASSIFIED PERSONNEL POLICIES

1E.01 DISPUTE RESOLUTION, MEDIATION, AND GRIEVANCE POLICY (FSB 88009

approved by President 2/28/89; FSB 98017 approved by President 11/3/99; FSB 00013

approved by President 9/27/01; FSB 02005 approved by President 3/3/03; FSB 02014

approved by President 5/9/03; FSB 02015 approved by President 5/9/03; FSB 07004

approved by President 12/04/07; FSB 07005 approved by President 4/7/08; FSB 08012

passed by Faculty Senate 4/21/09; approved by President 4/24/09; FSB 13003 passed by

Faculty Senate 2/18/2014; approved by President 4/24/2014; FSB 15006 passed by Faculty

Senate 11/17/2015, approved by President 11/24/2015)

I. This policy is designed to provide a formal procedure for the resolution of internal disputes.

A. General Principles

1. It is the policy of Emporia State University to resolve all problems of the academic

community with dispatch, fairness, and justice. The procedures herein are to be

interpreted in light of these objectives.

2. Resolution of problems within the campus community is preferable to their resolution

elsewhere. Therefore, all parties to any grievance and those chosen to attempt to resolve

problems shall consider their participation as one requiring the highest priority, and shall

exert their utmost efforts in good faith to secure internal resolution while adhering to the

principles of this policy.

3. It is not intended that a grievance shall fail or succeed upon a technicality. Therefore,

in the event of any ambiguity in this policy, that ambiguity shall be resolved in favor of

a result that is equitable and reasonable.

4. Suspension of a faculty member or unclassified administrator during a grievance

proceeding is justified only if immediate harm to the faculty member/unclassified

administrator or others is threatened by continuance of service. The University President

shall determine whether suspension is justified, consulting with law enforcement or

mental health authorities as necessary to determine the possibility of harm. Should

suspension occur, such action shall be deemed without prejudice to the grievance

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proceedings, and the grievant shall be entitled to regular proceedings pending final

disposition of the grievance.

B. Applicability

This policy applies to all unclassified academic personnel and unclassified administrative

personnel (herein after “administrators”), including all such personnel working under the

supervision of any agent of the University, whatever the nature or location of their activity.

The rank or condition of employment of the aggrieved party shall not be held to prevent

utilization of these procedures. This policy also applies to graduate assistants but only

regarding any alleged violation within the scope of their employment as graduate assistants.

C. Definitions

1. Dispute: A disagreement or conflict that arises from any perceived violation of the

policies, procedures, and administrative directives of the university, oral or written, that

are in effect at the applicable time; any administrative action or decision that directly or

indirectly affects academic freedom, retention, tenure, dismissal, promotion, salary or

benefits, working conditions, intellectual property rights, or any other matter related to

employment and the responsibilities of the affected personnel; any administrative action

or decision that creates a real or apparent conflict of interest; or any actions committed

by the University or any of its employees or agents that is alleged to be arbitrary and

capricious.

2. Mediation: The process by which an Ombudsperson attempts to resolve a dispute to the

mutual satisfaction of both parties.

3. Grievance: A procedure whereby an aggrieved party files a formal petition to have a

dispute resolved through official university procedures as set forth herein. A grievance

is filed only after the failure of mediation, absent extraordinary circumstances justifying

a waiver of mediation as a precondition to a grievance. The Faculty Affairs Committee

Chair shall determine whether such extraordinary circumstances have been demonstrated,

in consultation with the FAC if feasible.

4. Aggrieved Party: Any person or persons who have suffered identifiable harm due to the

dispute.

5. Document: Any paper or electronic information pertinent to a dispute or grievance.

6. Grievant: Any person who has filed a formal grievance petition.

7. Respondent: Any person or entity against whom a complaint has been made or a

grievance petition has been filed.

8. Parties: The aggrieved party/grievant(s) constitutes one party, and all respondents

together constitute a party.

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9. Class Days

: All days that classes are conducted excluding weekends, legal holidays,

vacation periods, the period of final examinations, intersessions, and for the purposes of

this document summer school. In computing any period of time prescribed herein, the

day of the act from which the designated period of time begins to run shall not be

included. The last day of the period so computed is to be included. All time limits

herein are to be measured by class days unless a different measurement is specifically

identified.

II. Mediation

A. The Mediation Process

1. To reduce the disruption on the University community, all parties to a dispute shall put

forth the maximum effort to reach an agreement resolving the problem. To assist them

in this endeavor shall be the duty of the Ombudsperson(s).

2. The aggrieved party must select one or more Ombudspersons from the Ombudsperson

Panel for the period during which the aggrieved party begins the mediation process. The

aggrieved party may choose to work with one Ombudsperson or a Committee of up to

3 members. The aggrieved party may, if necessary, request assistance from the FAC

Chair in selecting and contacting their Ombudsperson(s). At any time during the

mediation process the aggrieved party may choose to dismiss or replace any or all of the

chosen Ombudspersons.

3. A request for mediation must be filed with the chosen Ombudsperson(s) within 9

calendar months from the date on which the perceived violation occurred or was

discovered by the aggrieved party, whichever is later. If the violation is ongoing, the

limitation period begins to run at the time of the latest occurrence of the violation. This

limitation period for filing the petition may be extended by a period not to exceed 1

month by the Ombudsperson(s), which must be granted in writing.

4. An aggrieved party shall be obligated to explain his/her dispute to an Ombudsperson and

attempt resolution of the dispute through that process prior to filing a formal grievance

petition.

5. The Ombudsperson(s) shall use mediation or other dispute resolution techniques to work

with the aggrieved party and the respondents in order to understand the nature of the

complaint and any response thereto. The Ombudsperson(s) shall attempt to help the

parties reach a mutually agreeable resolution of the dispute.

6. The Ombudsperson(s) shall ensure that the mediation proceedings are scheduled and

completed in timely fashion.

7. Upon the completion of the mediation, the Ombudsperson(s) shall submit a report to the

FAC Chair and all parties involved in the proceeding, notifying the Chair and the parties

whether or not mediation efforts were successful. The report shall be sent to all parties

by a means that requires evidence of delivery to each party. If a resolution to the

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satisfaction of both parties is not achieved, then the aggrieved party may file a grievance

petition.

B. Selection and Training of the Ombudsperson Panel

1. The Ombudsperson Panel is comprised of 9 individuals who serve 3-year, staggered

terms, beginning on July 1.

2. On April 1the FAC Chair will initiate the process of selecting 3 members to replace the

3 whose terms will expire on June 30 of that year. Before this time, the President of the

Faculty shall provide a list of academic personnel who are tenured and who do not hold

administrative appointments as supervisors of other faculty. Any person on this list is

eligible to serve on the Ombudspersons Panel.

3. The Faculty Senate Executive Committee may select 1 individual from the list for the

Ombudspersons Panel. The FAC Chair shall select 2 additional individuals at random

from the list. If the Faculty Senate Executive Committee declines to make a selection,

the FAC Chair shall select 3 individuals at random from the list of eligible faculty.

4. The FAC Chair shall notify those selected, who may decline to serve for good cause

shown. Whether good cause has been shown shall be determined by the FAC Chair.

5. If necessary, the FAC Chair shall select 1 or more additional individuals, at random, from

the list, and repeat the process described above, until the 3 replacement members of the

Ombudsperson Panel have been identified before May 15.

6. In the event that an ombudsperson becomes unable or ineligible to serve during the 3-

year term, that position shall remain unfilled until the subsequent April, and at that time

an individual will be selected to fill the unexpired term in accordance with the procedure

described above.

7. By May 15, the FAC Chair shall provide the President of the Faculty with a list of the

ombudspersons, including the term for each, for the next year.

8. At the beginning of the academic year, the Past President of the Faculty in consultation

with the Ombudsperson Trainer will organize an orientation and training session for the

Ombudsperson Panel. Ombudspersons will meet as a group for an orientation session.

III. Grievance Procedures

A. Initial Proceedings

1. A formal grievance petition must be submitted to the FAC Chair within 10 class days of

the receipt by the aggrieved party of the Ombudsperson(s) report following the attempted

mediation of a dispute. The petition shall include the following: a description of the

nature of the complaint, a statement of the alleged improper action, the identity of the

respondent(s), and an explanation of the desired redress.

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2. Upon receipt of the petition the FAC Chair shall within 5 class days send a copy of the

petition to the respondent(s). The respondents shall have 10 class days after receipt of

the petition to answer in writing to the FAC Chair. The written answers shall specify

which allegations are admitted and which denied. A copy of the answers shall be sent

to the grievant by the FAC Chair.

3. Within 10 class days after receipt of the answer, the grievant may submit a rebuttal or

notice that the grievance process shall be terminated. Unless the grievant terminates the

process, the FAC Chair proceeds to the assembly of the Grievance Committee.

4. Throughout the grievance process, the aggrieved party may terminate the grievance at

any time by withdrawing the complaint from the FAC Chair. Responding parties may

only terminate a grievance through reaching a satisfactory accord with the aggrieved

party.

When an act is required or allowed to be done at or within a specified time, the FAC Chair,

for cause shown, may at any time at the Chair’s discretion, if a request is made before the

expiration of the period originally prescribed, order the period enlarged to a further specified

time. Written notice of such extension shall be provided to all parties.

B. Assembling the Grievance Committee

1. Afer the rebuttal deadline, the FAC Chair shall, unless the grievance has been terminated,

notify eligible members of the applicable Grievance Committee Panel (selection detailed

in Section IV).

a. Ordinarily, when the grievant is a faculty member, the Grievance Committee shall

be comprised only of members of the Faculty Grievance Committee Panel, and when

the grievant is an administrator the Grievance Committee shall be comprised only

of members of the Administrator Grievance Committee Panel. However, if both

parties agree, which agreement shall be provided to the FAC Chair by the rebuttal

deadline, the Grievance Committee may be comprised of members of either panel,

but not both.

b. Members of the Panel who are also members of the grievant’s department, if the

grievant is a faculty member, are not eligible to serve on the Grievance Committee.

Any Vice President, including any Assistant or Associate Vice President with direct

line authority over a grievant, is not eligible to serve on the Grievance Committee.

c. A Panel members may decline to serve for good cause shown. Whether good cause

has been shown shall be determined by the FAC Chair.

2. The FAC Chair shall use the lists created pursuant to Section IV. When the members of

the Panel have been confirmed, the FAC Chair shall convene a meeting of the parties and

the members of the Faculty Affairs Committee for the selection of the Grievance

Committee, which shall be comprised of 5 members. Prior to the meeting, the Chair will

provide to the parties the still-randomly listed names of Panel members, with numbers

assigned from 1 (top name) to 25 (bottom name).

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3. The FAC Chair shall read the names on the list, starting with the first. Afer each Panel

members is identified, either party may request that the member be stricken for cause.

Such cause shall be identified in open session. If both parties agree that the member shall

be stricken for cause, that member is stricken. If both parties do not agree, the Faculty

Affairs Committee shall adjourn to executive session to determine whether cause has

been shown, which determination shall immediately be made known to the parties.

4. After the entire list has been read and all members for whom there is cause have been

stricken, the FAC Chair shall submit the remaining list to both parties. The list shall not

be renumbered but, instead, each member shall retain the number originally assigned.

Each party may then request that up to 2 members on the list be stricken peremptorily.

5. Those stricken peremptorily are removed from the list, and the first (from the top) 5

remaining members on the list shall constitute the Grievance Committee. The next 3

remaining members down the list shall be alternates. The others on the list are excused

from the service on this Grievance Committee.

6. In the event that, at the conclusion of the selection process, 5 members do not remain on

the list, the meeting shall be adjourned and a second Grievance Committee shall be

selected in the manner set forth above. The FAC Chair shall make best efforts to

expedite this process and schedule a second meeting to assemble the Grievance

Committee.

7. The FAC Chair shall promptly notify members of the Grievance Committee of their

selection and arrange for the first meeting of the Grievance Committee.

C. Pre-Hearing Proceedings

1. At its first meeting, the Grievance Committee shall select a chair from among its

members. The Chair shall send and receive all communications on behalf of the

committee, and shall preside at the hearing. The Chair shall take no action without the

concurrence of a majority of the Committee. The Chair is a voting member of the

Committee.

2. Upon selection of the Chair, the FAC Chair shall provide the Grievance Committee a

copy of the petition, the answer(s), and any rebuttal.

3. The Grievance Committee Chair shall administer the production and exchange of

evidence as follows:

a. Five days after the Chair has been selected, the Chair shall request that each party

provide all documents in its possession or control that are relevant to any claims,

response, or other issue in the proceeding within 10 days from the date of the request.

All documents shall be submitted in electronic form. Upon receipt, a copy of all

documents received by the Chair shall be promptly provided to both parties.

b. After the initial production of documents, a party may submit to the Chair a request

for the production of additional documents from the other party, from an individual

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grievant or respondent, or from non-parties to the proceeding. Such request must be

accompanied by a statement providing reasonable grounds for the Chair to decide

whether the requested documents exist, are in the possession or control of the person

from whom the documents are to be produced, and are likely to contain relevant

information. If the Chair decides that there are reasonable grounds for production,

the Chair shall make best efforts to obtain the requested documents, which shall be

provided to all parties upon receipt. Any person, including any party, from whom

documents are sought under this paragraph may request that the Chair, for good

cause shown, withdraw or limit the request for documents.

4. The Grievance Committee shall meet within 10 days after the initial production of

documents. At this meeting, the Grievance Committee will decide, based on the

documents provided, whether it will request testimony from witnesses. If the Grievance

Committee decides to request witness testimony, it will so notify both parties, in writing,

within 5 days of this meeting, stating the identity of the requested witnesses(es) and

issues on which testimony will be requested. A requested witness who is a grievant or

respondent shall testify, unless good grounds are shown for not testifying. If a non-party

witness is requested, appearance is voluntary. The Chair shall notify both parties, in

writing, of the Grievance Committee’s decision and propose dates for a hearing, to which

both parties shall respond within 5 days.

5. A hearing shall be required unless both parties agree to waive it. The Chair of the

Committee shall notify both parties of proposed dates for a hearing, to which notice both

parties shall respond within 5 days. Best efforts shall be made by the Grievance

Committee and both parties to schedule the hearing promptly. Should the Chair

determine that any party is unreasonably delaying the hearing, the Chair may schedule

a timely hearing notwithstanding the fact that that party cannot attend.

D. The Grievance Hearing

1. The purpose of the hearing shall be to resolve all disputed issues with dispatch, in

fairness to both parties, and to bring about a just determination of the grievance. Within

the time limits defined by the Chair, the parties may submit evidence regarding any issue

relevant to the grievance. In the event a party objects to the introduction of any evidence,

the Chair shall rule on the objection in accordance with the purpose of the hearing.

2. A party may testify as a witness and may call a non-party to testify as a witness. A

witness may be called to testify on behalf of one party or, if agreed by the parties, on

behalf of multiple parties. The witness may make a statement or be questioned by the

party on whose behalf the witness has been called. The Grievance Committee shall elicit

such additional information from the witness as it deems necessary to make a full and fair

decision.

3. A party may submit documents and suggest to the Grievance Committee how

information in that document should be interpreted or applied. No document may be

submitted, however, unless that document has been produced during the pre-hearing

proceedings, unless the proponent demonstrates extraordinary circumstances justifying

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the failure timely to produce, as determined by the Chair. In the event the Chair

determines that documents not previously produced may be admitted, the Chair may in

its discretion postpone the hearing to enable all parties to respond to the newly-produced

documents.

4. No later than 10 days before the scheduled hearing, all parties shall submit to the Chair

a proposed list of witnesses to be called and documents to be submitted, and the

requested time for the presentation of evidence. Parties may submit a joint proposal if

they intend to consolidate their presentation of evidence. Should the hearing be

scheduled less than 10 days after the conclusion of the pre-hearing proceedings the

proposed lists shall be submitted as far in advance of the hearing as is feasible.

5. The Chair shall prepare a hearing schedule, taking into account but not bound by each

party’s proposal. The schedule shall include the time each party will be allowed for the

presentation of evidence and closing statement, the order of presentation, and the list of

witnesses to be called and documents to be submitted by all parties. The chair shall

provide the hearing schedule to all parties.

6. All parties may make a closing statement after all evidence has been submitted. The

grievant shall be entitled to make the final closing statement.

7. Any party making an allegation bears the burden of proving that allegation by a

preponderance of the evidence.

8. The Chair shall make arrangements for the hearing, including securing a room or rooms

and equipment for recording the hearing.

9. Statements made during the hearing, the recording of the hearing, and all documents

exchanged among the parties and the Grievance Committee shall be deemed confidential.

10. A reasonable amount of time shall be allocated to the hearing in order to fairly

accommodate both parties’ evidence and witnesses while respecting the commitments

of the Grievance Committee. Whenever possible, a hearing should span no more than

a day.

E. Resolution of the Grievance

1. Within 10 days after the hearing, or 10 days after both parties have advised the Grievance

Committee that a hearing is waived, the Chair shall submit the report of the Grievance

Committee to both parties and to the University President. The report shall set forth the

material allegations of the parties, explain the Grievance Committee’s evaluation of the

evidence in support and in opposition to those allegations, and a recommendation on the

appropriate resolution of the grievance based on that evaluation of evidence.

2. Within 10 days after receipt of the Grievance Committee’s report, both parties may

submit a written rebuttal to the University President, with copies provided to both parties

and to the Grievance Committee.

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3. The University President shall, within 20 days of receipt of the report from the Grievance

Committee, provide to all parties to the grievance and the Grievance Committee a written

memorandum setting forth his/her decision and the reasons for that decision. The

University President shall give due consideration to the recommendations of the

Grievance Committee in making his/her decision.

4. After the University President has rendered his/her decision, the Chair shall deposit all

documents produced during the grievance, including any email or other communications

among the parties and the Grievance Committee and the recording of the hearing in the

grievance files located in Human Resources.

IV. Selection of the Grievance Panels

A. Identification of Persons Eligible to Service on Grievance Committee Panels. There shall

be 2 Grievance Committee Panels: the Faculty Grievance Committee Panel and the

Administrative Grievance Committee Panel.

1. At the request of the FAC Chair, the office of the Provost shall provide (a) an

alphabetical list of all full-time unclassified academic personnel, tenured and untenured,

indicating the status of each individual and (b) a separate alphabetical list of all

unclassified administrative personnel with regular and probationary appointments. The

President will not be included on either list.

2. The FAC Chair will remove from the 2 lists any person who is serving or has served on

a Grievance Committee in the current academic year and any person who is currently

serving as an Ombudsperson. The remaining persons are eligible to serve on the

Grievance Committee Panels. Both lists will be electronically randomized and

maintained by the FAC Chair.

B. Selection of the Grievance Committee Panels

1. Each Panel is comprised of 25 individuals who serve a 1-year term, beginning on August

15. Any person on the list provided by the Provost and not serving on the Ombudsperson

Panel is eligible to serve on the Grievance Committee Panels.

2. No later than March 1, the FAC Chair shall begin the process of selecting 25 eligible

individuals for each Grievance Panel. Starting from the top of each of the 2 randomized

lists, the FAC Chair will select the first 25 persons on each list and notify them by email

of their eligibility. They will reply by email to indicate whether they accept or decline

the appointment to the Panel for which they are eligible. Those selected may decline to

serve for good cause shown. Whether good cause has been shown shall be determined

by the FAC Chair. If persons decline appointment for good cause shown, then the FAC

Chair will go further down the appropriate randomized list, repeating the selection and

notification process, until 25 persons have accepted appointment to the Faculty

Grievance Committee Panel, and 25 different persons have accepted appointment to the

Administrator Grievance Committee Panel. When this has occurred, the FAC Chair will

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send the names on both 25-person Panels to the President of the Faculty for posting on

the Faculty Senate website on or before August 15.

1E.02 Grievance Policy for Administrators

For matters pertaining to appointment, evaluation, retention, and/or termination, unclassified

administrative personnel follow the process specified in 1C.0102 Administrative Probationary. For

other matters, the policy presented in 1E.01 Grievance Policy applies.

1E.03 COMMITMENT OF TIME, CONFLICT OF INTEREST, CONSULTING AND

OTHER EMPLOYMENT (BOR approved 4-20-95)

Preamble:

The Board of Regents encourages the Regents institutions to interact with business, industry, public

and private foundations, and government agencies in order to assure the relevance of their missions

of teaching, research and service; to provide for and facilitate the professional development of their

faculty and unclassified staff; and to promote the rapid expansion and application of knowledge,

gained through research, to the needs of Kansas, the region and the nation. With particular reference

to such interaction, the Board of Regents considers it of utmost importance that university

employees conduct their affairs so as to avoid or minimize conflicts of time commitments and

conflicts of interest, and that the Regents institutions must be prepared to respond appropriately

when real or apparent conflicts arise.

To those ends, the purposes of this policy are to: (I) educate about situations that generate conflicts;

(ii) provide means for faculty and unclassified staff and the University to manage real or apparent

conflicts; (iii) promote the best interests of students and others whose work depends on faculty

direction; and (iv) describe situations that are prohibited. Every faculty member and member of the

unclassified staff has an obligation to become familiar with, and abide by, the provisions of this

policy. If a situation raising questions of real or apparent conflict of commitment or conflict of

interest arises, affected faculty and/or unclassified staff must meet with their department chair,

school dean or supervisor, report the conflict as described below, and eliminate the conflict or

manage it in an acceptable manner.

a. General Principles

(1) Conflict of Time Commitment

(a) Attempts to balance University responsibilities outlined in the preamble with

external activities, such as, but not limited to, consulting, public service or pro bono

work, can result in real or apparent conflicts regarding commitment of time and

effort. Whenever a faculty or staff member's external activities exceed reasonable

time limits, or whenever an unclassified staff or faculty member's primary

professional responsibility is not to the institution, a conflict of time commitment

exists.

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(b) Conflicts of commitment usually involve issues of time allocation. Faculty members

and unclassified staff of Regents institutions owe their primary professional

responsibility to their employing institutions, and their primary commitment of time

and intellectual effort should be to the education, service, research and scholarship

missions of said institutions. Faculty and unclassified staff should maintain a

presence on campus commensurate with their appointments. The specific

responsibilities, position requirements, employment obligations and professional

activities that constitute an appropriate and primary commitment of time will differ

across schools and departments, but said responsibilities, requirements, obligations

and activities should be initially premised on a general understanding of full-time

commitment for full-time faculty or unclassified staff of the institutions. Exceptions

must be justified and shown to enhance the institutional mission.

(2) Conflict of Interest

(a) A conflict of interest occurs when there is a divergence between an individual's

private, personal relationships or interests and his/her professional obligations to the

University such that an independent observer might reasonably question whether the

individual's professional actions or decisions are determined by considerations of

personal benefit, gain or advantage.

(b) A conflict of interest or the appearance of it depends on the situation, and not

necessarily on the character or actions of the individual. The appearance of a conflict

of interest can be as damaging or detrimental as an actual conflict. Thus, individuals

are asked to report potential conflicts so that appearances can be separated from

reality.

addressed. For example, conflicts of interest can arise out of the fact that Regents

institutions have as part of their mission the promotion of the public good by

fostering the transfer of knowledge gained through university research and

scholarship to the private sector. Two important means of accomplishing the

institutional mission include consulting and the commercialization of technologies

derived from research. It is appropriate that University personnel be rewarded for

their participation in these activities through consulting fees and sharing in royalties

resulting from the commercialization of their work. It is wrong, however, for an

individual's actions or decisions made in the course of his/her University activities

to be determined by considerations of personal financial gain. Such behavior calls

into question the professional objectivity and ethics of the individual, and it also

reflects negatively on the employing university. Regents institutions are institutions

of public trust; faculty and unclassified staff must respect that status and conduct

their affairs in ways that will not compromise the integrity of the University.

(d) Except in a purely incidental way, University resources, including but not limited to,

facilities, materials, personnel, or equipment may not be used in external activities

unless written approval has been received in advance from the institution's chief

executive officer or his/her designee. Such permission shall be granted only when

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the use of University resources is determined to further the mission of the institution.

When such permission is granted, the faculty member or unclassified staff member

will make arrangements for reimbursement of the University for customarily

priceable institutional materials, facilities or services used in the external activity.

Such use may never be authorized if it violates the Regents policy on Sales of

Products and Services.

(e) Proprietary or other information confidential to a Regents institution may never be

used in external activities unless written approval has been received in advance.

(f) Faculty or unclassified staff may not involve University students, classified staff,

unclassified staff or faculty in their external activities if such involvement is in any

way coerced or in any way conflicts with the involved participants' required

commitment of time to their university. For example, a student's grades or progress

towards a degree may not be conditioned on participation.

b. Consulting and Other Employment

(1) Consulting for Other State of Kansas Agencies

Consulting by faculty members and employees of institutions under the jurisdiction of

the Board for another institution under the jurisdiction of the Board, as well as

consultation for other state agencies, shall be approved in advance by the institution or

agency seeking these services and approved by the employee's home institution. The

home institution shall effect payment through the regular process and shall receive

reimbursement through the interfund transfer process.

(2) Consulting Outside the University

For members of the faculty, the Regents institution permits and, indeed encourages, a

limited amount of personal, professional activity outside the faculty member's reasonably

construed total professional responsibilities of employment by and for the institution,

provided such activity: (a) further develops the faculty member in a professional sense

or serves the community, state, or nation in a professional capacity; (b) does not interfere

with the faculty member's teaching, research and service to the institution; and (c) is

consistent with the objectives of the institution. Regular instructional service to other

educational institutions is normally regarded as an inappropriate personal, professional

activity. Without prior approval, faculty members on full-time appointments must not

have significant outside managerial responsibilities nor act as principal investigators on

sponsored projects that could be conducted at their institution but instead are submitted

and managed though another organization. Each Regents institution is to determine how

to apply or adapt the consulting policy and procedures for unclassified employees who

are not faculty members. In no case shall the policy and procedures be more liberal than

what is allowed for faculty. (10-18-01)

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(3) Other Employment

The Regents expect faculty and unclassified staff employed by the Regents institutions

to give full professional effort to their assignments. It is, therefore, considered

inappropriate to engage in gainful employment outside the Regents institution that is

incompatible with institutional commitments. It is inappropriate to transact business for

personal gain unrelated to the institution from one's institutional office, or at times when

it might interfere with commitments to the institution. Participation in academic

conferences, workshops and seminars does not usually constitute consulting or outside

employment. However, organizing and operating such meetings for profit may be

construed as consulting or outside employment as defined in this policy.

c. Reporting Requirements

(1) Annual Reporting

As part of the annual appointment process, all faculty and unclassified staff with 100%

time appointments must disclose to the University whether they or members of their

immediate family (spouse and dependent children), personal household, or associate

entities (e.g., corporations, partnerships or trusts) have consulting arrangements,

significant financial or managerial interests, or employment in an outside entity whose

financial or other interests would reasonably appear to be directly and significantly

affected by their research or other University activities. For purposes of this policy,

significant financial or managerial interests (or significant financial or other interests)

means all holdings greater than $10,000 or more than 5% ownership in a company.

Faculty and unclassified staff members who hold fractional appointments and who have

potential or possible conflicts of time commitments or conflicts of interest, as defined

above, are also required to make the disclosures. Failure to submit the required reporting

form, as approved by the Council of Presidents, will result in denial of the opportunity

to submit research proposals to external funding agencies until the form is submitted and

may result in discipline in accordance with University procedures. When the institution

judges that the information submitted indicates that a conflict of time, commitment or

interest does exist, the institution may require that the faculty or unclassified staff

member submit additional information and explanation regarding that conflict. (9-21-95)

(2) Reporting Significant Ad Hoc Current or Prospective Conflicts As They Occur

Faculty and unclassified staff must disclose on the form approved by the Council of

Presidents to the department chair or dean or supervisor on an ad hoc basis current or

prospective situations that may raise questions of conflict of commitment or interest, as

soon as such situations become known to the faculty or unclassified staff member.

(3) Reporting of Consulting

The faculty member must inform the chief academic officer, through the department

chair or head and the dean, of all external personal, professional activities. For all such

activities, except those single-occasion activities specified below, the faculty member

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must report in writing the proposed arrangements, and secure approval prior to engaging

in the activities. Those personal, professional activities which occur within a single

24-hour period must be reported annually in writing as prescribed. For all activities

concerned, the report should indicate the extent and nature of the activities, the amount

of time to be spent in the activities, and the total amount of time spent or expected to be

spent on all such outside activities during the current academic year.

(4) Disposition of Reports

All required reports shall be submitted in accordance with institutional requirements and

shall be included in individual personnel files to be used for the determination of whether

an individual is in compliance with this policy. Such reports will also be available to

institutional research officers to permit certification and/or verification of compliance

with federal regulations. Institutions must maintain these reports for a minimum of 3

years.

d. Use of University Name

The Name of the Board of Regents, a Regents institution or the Regents System may never be

used as an endorsement of a faculty member or unclassified staff member's external activities

without expressed and advance written approval of the University chief executive officer and/or

the Board's Executive Director, as appropriate. Faculty members or unclassified staff members

may list their institutional affiliation in professional books, articles and monographs they author

or edit and in connection with professional workshops they conduct or presentations they make

without securing approval.

e. Campus Policy Development and Enforcement

Additional rules and procedures for personal external activity, consistent with Board policy, will

be established by each Regents institution. In situations in which the objectivity of a faculty or

unclassified staff member could reasonably be questioned, or where apparent conflicts of

interest exist, each Regents institution will establish an effective review mechanism to

determine if a conflict of time or interest exists and to facilitate resolution of the conflict where

possible, and to decide upon the appropriate sanctions when an unclassified staff or faculty

member's activities have been determined to constitute a conflict. Such review mechanisms will

include opportunity for appeal.

f. Distribution and Dissemination

This policy statement will be distributed upon initial appointment to all faculty and unclassified

staff by each Regents institution.

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1E.0301 Conflict of Interest and Conflict of Time Reporting Procedure (FSB 95005

approved by President 4/2/96)

Compliance Statement

To ensure compliance with the Kansas Board of Regents' policy, Commitment of Time, Conflict

of Interest, Consulting and Other Employment (20 April 1995), full-time faculty and

unclassified professional staff must report to the University whether they or members of their

immediate families, personal households, or associate entities have consulting arrangements,

significant financial or managerial interests, or employments in outside entities whose financial

or other interests would reasonably appear to be directly and significantly affected by their

research or other University activities. Such real or apparent conflict of interest of time

commitments must be reported annually and as changes occur. Individuals failing to comply

with the University's reporting procedure will not be allowed to submit external grant

applications until compliance is attained and may be subject to disciplinary action(s).

The Kansas Board of Regents' policy and Emporia State University's reporting procedure are

included in the University Policy Manual. All full-time faculty and unclassified professional

staff are expected to read and understand these documents. Individuals applying for external

support for their research, education, or service projects will be required to specify on the

Research and Grants Center proposal transmittal form that they are in compliance with the

Kansas Board of Regents' policy and Emporia State University's reporting procedure.

Reporting Procedures

Annual Reporting

A screening form will be mailed with the annual notice of appointment to all full-time faculty

and unclassified professional staff. The form must be completed, signed, and returned with the

notice of appointment.

Ad Hoc Current or Prospective Conflict Reporting

Full-time faculty and unclassified professional staff must report on an ad hoc basis current or

prospective situations that may raise questions regarding conflicts of interest or time

commitment as soon as such situations become known to the faculty or unclassified staff

member. At any time of the year, additional copies of the screening form may be obtained from

and returned to the vice president to whom the individual reports or, for some individuals, to

the office of the President.

Reviewing Procedures

The primary objective of the reviewing procedures is to help guard faculty, unclassified

professional staff, and the University from engaging in activities where the risk to integrity and

reputation outweighs the value of the activities to academic and societal goals. Guidelines for

appropriate activities are described in the Kansas Board of Regents' policy addressed in this

document.

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Review of Screening Form

The office of the vice president (or President) will review the submitted screening forms and

notify the head of the academic units or supervisors of any full-time faculty or unclassified

professional staff reporting real or apparent conflicts of interest or time commitment. The head

of the academic unit or supervisor will be responsible for notifying the identified faculty or staff

member(s).

Review of Full Disclosure Statement Form

Faculty or unclassified professional staff identified as having real or apparent conflicts must

complete a full disclosure statement form revealing additional information about financial and

time commitment interests that may affect their research or other University activities and

responsibilities. The full disclosure statement form will be sent from the office of the vice

president (or President) to the head of the academic unit or supervisor for distribution to

identified faculty or staff. The completed form will be returned to the head of the academic unit

or supervisor within 5 working days. No copies will be made of the completed form.

The completed full disclosure form must then be reviewed by the head of the academic unit or

supervisor, the dean/director, and, if necessary, the vice president (or President) to whom the

individual reports within 15 working days. In those instances where the dean/director and the

vice president (or President) do not approve the current or prospective activity, the faculty or

staff member may not proceed with the activity until approval is obtained through the review

process.

Reviews by Head of Academic Unit or Supervisor and Dean/Director

The head of the academic unit or supervisor will consult with the dean/director, who may

approve the current or prospective activity as stated in the full disclosure form. If the activity

in question is approved, the full disclosure statement will be placed in the faculty or staff

member's personnel file. If the activity in question is not approved, the form will be forwarded

to the office of the vice president (or President) for further review. The faculty or staff member

will receive from the dean/director written notification regarding the outcome of this review

process.

Review by Vice President (or President)

After receiving a full disclosure statement, the vice president (or President) may approve the

current or prospective activity. If the activity is approved, the full disclosure statement form

will be placed in the personnel file of the identified faculty or staff member. If the activity in

question is not approved, the vice president (or President) will submit the disclosure for review

to the Conflict Review Committee. The faculty or staff member will receive from the vice

president (or President) written notification regarding the outcome of this review process.

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Conflict Review Committee and Review Process

Conflict Review Committee

By mid-term of the spring semester, the Chair of the Faculty Senate Faculty Affairs Committee

will appoint 6 individuals to serve on the Conflict Review Committee for the following

academic year and will notify the 6members of their 1-year appointments. To ensure fair

representation, 4 of the review committee members will be randomly selected from the

University's full-time faculty and 2 will be randomly selected from the University's full-time

unclassified professional staff.

In the event that the vice president does not approve a reviewed activity involving faculty, the

vice president will notify the Chair of the Faculty Affairs Committee who then will notify the

4 review committee members with faculty status and will select 1 additional faculty member

to chair the Conflict Review Committee. The chair of this committee will be randomly selected

from the full-time faculty within the academic unit of the individual whose activity is being

reviewed.

In the event that the vice president (or President) does not approve a reviewed activity involving

unclassified professional staff, the vice president (or President) will notify the Chair of the

Faculty Affairs Committee who then will notify the 2 review committee members with

unclassified professional staff status and 2 of the members with faculty status. The Chair of the

Faculty Affairs Committee will be responsible for developing a rotation plan for the selection

of the 2 faculty members. The Chair of the Faculty Affairs Committee also will select 1

additional unclassified professional staff member to chair the Conflict Review Committee. The

chair of this committee will be randomly selected from the full-time unclassified professional

staff within the unit of the individual whose activity is being reviewed.

The term of the Conflict Committee chair will be limited to the time associated with a

specifically identified review. The Conflict Review Committee chair will be responsible for

bringing together the standing committee members to review the activity.

Each standing committee member is entitled to 1 decision vote. In the event of a tie (2-2), the

chair of the Review Committee is allowed to cast a vote to break the deadlock. An individual

having faculty and unclassified professional staff status may choose to have the activity in

question reviewed by the committee comprised of faculty or the committee comprised of

faculty/unclassified professional staff. It will be the responsibility of the Chair of the Faculty

Affairs Committee to obtain the individual's choice.

Committee Review Process

If requested to act, the Conflict Review Committee will review the completed full disclosure

statement form. The committee may request additional information from the involved faculty

or staff member, the dean/director, the vice president involved, the President, or from external

sources. The review process, including decisions, must be completed within 10 working days

after submission of the disclosure form to the committee. The committee may extend its

deadline by 10 working days if important information from external sources is required.

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Committee Recommendations

Committee recommendations might include but are not limited to: (a) approving the activity if

it is concluded that the potential for conflict is so remote or inconsequential that there is

minimal probability for biasing the objectivity of the activity, (b) requiring periodic review by

individuals independent of the employee, (c) requiring the divestiture of the financial interest,

or (d) assigning faculty or staff members without a financial interest to control the activity. In

special circumstances, the Conflict Review Committee may approve the activity for a limited

period of time because the potential benefits of the activity may be greater than the concerns

associated with the conflict of interest and/or time commitment. The chair of the Conflict

Review Committee will report the committee's recommendation(s) in writing to the appropriate

vice president.

The vice president will consult with the President of Emporia State University in making the

final decision regarding the activity in question. In reaching this decision, the President (and

vice president) will strongly consider the committee's recommendation. The vice president (or

President) will communicate this decision in writing to the faculty or staff member, the head of

the academic unit or supervisor, and the dean/director. A copy of this notification will be placed

in the personnel file of the faculty or staff member. The head of the academic unit or supervisor

will work with the identified faculty or staff member to implement the final recommendation.

Disposition of Reports

All required reports will be held in the individual's personnel file for a maximum of 5 years.

The submitted reports will be used to determine whether an individual is in compliance with the

Regents' policy and will be available to institutional research officers to permit certification

and/or verification of compliance with federal regulations.

Appeals

In the event that agreement is not reached by all parties concerned with the management of a

case of conflict or apparent conflict, the grievance procedure may be followed as specified in

the University Policy Manual.

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CHAPTER 2. UNIVERSITY SUPPORT STAFF

2A. UNIVERSITY SUPPORT STAFF EMPLOYMENT

2A.01 APPOINTMENT NOTICE

When a University Support Staff (USS) position becomes available, Human Resources (HR) lists

the vacancy on the Statewide Vacancy List. Applicants contact HR to indicate their interest in a

particular vacancy, request that HR attach their name to that vacancy, and complete an ESU

Application for Employment. Interviews will be scheduled with those applicants having the skills

most closely matching the required/preferred skills for the position who have completed the entire

applicant process. Current/former employees may apply for any job opening for which they meet

the minimum qualifications.

The Immigration Reform and Control Act of 1986 requires ESU to verify employment eligibility

of all individuals hired after November 6, 1986. Eligibility is established by completion of the Form

I-9. This form must be completed in HR within 3 days of hire, or the employee may forfeit his/her

position. The person verifying the documentation should sign the form as the authorized

representative.

Documentation of an employee’s employment eligibility is most easily provided by a driver's license

and social security card. The Form I-9 will be retained in the employee's personnel file along with

copies of the provided documentation, and once completed, may need to be completed again for

ESU employment if documentation expires, if the employee’s name changes, or if the employee

terminates and is subsequently rehired.

2A.02 APPOINTMENT TYPE

2A.0201 PROBATIONARY APPOINTMENT

Each newly hired employee is subject to a probationary period of 6 months. This period is

considered to be a working test of the employee's ability to perform satisfactorily in the

position. During this period, the supervisor will provide any necessary instruction and training.

Upon completion of the probationary period, the supervisor evaluates the probationary

employee on the employee review form and recommends 1 of 3 actions:

1) place the employee on permanent status (final approval given by appointing authority);

2)* extend the probation for a period not to exceed a total of 1 year;

3)* rate the employee unsatisfactory and recommend termination of employment.

* Actions #2 and #3 require notice prior to the end of the probationary period.

Each employee, upon completion of the probationary period, receives a copy of the performance

review form.

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At any time during the initial probationary period, an employee may be terminated for less than

satisfactory performance. The supervisor must submit a letter to the HR director and to the

employee stating the reasons for such action. In this situation, the employee has no right of

appeal under civil service regulations.

2A.0202 TEMPORARY APPOINTMENT

A temporary appointment is an appointment for not more than 999 hours in a 12 month period.

Individuals on temporary appointments shall be notified by their supervisor at the time of

appointment of the anticipated expiration date of the appointment. An individual in a temporary

appointment is not eligible for holiday pay, benefits or civil service rights. Employees may not

exceed 999 hours in one 12 month period regardless of the number of positions held.

2A.0203 LIMITED TERM APPOINTMENT

A limited term appointment is one scheduled to terminate within a specified period of time, as

stipulated in grant specifications or other contractual agreements (e.g., federally-funded grant

position). Each individual under a limited term appointment is notified at the time of

appointment of the expiration date of the grant or employment agreement. The expiration date

of the appointment is entered on the employee's personnel record at the time of appointment.

Should the dedicated resources become unavailable prior to the specified time, the ending date

of the appointment may be adjusted accordingly. Each individual on a limited term appointment

is terminated at the end of that appointment, subject to any extension of the funding.

2A.0204 ACTING APPOINTMENT

When a University Support Staff position is vacant for more than 30 days and requires the

temporary reassignment of an employee who has permanent status in another position, an acting

appointment may be permitted by the appointing authority. These appointments are used only

when there are no viable alternatives. The employee with permanent status who is placed in the

acting appointment must meet the minimum qualifications for the position being assumed.

Acting appointments may be no longer than 12 months in duration without approval of the

director of the Division of Personnel Services in Topeka.

If an employee is acting in a position assigned to a pay grade higher than that of the employee's

normal position, the employee shall be paid at a step on the higher pay grade that gives the

employee an increase in pay. Such an increase shall not exceed the highest step possible if the

employee were being promoted to the position. For the duration of the acting appointment, the

employee may receive salary step increases based on the length of time in the acting position.

When the acting assignment is terminated, the employee's salary reverts to the rate it would

have been had the employee not received the acting appointment. Therefore, if an employee

would have received a normal step increase during that time, the employee will be given the

increase upon terminating the acting assignment. The employee's pay increase date and

employment status are not affected by the acting appointment.

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2A.03 SUPERVISORY TRAINING

Any University Support Staff employee who has supervisory responsibilities for other USS

employees must complete the state-mandated supervisory training program. This training must be

completed before the employee is removed from probationary status.

2A.04 RETURN TO WORK POLICY

Employees who require accommodations for either short- or long-term disabilities should work with

their supervisors to develop reasonable accommodations which do not cause undue hardship for the

University. These accommodations must be based upon medical documentation provided by a

health care professional. Employees with disabilities who require permanent accommodations of

the essential functions of their position may have additional rights in addition to those provided by

this policy.

If an employee requires changes in procedures or equipment to make it possible to work, the

employee must request an accommodation in advance of the anticipated return-to-work date. The

University is not required to fulfill every request for special accommodations for employees.

Financial and administrative issues may be considered.

The employee is responsible for maintaining contact with the supervisor throughout the duration of

any leave. The supervisor is responsible for reviewing and approving or denying sick leave

requests.

Supervisors must be able to identify the essential functions and the physical requirements of every

position for which they have responsibility. This information should be documented on the

employee's position description. Nonessential functions do not need to be accommodated; however,

they cannot be required of the employee. If it is possible to accommodate essential functions, then

this must be done. A workers' compensation case worker will be involved, when appropriate.

HR will assist in developing accommodations, when requested to do so by the employee and/or

supervisor.

2A.05 FURLOUGHS AND LAYOFFS (revised; approved by President 6/4/09; revised; approved

by President 11/2013; approved by Board of Regents 1/2014)

In certain circumstances it may be necessary to furlough or layoff university support staff employees

in order to preserve the financial well being of ESU. In addition if a program is discontinued or

situations of financial exigency exist, it may be necessary to furlough or layoff USS employees.

ESU's procedures are determined by and in compliance with state regulations and federal law and

applicable Memorandums of Agreement. Complete details are available from HR.

2A.0501 FURLOUGHS

If necessary, due to a shortage of funds, the University may furlough some or all employees.

Such furloughs must be approved, no less than 10 days in advance, by the University President.

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A furlough is defined as leave without pay for a preset number of hours each pay period covered

by the furlough plan, and can be used as an alternative to layoffs.

While on furlough, an employee's social security and retirement contributions are reduced in

proportion to the reduction in gross pay, but all other benefits, including accrual of vacation and

sick leave, continue.

Furloughs do not affect employees' continuous service, length of service, pay anniversary date,

or eligibility for authorized holiday leave or pay.

University furlough plans will mirror plan requirements established by Kansas Administrative

Regulations. Affected employees will receive a minimum of a 10 day notice prior to the

furlough. Positions covered by a Memorandum of Agreement shall receive notice in

compliance with that MOA.

2A.0502 LAYOFF AND REEMPLOYMENT

University layoff procedures will mirror requirements established in Kansas Administrative

Regulations including reasons for proposing layoffs, criteria for layoff plans, bumping rights

within the University, computation of layoff scores, bumping and layoff conference steps and

effects on probationary employees. No approval beyond the University will be required.

Layoff scores are computed by multiplying the average numerical value of the last 5

performance reviews times the length of service as defined in K.A.R. 1-14-7 et seq

(alphabetical ratings correlate to a numeric score of either 0, 3, or 5). The person with the

lowest layoff score will be laid off first and if others are to be laid off, they will be selected in

ascending order of their layoff scores. Employees scheduled for layoff may exercise bumping

rights under specific circumstances.

If ESU (or a department) proposes a layoff, each employee who may be affected by the layoff

will be notified 30 calendar days before the effective date of the proposed layoff. The notice

will be a written notice delivered to the employee personally or sent by certified mail to the

employee's home address.

If an employee is laid off, or transferred or demoted to avoid being laid off, the employee will

be placed on a university reemployment list for 3 years. Employees on reemployment lists

receive preference in hiring based on layoff scores for a period of 1 year. Employees who are

laid off will have employee preference for ESU positions in accordance with standards set by

the employee preference program. Employees who have been laid off may be eligible for

reciprocal preferences with participating regent institutions. HR will provide a list of

participating institutions at the time of the layoff. This list is subject to change at any time with

or without notice to affected employees.

2A.06 PERSONAL PROPERTY

All personal items should be appropriate for the work place and discretion is expected from

employees and supervisors.

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2B. OTHER EMPLOYMENT

A person’s job at Emporia State University is expected to be his/her primary source of employment,

if he/she is a regular full-time employee. Outside employment is allowed, as long as the employee

adheres to the following guidelines:

1) The hours of a person’s outside employment will not coincide or conflict with his/her

University hours of scheduled work; and

2) A person’s outside employment will not conflict with his/her University job responsibilities

or affect his/her ability to perform satisfactorily in his/her University position.

2C. PERSONAL BUSINESS

Transacting private or personal business during assigned working hours is not permitted. Outgoing

or incoming personal phone calls except in emergencies are discouraged. Personal long distance

calls should be billed directly to the employee, and are not to be charged to the University.

2D. WORK SCHEDULE

The work week for the University will begin at 12:01 a.m. Sunday and end at midnight on the

following Saturday.

The basic work schedule for most employees is 40 hours per week from 8:00 a.m. until 5:00p.m.,

Monday through Friday, with one hour off for lunch. Exceptions are those departments which

operate 7 days per week, 24 hours per day. The basic work schedule may be changed with at least

5 calendar days notice to the employee(s).

2D.01 PUNCTUALITY

Employees are expected to report to work on time. Excessive absences or consistent tardiness will

be considered grounds for disciplinary action. Employees must contact their supervisors and request

permission to be absent prior to the commencement of their shift. Leaving a message with a

secretary or co-worker is not considered to be proper notification unless the supervisor is

unavailable. Depending on their specific needs, certain departments may have more stringent

requirements.

2D.02 PORTAL TO PORTAL ACT

The Portal to Portal Act describes compensable within the meaning by a custom or practice as by

a contract. The University’s custom and practice are compensable. For example, a supervisor

allows an employee to start working 15 minutes early every day. It has now become a common

practice and is known by the employee and the supervisor. Even though the extra time has not been

addressed or recorded on the time sheet, it is considered payable work time and must be reported

and compensated.

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If the supervisor knows the situation is happening and does not take steps to discontinue the practice,

the University is liable for any hours that were worked and not reported on the time sheet. In

addition, the University, if audited, could be assessed a penalty for not reporting and compensating

the correct hours worked. No non-exempt employee should be asked to work without compensation

in pay or time off.

If an employee is required to report at the actual place of performance of his/her principal activity

at a certain time or period of time, the workday commences at the time he/she reports for work as

requested by the supervisor – even on weekends – the employee is eligible for compensation or

comp time accrual.

2D.03 OVERTIME

In accordance with state and federal law, all University positions must be categorized for overtime

eligibility purposes as exempt (not eligible for overtime) or non-exempt (eligible for overtime).

Overtime will not apply to employees who are exempt under the Fair Labor Standards Act (FLSA).

The determination of a position as exempt or non-exempt is made based on an individual review of

the position's specific responsibilities. FLSA exemption status is determined by Human Resources,

not the supervisor or the employee. Positions with the same title may vary in their eligibility for

overtime, depending upon the actual duties performed in each specific position.

Supervisors are responsible for planning the work in their units so all duties can usually be

completed during the normal work periods. Employees may be required to work overtime when

necessary for University business.

For non-exempt employees, overtime is earned for time worked over 40 hours in a 1 week period.

Overtime occurs at the end of the work week (Saturday midnight), if the number of hours worked

exceeds the applicable 40 maximum hours standard. A non-exempt employee will only receive

overtime for hours actually worked in excess of a 40-hour work week.

State holidays which fall within a regularly scheduled work week may be counted as time worked

for non-exempt employees who meet all 3 of the following criteria under K.A.R. 1-5-24:

1) The employee is asked to report to work in order to respond to a building, highway, or public

safety emergency, as determined by the appointing authority;

2) This work is performed outside the employee’s normal work week schedule for the work

week or work period that includes the official state holiday; and

3) The appointing authority authorizes inclusion of that state holiday in calculating time worked

by the employee.

This provision for holidays affects only those agencies whose appointing authority determined that

the holiday credit hours count toward an eligible employee’s overtime threshold.

The overtime wage rate is 1½ times the employee’s regular rate of pay. Premium pay for holidays

worked or any call-in and call-back situations are not included in calculating overtime pay.

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2D.0301 COMPENSATORY TIME POLICY

A non-exempt employee is compensated for overtime worked with compensatory time off at

a rate of 1½ hours off for each overtime hour worked in a work week. Compensatory time will

not be automatically converted to paid overtime unless the employee terminates employment

with the University prior to use of the compensatory time. By authorizing an employee to work

overtime and signing the employee’s time sheet at the end of the pay period, the supervisor is

encouraged to allow the employee to schedule the use of accrued compensatory time within 90

days following the pay period in which the overtime was worked.

Non-exempt employees may be required to take time off during the work week in order not to

be in overtime status, under the following conditions:

1) The University notifies the employee of a change in the work schedule at least 5

calendar days in advance (14 calendar days, if the employee is in the bargaining unit)

of the day in which the employee’s normal work schedule is first changed; or,

2) The employee requests or agrees to take equivalent time off on an hour-for-hour basis

within the work week that the extra time was worked. The equivalent time off must be

agreeable with the employee’s supervisor, with minimum interruption to the efficient

conduct of University operations.

If an employee reaches the maximum accumulation of compensatory time as monitored by

Payroll, both the employee and his/her supervisor will be notified that the employee may not

work any additional overtime until the compensatory time balance has been reduced

significantly.

2D.04 BREAK PERIODS

Employees are allowed a 15-minute break each morning and each afternoon. Breaks should be taken

approximately half-way through each 4-hour shift, and are 15 minutes in length (20 minutes for the

bargaining unit). Breaks may not exceed the 15-minute limit for non-bargaining unit employees.

The time allotted for breaks includes travel time to and from the break area. Department heads and

supervisors have authority over break periods. It is their responsibility to ensure that break periods

are not abused. Breaks may be denied if the privilege is abused.

Breaks are not guaranteed by the Fair Labor Standards Act and should not interfere with work

performance. Supervisors may opt not to grant formal breaks because of workload and staff size.

It is important to remember that breaks are compensable time. Therefore, they may not be used as

or in conjunction with noncompensable time such as lunch breaks or compensable time such as

vacation or sick leave.

Break periods may not be accumulated or used to modify the beginning or ending hours of an

employee's shift.

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Appropriate persons should be notified before a break time so that knowledgeable telephone

coverage may be provided and employees can be located in the event of an emergency.

2D.05 MEALS

Employees must be completely relieved of duty for the purpose of eating regular meals. An

employee is not relieved if required to perform any duties (i.e., answering the phone, reception

duties) whether active or inactive while eating, and that time spent working will be included in the

overtime calculation for overtime pay or comp time accrual.

2D.06 CALL-IN AND CALL-BACK

Employees may be called in to work on a regular day off. On-call employees will not receive pay

unless called in. If an employee is called to work on a day off and is in a position that is eligible for

overtime pay, the employee will receive a minimum of 2 hours pay at the appropriate rate of pay

even if the work assigned only takes a few minutes.

Employees may be called back to work after a regular work schedule. If an employee is called back

to work, and is in a position that is eligible for overtime pay, the employee will receive a minimum

of 2 hours pay even if the work assigned only takes a few minutes.

If the employee was on stand-by when called in or called back, the minimum of 2 hours shall not

apply, nor shall it apply if the employee was called in or called back during the 2 hour period

immediately prior to the beginning of the employee’s next regularly scheduled work shift. If the

work takes more than 2 hours, the employee will receive pay for all hours worked at the appropriate

rate of pay. Only the time actually worked shall be used in determining eligibility for overtime

compensation.

2D.07 TRAVEL AWAY FROM HOME

Travel which is required by the University that keeps an employee away from home overnight is

considered work time when it cuts across the employee’s workday. The time is not only hours

worked on regular working days during the normal working hours, but also during the corresponding

hours on non-working days (e.g., Saturday and Sunday). Time spent traveling to and from the

meeting site is included in the calculation for overtime payments. The only time included would be

the normal time it would take normal public transportation to cover the same distance. If a bus

would take 2.5 hours to travel from Emporia to KCI then the 2.5 hours would be included in the

calculation. Actual time spent at each event during the conference is eligible for overtime

calculations or comp time accrual.

Regular meal time that is physically away from the activity site during travel away from home is not

counted for overtime calculations. If the meal time is a working lunch, that time is included in the

overtime calculations. Any time the employee works at the discretion of the University, that time

is included in the overtime calculation. For computations of overtime, attach a copy of the itinerary

to the time sheet.

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2D.08 SHIFT DIFFERENTIAL

Any university support staff employee who is eligible for overtime pay and works on a shift that

either starts before 6:00 a.m. or ends after 6:00 p.m. will receive an additional amount per hour

based on classification for the total hours worked on that shift. This additional pay only applies to

hours actually on the job and not to any paid leave time (e.g., sick, vacation, holiday, funeral, jury

duty, annual military duty).

2D.09 STAND-BY COMPENSATION

If an employee is notified to stay by the phone and remain available for work during a specified

period of time because of a possible emergency situation, the employee will be paid $1 per hour for

such stand-by time. If the employee cannot be reached during the stand-by period or fails to report

if contacted, the employee will not be paid stand-by time unless an acceptable reason can be

furnished. Stand-by time does not count as time worked in establishing eligibility for overtime pay.

2E. PROBATIONARY PERIOD AND PERFORMANCE EVALUATIONS (revision

approved by President 11/2013; approved by Board of Regents 1/2014)

2E.01 PERFORMANCE REVIEW SYSTEM

2E.0101 PROBATIONARY PERIOD REVIEW

Initial employment in a University Support Staff position will generally be with a probationary

status for the first 6 months of employment. The probationary period serves as a test of an

employee’s ability to meet expectations. One or more feedback sessions will be conducted

during the probationary period. Prior to the expiration of each employee’s probationary period,

a performance review will be completed. Failure to notify the employee of a performance rating

or an approved extension by the end of any probationary period automatically grants the

employee permanent status.

All University Support Staff employees in a supervisory position (i.e., those who evaluate other

USS employees) are required to complete supervisory training before receiving permanent

status unless an exception is approved by Human Resources.

When a probationary employee is on leave, with or without pay, for 30 consecutive calendar

days or more, the probationary period will be adjusted to the extent of the leave.

A special review may be made at any time when appropriate and necessary. Special reviews

are commonly used to gauge level of performance, to improve performance, to increase or

decrease a rating, when an employee is being promoted, reinstated, or transferred, or when a

position is being reclassified. An employee may not receive more than one special review

within a 30-day period.

When a probationary period is completed with a performance rating of “satisfactory” or higher,

an employee will receive permanent University Support Staff status. Permanent employees are

eligible for leave of absences for up to 1 year when in the best interest of the University, for

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layoff rights, or for qualifying appeals to an appeals hearing board. Continued employment is

nevertheless at will and dependent upon receipt of a performance rating of satisfactory, as

defined by the performance review system, or above.

2E.02 ANNUAL PERFORMANCE EVALUATION

Performance evaluations are required for all permanent USS on an annual basis. Performance

evaluations are based on 3 formal steps which take place within an annual time frame. One-on-one

meetings between employees and supervisors are encouraged, as needed, throughout the review

period.

• Initial Planning Session, optional (January)

• Mid-year Review (April - June)

• Annual Review and Overall Performance Evaluation (October - December)

Evaluation forms are available on the Human Resources website. Instructions for completing the

forms are also available on that website. Although Human Resources notify supervisory staff when

evaluations are due, supervisors are responsible for ensuring reviews are completed regardless of

any notification or lack thereof. HR will monitor completion of evaluations during the last quarter

of the calendar year.

Performance evaluations assess how an employee performs his or her job duties. Position

descriptions describe what job duties an employee is expected to adequately perform. Therefore,

prior to completing a performance evaluation, the supervisor and the employee should review and,

if needed, update the position description. Performance feedback will formally be provided twice

a year, including a mid-year review and an overall performance evaluation with a rating during the

last quarter of the calendar year. A supervisor may evaluate an employee at any time if conditions

warrant a higher or lower rating; such evaluations are called “special evaluations.” Those special

evaluations must have goals in place at least 30 days prior to the evaluation. The special evaluation

period can leave no “gap time” between its start date and the end of the last evaluation period.

Supervisors determine an overall rating after evaluating the individual performance factors assessing

progress. The supervisor reviews the 3 steps of the evaluation with the employee. A performance

evaluation is a permanent part of an employee’s record. Additionally, supervisors may review it

when employees are considered for a pay increase or promotion. A current rating of satisfactory,

as defined by the evaluation, or above is necessary for promotion and to be considered for a pay

increase. The various components of the evaluation process should be handled in the following way:

2E.0201 INITIAL PLANNING

Goals are based on the employee’s job requirements and should be specific, measurable,

attainable, realistic, timely, and job related. (Goals may be optional for trade staff.) Employee

input to the goals is encouraged. The supervisor has ultimate responsibility for establishing

goals. With employee input, goals are established that allow employees to exceed expectations.

Goals are established at the beginning of each evaluation period and may be updated at various

times as noted below. Changes and additions to goals may be made at any time before the end

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of the evaluation period. The supervisor and the employee retain copies of the established/

modified goals for use at the end of the evaluation period. Goals are established or modified:

• shortly after appointment to a new position;

• at the beginning of each initial planning period;

• when there is a significant change in duties;

• when additional goals are warranted during the evaluation period.

If an employee believes the goals to be unreasonable in accordance with Kansas Statute

Annotated 75-2949f, he or she should seek resolution with a supervisor or departmental

administration. If no resolution is achieved, the employee retains the right to appeal the

performance review at the time a rating is assigned. Should the employee believe that the goal

or duty is illegal or otherwise improper, the employee may file a grievance as outlined in the

grievance policy or in accordance with an applicable memorandum of agreement.

At the end of the evaluation period, the supervisor assesses goal progress.

Employee input on goal progress is encouraged. The supervisor assesses the goals as being

“met,” “in progress,” or “not met.” The supervisor may make comments about goal progress.

Both the employee and supervisor sign and date the evaluation form. The employee’s overall

performance will be based on these goals, as well as other components of the evaluation

process. If goals were not established in a timely fashion, the employee’s goal progress may

be rated using the duties from the current position description.

2E.0202 MID-YEAR AND ANNUAL REVIEW DISCUSSIONS

Supervisors are required to provide performance feedback at least twice a year. This feedback

must be documented in the evaluation form. Both the supervisor and the employee should

initial and date the feedback documentation. If performance feedback is provided in the form

of a memo to the employee, that memo must be retained with the evaluation documents.

2E.0203 PERFORMANCE FACTORS

The supervisor will rate the employee on performance factors that include, but are not limited

to, position knowledge; attitude, cooperation and behavior; dependability, reliability, and

attendance; care and use of equipment and technology; communication, training and

development; leadership; quantity and quality of work, and adherence to agency values.

Employee input on performance factors is encouraged.

The supervisor assesses the performance factors as being unsatisfactory, satisfactory, or

exceptional, as defined in the performance review. Supervisors shall make comments about the

performance factors. Supervisory comments are required for an unsatisfactory rating.

2E.0204 OVERALL PERFORMANCE

The supervisor will rate the employee’s overall performance based on the assessment of goal

progress and ratings of the individual performance factors. The overall rating will be

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unsatisfactory, satisfactory, or exceptional, as defined in the performance review. Supervisory

comments are required; employee comments are optional.

The supervisor and the employee will discuss the overall evaluation, date, and sign the form.

The employee’s signature on the evaluation form does not signify agreement with the evaluation

nor waive the right to appeal. The signature only signifies receipt of the evaluation. If the

employee refuses to sign the evaluation, a witness’ signature can verify that the evaluation was

provided to the employee. The department sends the evaluation form with goals to Human

Resources by the established deadline.

Unsatisfactory Performance

An employee who, in the opinion of his/her supervisor, is not performing work at a level of

satisfactory will be counseled on ways to improve. Unsatisfactory work performance may

necessitate a special evaluation. A salary increase cannot be granted if an employee receives

an unsatisfactory rating. Two performance review ratings of less than satisfactory may be

utilized as a basis for demotion or dismissal of the employee.

2E.03 DEMOTION – INVOLUNTARY

Demotion of an employee by a supervisor may be made for a variety of reasons. If a position is

abolished, the employee in that position may be demoted to a position in a lower class (if there is

a vacancy) in lieu of being terminated. Inadequate performance of assigned duties may be reason

for demotion to a class in which the employee can perform the duties adequately. Demotion may

be used as disciplinary action. An employee with permanent status who is demoted must be given

a written statement of the reasons and is entitled to a hearing before the USS Appeals Board upon

the employee's request.

2F. DISCIPLINARY ACTION AND GRIEVANCE PROCEDURES (revision approved by

President 11/2013; approved by Board of Regents 1/2014)

2F.01 AREAS COVERED BY UNIVERSITY SUPPORT STAFF POLICIES

Emporia State University policies provide for hearing and/or appeal procedures in matters of

discrimination, suspensions, demotions and dismissals. Formal grievance procedures are listed in

2F.03. Performance evaluation appeals are handled through separate grievance procedures

(2F.0403).

2F.02 PROGRESSIVE DISCIPLINE POLICY

Progressive discipline is the application of discipline in a series of steps that gradually increase in

severity as employees progress through the steps. The number of steps may vary, each step may be

repeated along the way, and steps may be skipped, depending on the situation involved. Supervisors

are required to consider the seriousness of the offense and the previous record of the employee. An

employee's past record does not have to include a prior offense of the same rule to be issued a more

severe disciplinary action than would be given for only 1 minor infraction.

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The Kansas Civil Service Act (K.S.A. 75-2949) state that Kansas state employees may be

disciplined for just cause. Supervisors have the responsibility to discipline employees in a consistent

manner and to invoke disciplinary action whenever employees do not follow the rules.

They may use the State grievance procedure (K.S.A. 75-2949) to present their case. Employees are

entitled to have representation, selected by the employee and at the employee’s expense, during the

grievance procedures. The employee is responsible for advising the University if a representative

will be present.

2F.0201 GENERAL POLICY

All disciplinary action should be reasonable, timely, and related in severity to the seriousness

of the offense. Employees should be properly warned that past behavior has been unacceptable

and advised of the desirable behavior which is expected. Proper warning should follow these

progressive steps:

1st infraction - oral warning (official documentation form is completed and maintained in

the departmental or departmental file for at least 1 year). Not subject to appeal.

2nd infraction - written warning (official documentation form is completed and maintained

in the official personnel file for at least 5 years). Not subject to appeal.

3rd infraction - dismissal (official letter is written and maintained in the official personnel

file permanently).

The level of disciplinary action depends on the severity of the offense, e.g., the supervisor may

issue a written warning or suspension on the first infraction, or the oral warning step may be

repeated.

2F.0202 ROLE OF HUMAN RESOURCES

Supervisors are encouraged to partner with HR as performance issues are identified. The HR

staff members are trained in consultation and resolution and are available to meet with

supervisors and/or employees to informally resolve problems or situations occurring in the work

place.

It is the supervisor's responsibility to gather all appropriate information and recommend a

possible solution.

The HR director must be notified whenever demotion or dismissal is proposed. The role of the

HR director is to facilitate consultation and resolution of problems occurring in the work place.

Supervisors are encouraged to have the director review oral warning documentation prior to

warning the employee. The director must review written warning forms prior to warning the

employee. Recommendations for termination must be discussed with the director immediately

after an incident occurs.

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2F.03 GRIEVANCE PROCEDURES

2F.0301 FORMAL GRIEVANCE PROCEDURES

A formal grievance is a grievance filed by an employee in writing with the department head,

the appointing authority and HR alleging University violation of strictly defined employment

regulations or agreements. For employees covered by any memorandum of agreement,

grievance matters and the grievance procedures are those defined by the current agreement. For

permanent University Support Staff employees not covered by the memorandum of agreement,

the following process may be requested, should an employee so desire.

Whenever a permanent University Support Staff employee believes University policies have

been violated or misinterpreted, the employee may follow the following procedure:

Step 1) Discuss the grievance with the immediate supervisor within 5 working days of its

occurrence, or within 5 working days of when the employee knew or reasonably

should have known of its occurrence. The grievant may be accompanied by 1 other

person. The supervisor will address the matter with the employee and respond in

writing to the employee within 5 working days.

Step 2) If the grievance is not settled in Step 1, the employee may present the grievance to the

department head within 5 working days of receipt of the supervisor's answer in Step

1. This should be done in writing. (Forms are available from HR.) The employee may

be accompanied by 1 other person at this step. The department head, with assistance

from HR, will address the matter and respond in writing within 5 working days of

receipt of the written grievance to the employee and others directly involved in the

grievance.

The department head will send a copy of his/her response to HR.

Step 3) If the grievance has not been settled in Step 2, the employee may appeal in writing to

the appointing authority within 5 working days after the response is due from the

department head in Step 2. The appointing authority may hold an informal meeting to

obtain information regarding the grievance and will respond to the grievant and to any

other person involved within 10 working days of such meeting. This decision shall be

final.

2F.0302 INFORMAL GRIEVANCE PROCEDURES

Employees should always attempt to resolve job-related problems through and with their

immediate supervisors.

Most questions and problems can be and generally are resolved by informal discussion. Some

situations, including discipline or discrimination, have specific procedures, which are described

in the Progressive Discipline Policy. If the problems persist or are a matter not under the

authority of the immediate supervisor, employees are free to consult their department head and

then HR to try to solve the problem formally.

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2F.04 APPEALS BOARD

Permanent employees in USS service have the right to appeal demotions, dismissal, and

performance reviews. The ESU Appeals Board (referred to hereafter as Appeals Board) is

responsible for hearing appeals of such actions.

2F.0401 BOARD GOVERNANCE

The Appeals Board is composed of a 9 member board, 6 University Support Staff, and 3

unclassified professional/faculty/department head/dean whoa re permanent, full-time employees

of Emporia State University with at least 5 years’ service. Recommendations, based on

nominations and volunteers with supervisor approval, for membership on the Appeals Board

will be made by the University Support Staff Assembly, Faculty Senate, Unclassified

Commission, and from members of the campus community at large to the Affirmative Action

Officer, who appoints members based on such recommendations. If the Affirmative Action

Officer does not find a sufficient number of acceptable nominees, the Affirmative Action

Officer will request additional nominees from the respective governance organizations.

The chair and vice chair of the Appeals Board will be elected by the board members and

officially appointed by the Affirmative Action Officer on an annual basis to serve a 1 year term.

If the chair is unable to fulfill his/her duties, the vice chair will fill this role.

Appointments to the board are for 3 consecutive years with 3 members being replaced each

year, with the exception of the first 2 years when 1 group of 3 will serve 1 year, and 1 group of

3 will serve 2 years to start the staggered terms.

Once appointment to the board is completed, members will not be eligible for reappointment

for 3 years.

Example: 2 USS and 1 unclassified FY 14-15

2 USS and 1 unclassified FY 14-16

2 USS and 1 unclassified FY 14-17

2 USS and 1 unclassified FY 15-18

2 USS and 1 unclassified FY 16-19

2 USS and 1 unclassified FY 17-20

The Board chair is responsible for selecting a panel of 3 members, plus 1 alternate member to

hear a particular appeal. Both parties of the hearing will have an option of removing 1 board

member with reasonable cause. The Board chair may also be part of the final panel. The panel

will designate 1 member of the hearing panel to serve as the panel chair. The final panel must

consist of at least 2 employees in University Support Staff service. The Board chair, or vice

chair in the absence or recusal of a panel chair, will conduct appeal hearings. All panel

members will have voting rights including the Board chair if he/she is serving on the panel.

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Board Training

Appeals Board members will be required to attend training presented by Emporia State

University.

Office Responsibilities

To be determined who will provide staffing for the Appeals Board and Appeals Board panels.

Conflict of Interest

Members of the Appeals Board panel cannot be from the same department as those involved in

the appeal. Prior to serving on a hearing panel, board members are expected to sign a statement

confirming that nothing would preclude them from acting fairly and impartially in deciding the

matter before the hearing panel and that they have no knowledge of the case.

2F.0402 APPEAL – DEMOTION AND DISMISSAL

A USS employee with permanent status may appeal a demotion or dismissal to the Board up

to 30 calendar days after the effective date of the disciplinary action. Appeals must be made

in writing and delivered to HR. When a written appeal is received by HR, a copy of the appeal

will be provided as soon as possible to all parties involved in the appeal.

Hearings should be scheduled by HR within 45 calendar days of the receipt of the appeal.

Continuances will be considered by and may be granted by HR in consultation with the Appeals

Board chair if received no later than 14 calendar days before the date of the hearing. Requests

for continuance must be in writing to HR and state the reason for the request and show that the

opposing party or his or her representative has been notified. The request must also contain

alternative dates on which the requesting party is available for the hearing.

Parties involved in the hearing will also have the opportunity to indicate whether an Appeals

Board panel member should be precluded from a particular hearing based on concerns about

impartiality. The objecting party will have 5 calendar days from notice of Appeals Board panel

appointment to notify HR of those concerns. HR, in consultation with the Appeals Board chair,

will determine whether an alternate should be appointed.

All statements of facts, witness lists and exhibit lists, and exhibits must be received in the HR

office at least 7 calendar days in advance of the hearing. Each party must provide in writing a

statement of facts relevant to the matter, a list of all witnesses who are expected to testify, and

a brief written statement of the anticipated testimony of each witness, showing the relevancy

of the testimony, a list of identified exhibits and the exhibits themselves. Each party provides

1 original, and the HR office reproduces the necessary copies for the hearing participants. The

appellant’s and respondent’s exhibits shall be marked.

The University supports every effort to accommodate the availability of witnesses for a hearing

before the Appeals Board. Witnesses have a choice to participate in the hearing. Time away

from work for witnesses appearing at the hearing must be approved by their department in

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advance and in accordance with normal time off work notice procedures. Time to participate

in the hearing for university employees is considered “work time” and is compensated as such.

Witnesses will not be subjected to any form of intimidation or retaliation by any party for their

decision to participate or to not participate in the hearing. Attempts at intimidation or retaliation

should be reported to the Affirmative Action Officer. Any complaint alleging intimidation or

retaliation will be appropriately investigated and appropriate disciplinary action will be taken

if intimidation or retaliation is determined to have occurred. When a witness list has been

provided to the University HR office by the parties to the hearing, HR, on behalf of the

Affirmative Action Officer, will send an advisory letter to the University witnesses with a copy

to their supervisors and department heads. The letter will advise the recipients of their rights

and responsibilities as outlined above.

The appellant may, at his/her own expense, have representation and must provide the name of

the representative and the phone number at which the representative may be contacted at the

time of filing the appeal, or if not known at the time, not later than 14 calendar days prior to the

date of the hearing.

All parties who testify at the hearing will be asked to swear or affirm as to the truthfulness of

their statements before beginning their testimonies. A notary public will administer the oath

to the witnesses.

The evidentiary phase of the hearing is only open to those directly participating in the hearing.

After the evidentiary phase of the hearing, the Appeals Board panel will adjourn to a closed

session to deliberate on the personnel matter of disciplinary action against the employee.

At the hearing, the burden of proof shall be upon the employee to establish that the Appointing

Authority or his/her designee did not act reasonably in demoting or dismissing the employee,

which means that the employee must prove by a preponderance of the evidence that the

disciplinary action taken was arbitrary, unreasonable, or without factual basis.

All hearings of the Appeals Board panel shall be recorded by means of audio, coordinated solely

by the office of Human Resources. All such recordings constitute part of the record of the

hearing and shall be maintained by the HR office. Access to the audio shall be limited to the

parties, their authorized representatives, and the members of the Appeals Board panel.

Transcripts may be made of the contents of an audiotape at the sole expense of the requesting

party or by other agreement of the parties.

The Chair of the Appeals Board panel has authority to conduct the hearing, and such authority

shall include, but not be limited to, setting reasonable time limits for the presentation and cross

examinations, and conducting the hearing in an orderly manner. Order of business and other

procedural considerations will be developed and published in the University Procedures

Manual. The panel may also call executive session as necessary to conduct the business of the

panel.

Each party to the appeal shall have an equal opportunity to present arguments to the Appeals

Board panel. Each party may present a 10-minute opening statement at the beginning of the

hearing before calling witnesses for testimony. Each party may cross examine each witness

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after his/her testimony, with an opportunity for the introducing party to redirect. Both parties

may each present a 10-minute closing argument. The Hearing Board panel may question any

party to the hearing, as well as ask questions regarding submitted evidence. At the close of the

evidentiary phase, the Board will adjourn into a closed session to deliberate on their

recommendation.

After deliberation in the closed session and when the hearing is reconvened with all parties

present, the Chair will solicit a motion and second to recommend that the Vice President of

Administration and Finance uphold, modify, or rescind the disciplinary action. Each Appeals

Board panel member will vote in public on the motion. The vote will be determined by a

majority. The Appeals Board panel will make every effort to render a decision on its

recommendation at that time. If the Appeals Board panel cannot reach a decision because it has

to deliberate for a greater length of time than available at the hearing, the Appeals Board panel

will return to the hearing room and announce that more deliberation time is needed and that the

findings of fact, the vote, and recommended determination will be sent by mail to the parties.

The Appeals Board panel shall prepare its findings of fact and recommended determination

within 15 calendar days from the date on which the hearing was conducted. However, the Chair

of the Appeals Board panel may extend this time limit for good cause. The Appeals Board

panel will make findings based on the information presented by the parties at the hearing and

recommend in writing to the Vice President of Administration and Finance whether the action

to demote or dismiss the employee was reasonable and should be upheld, modified, or

overturned. The written recommendations must be supported by statements of fact and

conclusions based on the application of University rules regarding disciplinary process for

university support staff. The findings of fact and recommended determination will include the

names of the committee members making and seconding the motion, and the members’ votes

on the matter resulting in the findings and recommended determination.

After review of the recommendations, the Vice President for Administration and Finance will

provide a written decision to both parties within 15 calendar days of receiving the Appeals

Board panel’s written recommendation. The Vice President of Administration and Finance may

take into account any relevant evidence. It is anticipated that the Vice President of

Administration and Finance will ordinarily follow the Appeals Board panel’s recommendation.

If the Vice President of Administration and Finance, based on his/her understanding of the

matter or other relevant factors, does not follow the recommendations of the Appeals Board

panel, the Vice President of Administration and Finance will meet with the Appeals Board panel

to discuss his/her decision. The Vice President of Administration and Finance’s decision is a

final agency action, and judicial review of the decision is pursuant to the Act of Judicial Review

and Civil Enforcement of Agency Actions (K.S.A. 77-601 et seq.).

2F.0403 Appeal – Performance Review

Employees in the USS service with permanent status may appeal their performance review

within 7 calendar days of receiving the review. Holidays and days the university is closed

between the Christmas holiday and New Year’s holiday will not be counted towards the 7

calendar days. The appeal should be in writing and addressed to the Affirmative Action Officer.

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HR will coordinate the appeals hearing. When a written appeal is received by HR, a copy of

the appeal will be provided as soon as possible to all parties involved in the appeal.

Within 7 days of receipt of the written appeal, HR in coordination with the Appeals Board Chair

will select a panel to hear the appeal. The committee will consist of 2 USS employees and 1

unclassified employee. Hearings should be scheduled by HR within 14 calendar days of the

appointment of the panel. Continuances will be considered by and may be granted by the

Affirmative Action Officer or designee in consultation with the Appeals Board Chair.

Parties involved in the hearing will also have the opportunity to indicate whether an Appeals

Board panel member should be precluded from a particular hearing based on concerns about

impartiality. Due to the condensed time frame of the appeal, HR will determine an appropriate

time frame in which parties may strike a panel member.

Witness lists and exhibits must be received in the HR office within the time frame designated

by Human Resources, again, due to condensed time frames. Each party provides one original

of the exhibits, and the HR office reproduces the necessary copies for the hearing participants.

The appellant’s and respondent’s exhibits shall be marked.

Witnesses have a choice to participate in the hearing. Time to participate in the hearing for

university employees is considered “work time” and is compensated as such. Witnesses are

responsible for coordinating time away from work with their supervisor. Witnesses will not be

subjected to any form of intimidation or retaliation by any party for their decision to participate

or to not participate in the hearing. Attempts at intimidation or retaliation should be reported

to the Affirmative Action Officer. Any complaint alleging intimidation or retaliation will be

appropriately investigated and appropriate disciplinary action will be taken if intimidation or

retaliation is determined to have occurred.

The appellant or supervisor may have a representative with them during the appeal and must

provide the name of the representative within the time frame established by HR. This

representative may not speak on behalf of the party, but may provide counsel to their party at

any time. Performance Appeals are not legal proceedings, and as such, may not be recorded by

any party. Order of business and other procedural considerations will be developed and

published in the University Procedures Manual. The panel may also call executive session as

necessary to conduct the business of the panel.

Within 14 calendar days of the hearing date the members of the committee will prepare and sign

a review for the employee, which is not subject to further appeal. Unusual circumstances may

warrant an extension of this time. The appeals committee shall give the rating to the

Affirmative Action Officer, who, within 5 calendar days, shall send copies to the employee and

the supervisor who originally reviewed the employee.

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2G. RECRUITMENT (revised by Human Resources, 3/2006; approved by President 11/2013;

approved by Board of Regents 1/2014)

2G.01 VACANCY ANNOUNCEMENTS

The University will continue to use its current practices when filling University Support Staff

vacancies. New procedures and practices will be developed as needed to meet university hiring

needs and to meet state and federal law.

All University Support Staff position vacancies will be posted on the ESU job website. Vacancies

will also be posted to appropriate media to maximize qualified applicants. Vacancy notices will be

posted in compliance with Memorandums of Agreement.

2G.02 POSITION QUALIFICATIONS AND POSITION DESCRIPTIONS

Based upon developed position descriptions, specialized qualifications may be developed to fit the

specific departmental needs when filling a position. Updated position descriptions will be submitted

to HR with the job vacancy request. Position descriptions will be reviewed for accuracy of

classification and for posting.

2G.03 SELECTION CONSIDERATIONS

Current employees are encouraged to apply for promotion and/or transfer to vacant positions which

are posted by HR. A promotion is a move to a higher level position. (Note: Reclassifications are

not promotions.) Qualified internal candidates employed within the department or University will

be given special consideration for vacancies. Any current employee meeting the advertised position

qualifications will be extended an initial interview.

The following staff may apply for internal University Support Staff postings: regular staff, those on

initial probation, and anyone currently working a temporary appointment.

ESU will continue to provide Veterans Preference to applicants in accordance with the State of

Kansas Veterans Preference program. More information about the program may be found at the

State of Kansas jobs website.

USS employees who lose employment with the University as a result of a layoff or elimination of

a department will receive an employee preference for any ESU vacancy posting in which they meet

minimum requirements and where the vacancy is at or below the classification previously held by

the employee. ESU employee preference will generally follow the State of Kansas’ program. ESU

employees in USS are not eligible for the State of Kansas Employee Preference program.

ESU employees in USS service who are laid off may be eligible for reciprocal employee preference

with other state universities in the Regents’ system. HR will provide more information at the time

of layoff. Other regent institutions may withdraw their participation at any time, with or without

notice to affected ESU employees. It is the employee’s responsibility to ensure that any reciprocal

agreements are still in place at the time application is made. Employees exercising preference are

responsible for being aware of and following the procedures of each reciprocal institution.

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2G.04 INTERVIEW PROCESS

HR will coordinate the application process for University Support Staff positions. Applications will

be reviewed for preferences, qualifications and potential nepotism issues. Qualified applicants will

be forwarded to the hiring department for screening and interviewing. Departments will be

responsible for selecting interviewees using approved guidelines to be developed by HR. Applicant

materials will be provided to recruiting department. Departments will notify HR of their selection

and receive authorization from HR to provide a beginning salary level when it exceeds the minimum

hiring range.

Before a final candidate is selected, the department shall contact references with approval of the

candidate.

Departments will forward complete records of the interview process to HR for record keeping.

2G.05 PROMOTIONS AND TRANSFERS

Lateral transfers (moves to different positions at the same level) are permitted. Employees covered

under a Memorandum of Agreement will follow those lateral move requirements. Employees who

accept a lateral transfer to another area will not receive an increase in salary nor be placed on

probation from permanent status.

A promotion carries with it an increase in pay when funds are available. For promotion there is a

probationary period of 3 months.

2G.0501 PROMOTION AND TRANSFER LISTINGS FOR OTHER STATE

AGENCIES

Job listings for other agencies in Kansas are available to view through the internet

(http://www.state.ks.us) or you may contact the HR office.

2G.06 DEMOTION – VOLUNTARY

A demotion occurs when an employee is reassigned to a lower pay class. An employee having

permanent status may make a written request to HR for a voluntary demotion. The request will be

considered as vacancies occur and may be withdrawn by the employee at any time prior to his/her

appointment to a vacant position.

2G.07 REINSTATEMENT

Former employees with permanent status who leave state service in good standing are eligible to

return to state service. Good standing means that the employee left either through no fault of his/her

own or voluntarily with proper notice. If rehired within 1 year of separation, any unused sick leave

balance remaining at the time of separation also will be reinstated. Reinstated employees must serve

a probationary period to regain permanent status.

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2H. TERMINATION OF EMPLOYMENT

2H.01 RETIREMENT

Employees should contact HR approximately 60-90 days prior to their anticipated retirement date

to select how benefits will be paid and to complete the required forms. Employees must provide

appropriate documentation of name changes and marital status. Employees should contact Social

Security and other retirement companies if they have contributed to voluntary tax-sheltered

annuities.

2H.02 RESIGNATION

Employees planning to leave University employment should submit a written resignation at least

2 weeks in advance to their supervisor. A notice of 1 month or more is preferable, especially for

exempt (not eligible for overtime) positions. Giving ample notice of intention to resign will allow

employment records to be processed and reported in good standing.

2H.03 TERMINATION OF EMPLOYMENT

Permanent employees may be terminated from employment by the appointing authority for cause.

A letter stating the reason(s) for the suggested termination must be presented to the appointing

authority and the employee by the supervisor. Termination for cause means that only performance

and discipline deficiencies will be considered. No employee can be dismissed for political, racial

or religious reasons.

2H.04 JOB ABANDONMENT

Any employee who is absent from duty for 5 consecutive work days without proper notification to

and authorization by the supervisor shall be considered to have resigned his/her position.

2H.05 EXIT INTERVIEW

Whenever an employee resigns or retires he/she should contact HR to arrange a meeting time to

conduct an exit interview. The meeting should occur as close as possible to the last day of work.

The purpose of the exit interview is to provide the employee with information about continuation

procedures for benefits such as health insurance, to verify sick and review leave balances, and to

answer questions the employee may have. An exit interview should also be scheduled when an

employee retires.

After the employee's last day on campus, the information obtained on this short questionnaire is

provided to the University President and appropriate vice president.

2H.06 TERMINATION CLEARANCE PROCEDURES

The purpose of the Notification of Termination of Employment is to ensure that anyone leaving the

University’s employment has fulfilled all obligations to the University, returned any state property

in his/her possession and to ensure that the employee has had the benefit of information available.

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The notification memo is available online and should be initiated by the employee’s supervisor or

department secretary. The terminating employee should receive a copy of the form as a reminder

of what items are considered University property.

2I. AFSCME LOCAL UNION AGREEMENT

The University recognizes the AFSCME Local #1357 as the exclusive representative of employees

in the appropriate unit for the purpose of meeting and conferring and the settlement of grievances.

The Memorandum of Agreement covers all eligible service and maintenance employees in

appropriate units. Human Resources can provide a specific list of position classifications eligible.

For additional information, employees should refer to the Memorandum of Agreement between the

State of Kansas, Emporia State University, and the AFSCME Local #1357.

NOTE: Although some University employees may be members of other organizations, they are

not recognized representatives on the ESU campus.

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CHAPTER 3: INSTITUTIONAL POLICIES

3A. LEAVE POLICIES AND HOLIDAYS

3A.01 SABBATICAL LEAVE (FSR 407 approved by President 1/20/71; FSB 88018 approved

by President 3/27/89; approved by BOR 6/24/00; FSB 13004 approved by President

4/24/2014; FSB 14003 approved by President 2/3/2015)

Sabbatical leave with pay is designed to improve the professional competencies of University

faculty.

1. Qualifications

Only tenured faculty members or administrators are eligible to request sabbatical leave. All

leave requests are judged on the merits of the application, time limitations, and faculty

priorities.

The applicant must have completed at least 12 consecutive semesters (fall and spring) of

full-time service to the University with the rank of instructor or above prior to the time of the

sabbatical leave. Service shall be deemed consecutive if interrupted by leave (e.g., sick leave,

administrative leave, etc.) for one or more semesters, but the semester(s) on leave does not

count in calculating the service requirement. Ordinarily, for purposes of this policy only, a

semester is defined as at least twelve weeks.

A faculty member who is granted and who utilizes sabbatical leave may be granted another

sabbatical leave after completion of at least 12 consecutive semesters (fall and spring) of

full-time continuous service to the University following the termination of the preceding

sabbatical leave. In the event a faculty member is granted sabbatical leave and is unable to

utilize it, his/her failure to do so will not disqualify him/her from submitting another application

the following year.

2. Application for Sabbatical Leave

Applications for sabbatical leave reflect the specific nature of the proposed leave.

The procedure for submitting and processing applications for sabbatical leave is as follows:

a. Prior to October 15 of the academic year preceding the proposed sabbatical leave,

applications must be submitted to a departmental faculty committee charged with the

responsibility of reviewing the applications, establishing an order of priority among the

applicants, and making its recommendations to the department chair by October 31.

b. Prior to November 8, the department chair reviews the report of the departmental committee

and forwards the committee's report, along with his/her recommendations, to the dean of the

school/college.

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c. The dean of the school/college review the departmental reports in terms of staff requirements

and budget limitations and recommend an order of priority among the applicants. The

recommendations of the deans of the respective schools/colleges, accompanied by the

reports of the departmental committees and the recommendations of the respective chairs,

are forwarded to the Vice President for Academic Affairs by November 15.

d. The Vice President for Academic Affairs and the President review the applications and

recommendations in terms of University-wide staff requirements, budget limitations, and

institutional policy. The President will formulate a final report recommending sabbatical

leaves for no more than 4% of the University faculty.

e. All applicants for sabbatical leave shall be notified of the decision on their applications by

December 15 of the year that they applied.

f. The Board of Regents is notified of sabbatical leaves at the April meeting.

g. No dates expressed in this policy are intended to preclude or reduce sabbaticals. Therefore,

under extenuating circumstances, the Provost may extend deadlines with notification to all

concerned.

3. Limitations

Leave will not be granted for a period of less than 1 semester nor a period of more than 1 year,

with the reimbursement being made according to the following schedule:

a. A faculty member on 9 month appointment will receive up to half pay for an academic year,

or up to full pay for 1 semester.

b. A faculty member on 12 month appointment will receive up to half pay for 11 months, or up

to full pay for 5 months.

Sabbatical leaves will not ordinarily be granted to enable the faculty member or administrator

to accept other employment. This does not preclude the acceptance of employment, whatever

the compensation, consistent with the conditions of the application, provided such employment

significantly advances the applicant's skills in his/her normal duties at the University. A

scholarship, fellowship, or assistantship carrying a stipend for the support of study and research

is not considered employment.

4. Accountability of Recipient

An individual who receives a sabbatical leave must agree in writing to return to the service of

the University for a period of at least 1 year immediately following the expiration of the period

of leave. Persons failing to return to ESU will refund all sabbatical pay. Those who fail to

remain for the full year of service will refund that portion of their sabbatical pay represented

by the portion of the year they fail to serve. Any repayment will be made within 2 years of the

termination of service to the University.

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It is the responsibility of the recipient to inform the Vice President for Academic Affairs of any

change in the proposed program or financial support during the period of his/her sabbatical

leave.

When an individual returns from a sabbatical leave, he/she must make a written report to the

department chair regarding the nature of the studies, research, or the work undertaken while on

leave. The chair will provide copies to appropriate administrative offices.

3A.02 VACATION LEAVE

3A.0201 UNCLASSIFIED (BOR 11/15/01; Human Resources 5/13/03; BOR 09/21/06;

Human Resources 6/07)

Persons appointed to regular 12 month positions or to full-time, less than 12 month unclassified

non-instructional positions earn annual leave not to exceed 176 hours per fiscal year. Persons

appointed to less than full-time 12 month unclassified non-instructional positions shall earn

annual leave on a pro-rated basis.

Unclassified employees who are eligible to earn annual leave may accumulate a maximum of

304 hours of annual leave. Unclassified employees moving from a position earning annual

leave to a faculty position for less than 12 months will receive payment for no more than 176

hours of annual leave.

When employment is terminated, all unused vacation hours (up to 176 maximum for resignation

or 240 maximum for retirement) will normally be paid on the final paycheck. The employee,

with the approval of the department chair, dean or appropriate vice president, may elect payout

of vacation leave in one of two ways:

1. In the pay period in which the employee last actively works, any unused vacation

leave may be paid in a lump sum and added to the final paycheck, or

2. Vacation leave hours may be used after the last active day at work to extend receipt

of paychecks; however, this process may not be used to extend the maximum

allowable number of vacation leave hours for which an individual may be paid per

the above chart.

In both instances described above, vacation hours will not accrue after the last active day at

work. Annual leave is not accrued while on sabbatical leave.

Unclassified faculty employees who are appointed for less than 12 months do not accumulate

or earn annual leave. Their academic duties are closely related to the presence of students on

campus. Student recesses offer the employee an opportunity to engage in research and perform

other necessary professional duties. In consideration of the professional nature of a faculty

position, faculty are expected to fulfill appropriate, professional and departmental responsibility

throughout the academic year, including student recesses, exclusive of legal holidays. The

academic year begins with student registration or similar duties in the fall and continues for the

time appointed.

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3A.0202 UNIVERSITY SUPPORT STAFF (revised 5/04; BOR 6/08; revised 2/09; revision

approved by President 11/2013; approved Board of Regents 1/2014)

State law and regulations may not allow enhancement of leave benefits above those already

provided to employees in the classified service. If statute and regulation allow enhanced leave

benefits for those employees who convert to USS, we propose leave enhancements as follows:

That all benefits eligible university employees will accrue the same standard of vacation leave,

pro-rated based upon their full-time equivalent status and not to be reduced below current

accrual rates for unclassified service. Maximum vacation leave accrual will remain compliant

with Board of Regents Policies.

University Support Staff employees earn and accumulate annual leave privileges as follows:

Non-Exempt Employees

Hours in Pay Status

Per Pay Period

Hours Earned

Per Pay Period

0-9 0.0

10-19 1.0

20-29 2.0

30-39 3.0

40-49 4.0

50-59 5.0

60-69 6.0

70-79 7.0

80- 8.0

Maximum Accumulation 304

Exempt Employees

Appointment FTE Hours Earned

Per Pay Period

.75 - 1.00 8.0

.50 - .749 6.0

.25 - .499 4.0

Less than .25 2.0

Maximum Accumulation 304

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Non-exempt and exempt USS employees who report any hours in pay status per pay period shall

earn paid annual leave not to exceed 176 hours per fiscal year. For part-time employees, leave

is prorated according to position percentage; however, the yearly maximum balance is not pro-

rated.

Vacation leave cannot be granted until after it has been accrued. Exceptions may be granted

for employees who are not assigned to work during a designated University closing, as

determined by the University President.

Vacation leave should be scheduled at a time mutually agreeable to the supervisor and the

employee. However, it may not always occur at the employee’s accustomed time. A

satisfactory schedule needs to be worked out so employees will not be deprived of vacation

leave.

USS employees earning annual leave may receive, upon termination from employment or upon

moving from a position earning annual leave to a faculty position for less than 12 months,

payment for no more than176 hours of accumulated but unused annual leave. Upon retirement

or at termination of employment when retirement eligible, an employee may receive payment

for up to 240 hours of accumulated but unused annual leave.

When employment is terminated, all unused vacation hours (up to the maximum permitted ) will

normally be paid on the final paycheck. The employee, with the approval of the department

chair, dean or appropriate vice president, may elect payout of vacation leave in one of two ways:

1. In the pay period in which the employee last actively works, any unused vacation

leave may be paid in a lump sum and added to the final paycheck, or

2. The employee may request their separation date be extended to allow the use of

vacation hours during that time.

3A.03 HOLIDAYS

The following have been designated as legal holidays:

New Year's Day Labor Day

Martin Luther King Day Veterans Day

Memorial Day Thanksgiving

Independence Day Christmas

Discretionary Day (determined annually by the governor)

Temporary employees are not eligible for holiday pay.

Some University offices may be closed between the Christmas holiday and the New Year's holiday

at the discretion of the University President. During this time, some departments may need to be

open, depending on their workload.

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3A.04 DISCRETIONARY HOLIDAY

Employees who work at least 6 months in a calendar year are entitled to 1 discretionary day as

authorized annually by the Governor. Full-time employees receive one 8 hour day which must be

used at one time in its entirety. Part-time employees receive a pro-rated discretionary day which

must be used at one time in its entirety. Employees must schedule use of their discretionary day

through the approved procedures in their areas. The discretionary day must be used or it is forfeited

for the year. Carry-over is not permitted.

3A.05 SICK LEAVE

Sick leave is earned at the rate of 3.7 hours each full pay period of service. Leave is prorated

according to position percentage. Sick leave cannot be granted until after it has been accrued. Sick

leave with pay can be granted only because of a personal or family illness, injury, or legal

quarantine.

Faculty with assigned summer responsibilities earn sick leave at the same rate as the regular

academic year. Sick leave will be granted when appropriate (e.g., when the date of the summer

appointment has begun and the faculty member is engaged in teaching); however, faculty without

assigned summer responsibilities for all (or part) of the summer would not be eligible for sick leave

for days without assigned responsibilities. (FSB 03005 approved by President 3/30/04)

Use of sick leave is a privilege and should not be abused. A medical certificate from an attending

physician may be required to verify the reason for sick leave usage. In the event that an employee

is unable to report for work, the supervisor should be notified directly as soon as possible in order

for arrangements to be made for someone else to handle the work.

Sick leave may be granted due to illness or disability (including pregnancy, childbirth, miscarriage

and abortion) of a family member, when that illness or disability requires the employee to be absent

from work.

Family member is defined as:

1) Persons related to the employee by blood, marriage, or adoption; and

2) Minors residing in the employee’s home as a result of court proceeding pursuant to

the Kansas Code for Care of Children or the Kansas Juvenile Offenders Code.

Unused sick leave is canceled when employment is terminated. Each former employee who had

unused sick leave at the time of separation and who returns to state service in a regular position

within a year, shall have the unused sick leave returned to the employee's credit. This provision

shall not apply to a person who has retired from state service.

Inappropriate use of sick leave immediately prior to termination or retirement will result in the

employee’s being charged for vacation leave (or leave without pay) for the absence. Medical

certification may be requested by the appointing authority in these situations. At retirement,

employees will be paid for unused sick leave if they fall into one of the following groups:

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A. 30 days paid if:

8 or more years of service and 800-1000 hours (100-125 days) accumulated

B. 45 days paid if:

15 or more years of service and 1000-1200 hours (125-150 days) accumulated

C. 60 days paid if:

25 or more years of service and 1200 hours (150 days) or more accumulated

The Kansas Civil Service Act (K.S.A.) 75-2949e(a)(5) indicates that employees may be suspended,

demoted, or dismissed for habitual or flagrantly improper use of leave privileges. Emporia State

University’s progressive discipline policy (for USS employees) states that discipline should occur

for improper use of sick leave.

3A.06 FAMILY AND MEDICAL LEAVE ACT (revised 1/16/09)

The Family and Medical Leave Act (FMLA) of 1993 requires the University to provide up to 12

weeks of paid or unpaid, job-protected leave to eligible employees for certain family and medical

reasons. Employees are eligible if they have worked for the University for at least 1 year, and for

1,250 hours or more during the previous 12 months. Employees must use all sick leave and vacation

leave balances before leave without pay will be considered.

The use of FMLA leave cannot result in the loss of any employment benefit that accrued prior to the

start of an employee’s leave. The employee should expect to return to his/her original or equivalent

position with equivalent pay, benefits, and other employment terms.

Reasons for requesting such leave include:

1) for incapacity due to pregnancy, prenatal medical care or child birth;

2) to care for the employee’s child after birth, or placement for adoption or foster care;

3) to care for the employee’s spouse, son, or daughter, or parent, who has a serious

health condition; or

4) for a serious health condition that makes the employee unable to perform the

employee’s job.

Military family leave provisions of up to 12 weeks during the normal 12-month period are available

for eligible employees with a spouse, son, daughter, or parent on active duty or notice of impending

call or order to active duty status in the National Guard or Reserves in support of a contingency

operation. An additional provision permits eligible employees up to 26 weeks of leave, during a

single 12-month period, to care for a covered service member who has a qualifying serious injury

or illness incurred in the line of duty.

Any employee needing leave under FMLA should contact Human Resources (HR) to receive the

appropriate forms for requesting leave and obtaining medical certification.

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If leave is approved, the employee should remain in contact with his/her supervisor and HR to

monitor leave balances and benefit coverage. Upon return to work, a physician’s release may be

required by HR and/or the supervisor.

3A.07 BEREAVEMENT LEAVE (revised by Human Resources and approved by the President

5/01/2012)

Employees may be granted bereavement leave with pay upon the death of a close relative.

Bereavement leave cannot exceed 6 consecutive working days. The employee's relationship to the

deceased, and the necessary travel time will be among the factors considered. A bereavement leave

request form should be submitted to the supervisor.

The term close relative has been generally defined by the University to include spouse, children,

parents, siblings, grandparents, grandchildren, aunts, and uncles including (half, step, in-law, or

foster). Bereavement leave for others may be granted, taking into account the relationship to the

deceased, as approved by the Human Resources (HR) Director.

When an employee requests bereavement leave for a person other than a close relative and the

request is denied, the employee may be granted vacation leave. If the employee has no vacation

leave, he/she may be granted leave without pay.

3A.08 JURY DUTY

Permanent or probationary employees shall be granted leave with pay for required jury duty or for

certain required appearances as a witness before a court, board, commission, or legislative

committee if the appointing authority considers the granting of leave with pay to be in the best

interest of the State. A court document must be provided to Human Resources (HR) for verification.

Employees will not be entitled to such leave if they are appearing on their own behalf or in an action

in which they are a party.

Fees paid by the court for jury service may be retained by the employee.

3A.09 MILITARY LEAVE (updated 6/07)

An employee may be granted leave without pay to cover the length of required service in the

military of the United States.

If a permanent or probationary employee is a member of a reserve component of the military service

or the National Guard, the employee may be granted leave of absence with pay for the duration of

any official call to emergency duty and for the period or periods of annual active duty for training.

The total amount of leave with pay for annual active duty for training shall be limited to a maximum

of 15 working days in any calendar year. This does not include regular weekend guard duty. A

copy of the military orders must be presented to Human Resources (HR). Employees in the

Reserves or National Guard who are activated should contact HR immediately.

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3A.10 LEAVE WITHOUT PAY

3A.1001 LEAVE WITHOUT PAY – UNCLASSIFIED

According Board of Regents policy, a leave without pay for up to 3 years may be granted by

the President of the University when such is judged by the President to be in the best interest

of the institution. No leave may be granted to any employee who has accepted a permanent

position with another postsecondary education institution.

Any extension of a leave without pay beyond 3 years requires the approval of the Board of

Regents. Documentation shall be provided of extraordinary circumstances justifying the

extension of such leave beyond 3 years.

Leaves without pay will not be regarded as a break in service; however, such leave will not

count toward the earning of sabbatical leave nor will it count toward the tenure probationary

period. During a leave of absence without pay, an employee's eligibility for health insurance

will be determined by and be in accord with the policies, rules, and regulations of the State

Employees Health Insurance Commission. Requests for medical leaves of absence are approved

by the Director of Human Resources. Medical certification will be required.

3A.1002 LEAVE WITHOUT PAY – UNIVERSITY SUPPORT STAFF AND

UNCLASSIFIED SERVICE (revision approved by President 11/2013; approved

by Board of Regents 1/2014)

A permanent employee may be granted leave without pay (LWOP) for a period not to exceed

1 year for sickness, disability, or other good and sufficient reasons. A probationary employee

may be granted leave without pay for a period not to exceed 60 days for the same reasons. The

employee must submit a letter to his/her supervisor explaining the reasons for the leave before

it will be granted. All sick leave accruals (and vacation leave accruals if appropriate) must be

depleted before LWOP will be granted (excluding Christmas holiday provisions). Vacation

leave and sick leave may accrue on a pro-rated basis, dependent on the number of hours worked

(if any) each payroll period that the employee is on LWOP. The approval of the Human

Resources (HR) Director is required. Exceptions to this policy may be approved by the Human

Resources Director with support from the employee’s supervisory chain.

Employees on LWOP may retain their health insurance by paying the entire premium. In

certain LWOP situations, the University may continue its contribution toward health insurance

for up to 12 weeks under FMLA.

IMPORTANT NOTE: An employee who is injured on the job and awarded workers’

compensation shall be granted use of accumulated leave (vacation, sick, compensatory) upon

his/her request. The University shall not require the employee to exhaust all leave accruals in

conjunction with workers’ compensation.

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3A.11 VOTING RELEASE TIME (K.S.A. 25-418; revised 8/08)

Employees, who are entitled to vote at an election conducted by a county election officer in this

state, are encouraged to exercise their voting privileges. An employee's work schedule normally

permits adequate time to exercise voting privileges either before or after normal working hours.

However, the University allows up to a maximum of 2 consecutive hours of time off with pay where

an employee’s ability to cast their vote during polling hours on Election Day cannot be

accomplished during off-duty hours. Employees who require paid leave pursuant to this provision

should request time off in advance from their supervisor.

3A.12 SHARED LEAVE POLICY

When employees or their family members experience a serious, extreme, or life threatening illness

which meets certain specific criteria, as defined in K.A.R. 1-9-23, they may be eligible for shared

leave. Shared leave will not be granted for common illnesses, minor surgeries or routine surgery.

Family member includes persons related to the employee by blood, marriage or adoption, and minors

residing in the employee’s residence as a result of court proceedings pursuant to the Kansas code

for care of children or the Kansas juvenile offenders code. Procedures for administering the shared

leave program are handled by HR.

3A.1201 UNCLASSIFIED (adopted by BOR 12/14/00)

All unclassified employees who accumulate sick leave shall be eligible for participation in the

shared leave program of the state of Kansas. All unclassified employees who participate in the

shared leave program may donate sick leave as long as the donation does not cause the

accumulated sick leave balance of the donating employee to be less than 480 hours, unless the

employee donates sick leave at the time of separation from service.

3A.1202 UNIVERSITY SUPPORT STAFF

University Support Staff employees must have been in a permanent position at least 6 months

and have exhausted their paid leave including vacation leave, sick leave and compensatory time

credits to receive shared leave from other USS and unclassified employees. Shared leave may

be denied if it is determined that the requesting employee has a history of leave abuse.

A USS employee will be eligible to donate vacation leave or sick leave to another employee if:

1) the donation of vacation leave does not cause the leave balance of the donating employee

to be less than 80 hours; and/or

2) the donation of sick leave does not cause the leave balance of the donating employee to be

less than 480 hours.

3) if the donor is retiring or terminating employment, the minimum balance is waived.

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3B. BENEFITS

3B.01 HEALTH INSURANCE (Revised 4/8/2011)

All employees in permanent positions are eligible to enroll in the group health insurance program.

There is a minimum 30 day waiting period on new employees. Coverage begins the first pay period

following the waiting period. Individual coverage under the group health insurance program is

provided at minimal cost to full-time employees enrolled. Employees who are half-time or more but

not full-time may elect group health coverage by paying a portion of the cost. All employees who

elect group health coverage must pay the additional cost of family coverage, if desired. Dental

coverage is automatically provided for employees and is optional for dependents who are covered

by group heath insurance. Prescription coverage is included in the health insurance benefit.

The 30 day waiting period may be waived if both of the following conditions are met:

1. a potential new employee is not eligible for continued health care coverage from existing or

prior group coverage, and

2. a waiting period poses, or will pose, an obstacle to recruitment.

3B.02 RETIREMENT PLANS

3B.0201 MANDATORY RETIREMENT PLAN – UNCLASSIFIED (excerpted from BOR

10-96; revised 6/07)

The Kansas Board of Regents established a mandatory retirement plan in accordance with

K.S.A. 74-4925. The defined contribution plan includes the following approved companies for

contribution options: ING and Teachers Insurance & Annuity Association/College Retirement

Equities Fund (TIAA-CREF).

All faculty and unclassified employees, who are employed .5 FTE time or more, are eligible and

will participate in the plan. Any faculty or unclassified employee who enters into the Phased

Retirement Program, as authorized by K.S.A. 76-746, and who is employed at least .25 FTE or

more, will participate in the mandatory retirement plan in the manner as prescribed by the law.

All employees, who are deemed eligible, will begin participation in and contribution to the

retirement plan on the first day of the pay period coinciding with or next following the

completion of 1 year of service in a benefits-eligible position. Failure of an employee to

participate when eligible in the retirement plan will be cause for the immediate termination of

the employee.

In lieu of participating in the retirement plan, eligible employees, having accrued retirement

benefits under the Kansas Public Employees Retirement System (KPERS), may elect to

continue participation in KPERS. Conversely, participants in the plan, transferred or

reclassified to a position that qualifies for participation in KPERS, may elect to continue

participating in the Board of Regents retirement plan. Only 1 such election may be made by an

employee during an employee’s lifetime.

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K.S.A. 74-4925 provides a newly employed person, in an eligible position, may have the

required 1 year waiting period waived and begin immediate participation in the Kansas Board

of Regents Mandatory Retirement Plan, if the prospective employee provides acceptable

documentation to the Human Resources Office by the effective date of appointment. Provisions

to waive the 1 year waiting period are:

Participation must be in a retirement program resulting from employment with an institution

of higher education located in the United States to which employer contributions have been

made for 1 year (365 days) within the 5 year period immediately preceding employment with

Emporia State University OR in a State of Kansas mandatory retirement plan (other than the

KBOR plan) in which you served at least 1 year (365 days), including time in a waiting

period, within the 5 year period immediately preceding employment with Emporia State

University.

The required document is available in Human Resources.

3B.0201.01 PLAN CONTRIBUTION

Contributions to the mandatory retirement plan will be made on a regular basis during years

of participation and will be paid on the gross salary according the following schedule:

Plan Contributions as a Percent of Gross Earnings

Employee Pays University Pays Total

5.5% 8.5% 14.0%

All of the money in the employee’s retirement account is vested immediately. All

accumulations must remain in the mandatory retirement account as long as the individual is

employed in the university system governed by the Kansas Board of Regents.

Contributions are made on a pre-tax basis in accordance with Section 403(b) of the Internal

Revenue code, which reduces federal and state taxes immediately.

3B.0201.02 RETIREMENT AGE

There shall be no mandatory retirement age for eligible employees. For purposes of

eligibility for certain statutory retirement benefits, such retirement shall not occur before the

55th birthday. However, individuals who seek to retire from age 55 to 59 must have 10

years of service in a benefits-eligible position at a Regents institution or with the Board of

Regents staff.

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3B.0202 KANSAS PUBLIC EMPLOYEES RETIREMENT SYSTEM

3B.0202.01 UNCLASSIFIED

In lieu of participating in the Retirement Plan for Kansas Regents Institutions (the Plan),

eligible unclassified employees, having accrued retirement benefits under the Kansas Public

Employees Retirement System (KPERS), may elect to continue participation in KPERS.

Conversely, participants in the Plan, transferred or reclassified to a position that qualifies for

participation in KPERS, may elect to continue participation in the Plan. Only 1 such

election may be made by an employee during an employee's lifetime.

Both the University and the employee contribute to KPERS. The employee contribution is

4.0% of wages earned in a pay period. The employee contribution is tax sheltered from

federal taxes; however, the contribution is not tax sheltered from state taxes. The

University’s contribution rate is established annually by the KPERS Board of Trustees and

varies each fiscal year based upon an actuarial cost method. An employee is fully vested in

KPERS after 10 years of participating service in the retirement system.

An employee who terminates employment before retirement may apply to withdraw the

employee contribution plus interest. Accumulated interest is credited to a member's account

on June 30th of each year, based on accumulations through December 31st of the previous

year.

3B.0202.02 UNIVERSITY SUPPORT STAFF (revision approved by President

11/2013; approved by Board of Regents 1/2014)

Participation in the Kansas Public Employees Retirement System (KPERS) is mandatory

for all state University Support Staff employees who are employed in qualifying, permanent

positions. KPERS is a State of Kansas program, and Emporia State University administers

the program in compliance with state requirements. Additional information on KPERS is

available through the ESU Office of Human Resources or the KPERS website.

3B.0202.03 GROUP LIFE INSURANCE

Employees in regular positions who are employed half-time or more have this coverage from

the date of employment. The amount of this coverage is currently 150% of the employee's

annual salary. Coverage continues until age 85, termination of employment, or retirement,

whichever occurs first. This coverage may be converted to an individual policy at the

option of the employee within 31 days of when group coverage ceases.

3B.0203 KANSAS POLICE AND FIREFIGHTERS’ RETIREMENT SYSTEM

The Kansas Police and Firefighters (KP&F) is a division of and fully coordinated into the

administrative structure of KPERS. Membership in KP&F is mandatory for all University

classified police officers who are employed in permanent positions which require at least 1,000

hours of work per year. There is no waiting period; membership is effective upon the date of

hire.

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Both the University and the employee contribute to KP&F. The employee's contribution

currently is 7% of gross wages earned, and is a federally tax-sheltered deduction from the

employee's check. The University's contribution rate is established annually by the KPERS

Board of Trustees. The University makes a contribution to purchase death and disability

insurance for each participating employee at no cost to the employee.

Vesting in KP&F is dependent on an employee's date of hire and length of service. Employees

who are terminating employment before retirement may make application to withdraw their

contributions plus interest; employer contributions would be forfeited. Accumulated interest

is credited to accounts on June 30 of each year, based on accumulations through December 31

of the previous year.

Other items discussed under KPERS are also applicable to KP&F members, such as: Accidental

Work-Related Death Benefit, Group Disability Insurance, Group Life Insurance, and Optional

KPERS Group Life Insurance.

3B.0204 PHASED RETIREMENT – UNCLASSIFIED

This program is available to faculty and unclassified employees who are benefit eligible, have

attained the age of 55, and have completed 10 years of full time service with 1 or more of the

Board of Regents institutions. The program provides a faculty member or unclassified

employee the opportunity to phase retirement over a selected period of time not to exceed 5

years.

The participant’s appointment must be at least .25 FTE but not more than .75 FTE in the phased

retirement program. The participant’s salary is reduced according to the FTE appointment, but

benefits (health insurance, retirement contributions, death and disability coverage, leave

earnings) remain at the full time rate. Participants may partially withdraw or annuitize their

Board of Regents mandatory retirement plan while on the phased retirement plan. Participants

must retire at the end of the agreement period.

Information regarding the Phased Retirement Program is available in Human Resources or in

the Office of Vice President for Academic Affairs.

3B.03 SOCIAL SECURITY

The University participates in the federal social security program. All employees are covered.

Employees are required to contribute to social security and ESU matches the contributions.

The amount of tax withheld from the paycheck is in accordance with current rates and is matched

by the state. For more information contact a Social Security branch office.

3B.04 VOLUNTARY TAX-SHELTERED ANNUITY PROGRAM

Eligible employees may participate in a voluntary tax-sheltered annuity program (VoTSA)

immediately upon employment. This program allows employees to set aside part of their salary and

postpone the income tax liability on it until it is paid to them at some future date, such as retirement.

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Employees may purchase an annuity with any company selected by the employee and approved by

the Board of Regents. To receive a individualized maximum exclusion allowance calculation and

for more information about the VoTSA plan, contact the Payroll Office.

3B.05 DEFERRED COMPENSATION

A voluntary 457(b) tax-sheltered annuity plan is available to State employees. Contributions to the

plan are administered by ING in Topeka. ING offers a choice of investment opportunities.

Employees who are interested in this plan should contact the Payroll office for more information.

3B.06 UNEMPLOYMENT COMPENSATION

All regular employees of the University are covered by unemployment compensation. If the

employee is not, however, making social security contributions, then he/she is not eligible for

unemployment compensation.

3B.07 WORKER’S COMPENSATION

All employees of the University are covered by worker's compensation insurance for personal

injuries due to work related accidents or illnesses. All such accidental injuries must be reported

immediately to Human Resources by telephone, followed immediately with a standard accidental

injury report form. The form is to be completed by the injured person. Should the individual be

incapacitated to the extent that he/she is unable to complete the form, the form should be completed

by the immediate supervisor. Failure to report an injury within 10 calendar days of the accident may

result in denial of worker's compensation benefits.

For employees who are in a leave without pay situation while receiving worker’s compensation,

vacation and sick leave will continue to accrue. Health insurance premiums will continue to be paid

as usual while on worker’s compensation leave. Employees receiving worker’s compensation pay

are not required to use vacation or sick leave but must sign a waiver to that effect in Human

Resources. Extended absences will be counted toward FMLA.

If medical treatment is needed as a result of an occupational injury or illness, employees must seek

treatment with their primary care physician. If immediate medical treatment is needed because of

a life-threatening injury, extreme pain or discomfort, the employee should either call 911

immediately for assistance or go immediately to the Newman Regional Health Center Emergency

Room.

Self treatment of minor injuries is encouraged. The injury should be treated as it would if the injury

had occurred at home. Such treatment would not preclude coverage under the Worker’s

Compensation program if medical treatment is needed later.

Bills for medical expenses arising from an occupational injury or illness may be sent to the Office

of Human Resources. HR will forward the bills to the State Self Insurance Fund Office (Worker’s

Compensation) to determine if the claim is compensable.

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3B.08 FLEXIBLE SPENDING ACCOUNTS

KanElect includes a flexible spending account program which allows employees to pay either

child/dependent care expenses and/or uncovered medical/dental expenses with tax-free dollars. The

program allows employees to set up the accounts and direct a set amount of their salary into the

account. The money passes from the employee's salary before any taxes - federal, state and social

security - are withheld. Then, as employees incur expenses, they file a claim through a third party

company and the money is paid out of the flexible spending account directly to the employee.

Again, no taxes are withheld.

For employees with predictable expenses, the KanElect program permits very efficient use of their

money. However, if an employee signs up for a flexible spending account and does not use all of

the money in the account by the end of the calendar year, federal law states that the unused amount

of money will be forfeited. For this reason, the KanElect program may only benefit certain

employees at certain times. Employees should contact Human Resources to review their specific

situations and possible benefits from the program.

3B.09 ACCIDENTAL WORK-RELATED DEATH BENEFIT

In addition to an employee's life insurance, this benefit provides a lump-sum payment of $50,000

and a monthly income benefit equal to 50% of the employee's salary paid to the surviving spouse

until death or remarriage, and/or to dependent children to age 18, or to disabled children until they

are no longer disabled or until death, in the case of an accidental work-related death.

3B.10 DISABILITY INSURED BENEFIT

All employees who are eligible to participate in the Kansas Board of Regents mandatory retirement

plan or in KPERS are provided coverage for a Disability Income Benefit at no cost to the employee.

The disability insured benefit is effective on the appointment date. The disability benefit is based

on 66b% of the employee’s annual compensation and reduced by primary Social Security, Workers’

compensation, or any other disability income benefit by reason of employment, subject to a

minimum disability income benefit of $100 per month. To qualify for a disability benefit, the

employee must be totally disabled and unable to work for 180 continuous days. Unclassified

employees who are approved for the disability benefit shall have provided by the University both

the employer’s and employee’s contributions at the rate specified by the plan.

3B.11 OPTIONAL KPERS GROUP LIFE INSURANCE

This insurance is available immediately for all new employees who are working half-time or more

in a benefits eligible position. Such employees must decide within 14 days of their appointment if

they want this insurance or they must wait until the next open enrollment period. Open enrollment

periods are announced by HR.

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3B.12 EMPLOYEES ASSOCIATION INSURANCE

Employees may purchase optional group life insurance coverage for themselves and family members

through the Employees Association. Open enrollment is conducted annually in October. Contact

HR for additional information.

3B.13 HEALTHQUEST EMPLOYEE ASSISTANCE PROGRAM (revised 6/24/2010)

HealthQuest EAP is a confidential employee assistance program for active, benefits-eligible State

of Kansas employees and family members. It provides short-term personal counseling and

numerous other services. The HealthQuest Employee Assistance Program is available 24-hours day

by calling toll free 1-888-275-1205.

3B.14 BUSINESS TRAVEL CARD (revised 9/08)

University employees are eligible to apply for a corporate credit card for business travel.

Application for the card may be made with the Controller’s Office. The card is issued in the

employee’s name and all charges become the responsibility of the card holder. The University

reserves the right to revoke the card at any time. The credit card will be canceled upon retirement,

resignation, or dismissal of the employee.

3B.15 IDENTIFICATION CARD (revised 3/2017)

Faculty, staff, and students may obtain an ESU identification card which may be purchased in the

University ID Center in the Memorial Union. The card can be used as an event access card, an

access card for controlled-access locations on campus, a library card, an on-campus debit card, an

ATM card, and a declining balance card.

3B.16 EMERITUS STATUS (FSB 85002 approved by President 11/5/85; #4 clarified by

University President and President of the Faculty 1/02)

The criteria for being granted the status of emeritus must meet these 2 provisions:

1. the retiring faculty member must have served Emporia State University for at least 10 years;

and

2. at the time of retirement must have the rank of associate professor or professor, or an

administrative rank equivalent to either.

Exceptions to the above criteria may be granted by the President of Emporia State University for

exceptional contributions to higher education. Such exceptional contributions may be made on the

basis of outstanding teaching, scholarship, or other similar achievements.

A retiring faculty member named to emeritus status is entitled to the following:

1. Use of the library facilities.

2. Two free activity tickets to all University funded events.

3. Free parking in non-gated lots.

4. Free individual use of the University recreational facilities located in the HPER building.

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Other emoluments may be granted when the retiring member submits a request for other needs and

demonstrates why additional resources are needed. Such requests will normally involve a research

project or similar project that will benefit both the University and the faculty member. Such a

request and supporting documents are submitted to the President of the University. The President

may consult and seek advice from the appropriate department/division in reaching a decision.

If such a request is approved the additional perquisites that may be granted include, but are not

limited to:

1. office space, including clerical help, mail and telephone support, access to the e-mail system,

and/or

2. access to laboratories, studio, and computer, and/or

3. any such other needs as are reasonable to pursue that particular endeavor.

These additional perquisites are subject to the needs of the proposed project and their availability,

considering space needs and the University budget. A salary may not be granted solely for the status

of professor emeritus.

3B.17 FEE WAIVER (approved by President 7/28/98)

University employees in benefit eligible positions employed at least 50% time enrolled in courses

will receive a waiver of the campus privilege fees for whatever number of hours are taken.

Employees will be assessed tuition at the per credit hour rate up to the full time campus tuition rate.

The tuition assessed at the per hour rate and the fee waiver is applicable only during the employee's

appointment.

3B.1701 ENROLLMENT IN COURSES – UNIVERSITY SUPPORT STAFF (revision

approved by President 11/2014; approved by Board of Regents 1/2014)

A USS employees enrolling in courses held during his/her normal work hours is limited to 6

clock hours per week and approval of the supervisor and department head is required.

Employees Employees will not be excused from the 40-hour work week required. A written

revised daily work schedule must be approved by the supervisor and department head, in

advance. HR reserves the right to request copies of revised work schedules. For those

employees covered under the Memorandum of Agreement, enrollment in courses will follow

the provisions of that agreement.

3B.18 DEFENSE OF STATE OFFICERS AND EMPLOYEES

Kansas law provides for the defense of all state officers and employees when they are sued for

damages for any alleged nonfeasance, misfeasance, or malfeasance of the duties of their office. The

attorney general's office is authorized to provide for such defense if written notification of the filing

of an action is received before the end of the 15th day after the filing date. The attorney general is

not required to provide a defense when notification is received after the 15th day. Notification is

transmitted through the President and the office of the Board of Regents.

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3C. SALARY & COMPENSATION (revision approved by President 11/2013; approved by Board

of Regents 1/2014)

Holiday hours (the paid time for a holiday when it is not worked) count toward the calculation of

overtime eligibility. No other forms of paid leave count toward the calculation of overtime

eligibility, e.g., neither sick nor vacation leave. This does not affect other provisions of paying

overtime in accordance with state and federal law and overtime will continue to be compensated

with overtime pay or compensatory time for non-exempt employees.

3C.01 PAY PERIODS

Employees at the University are paid on a bi-weekly basis. Paychecks are issued every other Friday.

3C.02 TIME AND LEAVE REPORTS (revised 2/09 by Payroll)

Time sheets are generated centrally by the Payroll Office and distributed to each department’s

payroll designee. The Exempt Leave Form used to report leave taken by exempt employees may

be found online in InfoPath. All time and leave documentation is due in Payroll at noon on Friday,

the day before the end of the pay period.

Online time and leave reporting is processed for all employees by the payroll designee. Exception

and positive time reporting will be updated each pay period. User access for reporting time and

leave is established and authorized by Payroll.

3C.03 PAYCHECK DISTRIBUTION/DIRECT DEPOSIT (revised 11/10/2005 by Payroll;

revised 2/09; revised 8/2010)

The State of Kansas, Department of Administration has implemented a policy of 100% direct deposit

for employee payroll checks and travel and expense reimbursements. For payroll purposes,

employees must have their paycheck deposited electronically to a designated financial institution

or apply for Skylight One paycard.

Pay stubs are no longer printed. Employee paycheck information may be viewed through Buzz In

on the Worklife tab, under the Banner Self Service Channel, in the Employee Folder.

3C.04 SALARY DEDUCTIONS

An employee's gross salary is subject to federal and state income tax withholding, social security

(OASDI), and Medicare. Following the first year of employment, an employee will begin

participation in a retirement program. Additional optional deductions include: group health

insurance, savings bonds, United Way, deferred compensation, voluntary tax-sheltered annuities,

optional group life insurance, employee organization dues, regent's payroll deductions, and flexible

spending accounts.

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Employees are counseled in the various options at the time of hire and during open enrollment

periods. Other changes in benefits may occur due to changes in status. Emporia State University

is obligated to honor any court-ordered garnishments and income withholding orders.

3C.05 REGENTS’ PAYROLL DEDUCTION

This service permits a voluntary election by the employee to pay fees, contributions, or payments

to various organizations approved by Payroll. Eligible programs for this deduction include ESU

Foundation, Athletic tickets, ESU Parking Permits, and Employees’ Association optional group life

insurance. Agreement forms must be completed with each service unit in accordance with the

established guidelines. Payroll does not administer the programs but offers this opportunity for

payroll deduction. By providing this service, ESU is not endorsing a particular service or product.

3C.06 SALARY PLAN

3C.0601 UNCLASSIFIED (FSB 75007 approved by President 5/13/76)

It is the policy of the Board of Regents and the University to award salary increases on the basis

of merit. Each department and school/college shall establish criteria for merit recognition

recommendations in accordance with the following statement adopted by the Faculty Senate.

It is the prerogative of the President to establish campus-wide guidelines and dollar amounts

for such matters as cost-of-living adjustments, inequity adjustments, and adjustments for

promotions and newly-earned degrees. In addition to such campus-wide guidelines as may be

established by the President, each department will establish explicit criteria for merit

adjustments, based on the contribution of the faculty member to the discipline, the academic

unit, and the institution, with full consideration to the standards and distinctiveness of each

discipline. Five areas should be considered: 1) instruction and student-related activities, 2)

scholarly activity and professional stature, 3) institutional involvement, 4) experience, and 5)

professional relations with the community, with priority resting on the first three areas. The

departmental criteria used to determine salary increases will be publicized within the unit.

3C.0601.01 MERIT INCREASES

Board of Regents policy dictates that all annual increases in salary funded by the State of

Kansas be merit based. The performance of each unclassified employee is evaluated

annually and salary increments given on the basis of merit. As such, in any given year there

is no guaranteed minimum increase for any unclassified employee. For example, if the State

of Kansas/Board of Regents approves a 2% increase in allocation, some unclassified

employees would receive more than a 2% and some less than a 2% increase. Based on

individual performance evaluations, some may receive no increase in salary.

3C.0602 UNIVERSITY SUPPORT STAFF revision approved by President 11/2013;

approved Board of Regents 1/2014)

The compensation system is determined by university administration. The compensation

system includes position descriptions, job titles, pay ranges, performance reviews and policies

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for movement between and within pay ranges. At initial conversion to university support staff,

each employee retains the same title and pay.

3C.0602.01 Salary and Title Management

The University is responsible for the development and implementation of a new title

management system in conjunction with a new salary system. Existing jobs and pay scales

will be evaluated and a comprehensive system implemented over a 2-4 year period. The new

salary administration plan will provide salaries equivalent or better than the current classified

service. The current classified system will be used until the new system is defined and

implemented. The current job classification system will also be used until the new title

management system is defined and implemented.

3C.0602.02 Pay Increases

Of salary increases, 2/3 of the total University Support Staff increase will be distributed

across the board to USS employee’s receiving satisfactory or above on their annual

performance review with the remaining 1/3 of the total University Support Staff increase to

be distributed through a merit process. Individuals appointed to a USS position will receive

no more than 1% beyond the total university percentage increase approved for USS. (For

purposes of illustration, a 3% increase is approve by the University for USS. Employees

receiving a satisfactory on their performance review will receive a 2% increase. The

greatest increase an employee in a USS position would be eligible for would be 4%.) Salary

increases, both general and merit based must be funded within the total increase dollars

allotted to the individual departments.

3C.07 LONGEVITY PAY – University Support Staff (revised 6/07; revised 10/2012)

Employees in University Support Staff service with 10 years or more of service qualify for a

longevity bonus. Longevity pay is added to base salary when calculating percentage for salary

increases and benefits, but is distributed as a lump sum during the pay period of the employee’s

anniversary date. Longevity for eligible employees will be paid minimally at a rate of $50 per year

of benefits’ eligible service with the State of Kansas, up to a maximum payment for 25 years of

service. (For purposes of illustration, an individual with 20 years of service would receive $1,000

at the calculated $50 per year. An individual with 30 years of service would receive $1,250 at the

calculated rate of $50 per year [$50 X the maximum 25 years of service].) This eliminates the State

of Kansas restriction of those who began service on/after June 15, 2008.

3C.08 ACCEPTANCE OF GIFTS (revised 2/4/08)

Kansas law prohibits any state employee from accepting or requesting meals, gifts, entertainment,

and travel with a few exceptions.

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What You Can Not Do

As a general rule, you are prohibited from soliciting or accepting free or discounted meals, the value

of which exceeds $25.00 unless a particular course of official action is expected to be followed,

from a source outside state government.

Exceptions to the meal rule are:

• Meals motivated by a personal or family relationship,

• Beverages and snack foods not offered as part of a meal,

• Meals provided at public events which you attend in your state capacity,

• Meals provided to you when it is obvious the meal is not being provided because of your

state position,

• Meals provided at the time you make a speech you provide in your state capacity,

• Meals provided to you at an event or meeting when your attendance at that event or meeting

serves a legitimate state interest and your attendance is properly authorized by an appropriate

ESU official.

As a state employee, you are prohibited from soliciting or accepting any gift because of your official

position. This includes, but is not limited to pens, pencils, mugs, and flowers.

You may not designate a friend, family member, or entity (for example, a charity) to receive a gift

that you cannot receive.

Exceptions to the gift rule are:

• Gifts valued at less than $40 given at ceremonies or public functions attended in your

capacity as a state employee,

• Gifts from relatives or personal friends,

• Gifts accepted on behalf of the state and which become state property.

You are prohibited from accepting gifts in the form of entertainment. Entertainment includes free

or discounted tickets or passes to events such as plays, concerts, games, golf, hunting, fishing, and

other recreational activities.

You may not receive discounted or complimentary registration fees to attend conferences and

seminars from any person or company because of your official position unless ESU would be willing

to pay for the registration fee.

You may not accept travel and/or lodging provided to you because of your official position by any

person or company. An exception to this travel expense rule exists when the state agency would be

willing to pay your expenses for travel, lodging, and related expenses.

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What You Can Do

The following can be accepted without violating the law:

• Gifts given to you by someone based on a personal relationship totally unrelated to your

state duties.

• Soft drinks, coffee, or snack foods not offered as part of a meal.

• Awards and plaques with a value of less than $40.00 presented in recognition of service to

the community, etc. when presented at a public ceremony.

• Prizes given in truly random drawings.

• Rebates, discounts or promotional items available to any citizen or to all state employees.

3C.09 FURLOUGH POLICY – UNCLASSIFIED EMPLOYEES (FSB 09012 passed by Faculty

Senate 4/6/2010; approved by President 4/26/2010)

A furlough is the placement of an employee in a temporary leave without pay status for a specified

number of days/hours within a specified time frame. A furlough is not a termination, layoff, or

reduction in workforce.

This policy is applicable to unclassified academic personnel (non-exempt and exempt) and

unclassified administrative personnel (non-exempt and exempt) appointed to regular, benefits-

eligible (50% or greater) positions, except as excluded below. The Governor of Kansas and

controlling State agencies may require ESU to implement mandatory furloughs of unclassified

employees. Mandatory furloughs may also be an option that may be implemented by the University

during times of budget constraints. In this case, it is the policy of the University that options other

than mandatory furloughs shall be implemented first, and that mandatory furloughs are to avoid or

delay layoffs and reductions in force due to budgetary constraints. The decision to implement a

furlough shall be made by the President after consultation with the full Faculty Senate, which shall

meet in executive session as appropriate. Any implemented furlough will be consistent with all

Kansas State and Federal laws in force at the time of the furlough action.

A furlough period can being any time during a fiscal year, but it must end no later than the end of

the fiscal year in which it was started. If another furlough period is necessary for the next fiscal

year, then its implementation shall follow the full process of this policy. Mandatory furloughs shall

be based on a specific, required budgetary reduction amount and shall be applied in order to achieve

those temporary savings during a specified time period. The reduction amount may be modified

during the period of budgetary constraint as the fiscal situation changes, resulting in a change to the

required furloughs.

Furloughs shall be based on salary tiers. Faculty/staff making higher base annual salaries shall be

assigned a larger proportion of the financial impact than those making lower salaries. The

calculation of required furloughs days/hours associated with salary tiers shall be described in an

implementation plan for the specific furlough period. The implementation plan shall be broadly

disseminated prior to its execution. Employees shall be given as much advance notice as possible,

but not less than 30 calendar days prior to implementation of the furlough plan.

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To the extent possible during a furlough time period, faculty/staff shall be allowed to choose the

timing of furlough days/hours. No form of paid leave can be substituted for furlough days.

Departmental supervisors/managers shall work with faculty/staff to identify in advance what

furlough days/hours shall be taken during the furlough period and to maintain effective operations

and services. Departmental supervisors/managers shall be required to plan staff furlough time in

a manner that allows for essential services to be provided. The President, Provost, Deans, Directors,

and Chairpersons are responsible for assuring that the requisite furloughs are taken within and

reported for units reporting to them.

If unclassified exempt faculty/staff are required to take furlough days, then such faculty/staff

members shall be considered as non-exempt for the work week in which the furlough occurs. They

are not allowed to work during the furlough time chosen or to work overtime hours during the week

in which the furlough time is taken. They shall report furlough days/hours taken through the same

mechanism that they report leave taken.

In accordance with the provisions of the Fair Labor Standards Act, unclassified non-exempt (hourly)

faculty/staff may take furloughs in appropriately sized increments (days, hours, fractional hours),

and they shall record furlough time when reporting hours worked. Unclassified non-exempt staff

are not allowed to work during the furlough days/hours chosen nor are they allowed to work

overtime hours during the week in which furlough days/hours are taken.

The following provisions shall apply to employee benefits and University standing:

• University monetary contributions to employee benefit plans shall not be reduced due to a

furlough action.

• University monetary contributions to employee retirement plans shall remain at pre-furlough

levels. Employee and University contributions to employee retirement and Social Security

plans may be reduced as required by applicable State of Kansas and/or Federal law.

• Unpaid furlough days shall be included for the purpose of calculating the amount of all leave

as well as employee service credit that employees accrue.

• The percentage of an employee’s work time reduction during a furlough shall be matched

by an equivalent reduction of the employee’s performance expectations for faculty

recognition considerations.

Exclusions and Special Circumstances

The following categories of employees are excluded from mandatory furloughs: faculty/staff

appointed to less than 50% regular positions, student employees, faculty/staff appointed to

temporary positions, and faculty/staff with a visa type of H1-B. In addition, a minimum salary tier

shall be established and faculty/staff whose annual base salary is within that minimum salary tier

shall be excluded from mandatory furloughs.

Faculty/staff who are 100% grant funded are excluded from mandatory furloughs. Faculty/staff who

are funded partially by federal grants, contracts or sponsored projects shall be excluded from

mandatory furloughs for that portion of their appointment which is not funded by state funds.

(Adjustment shall be made to the split-funded individual’s payroll distribution for the furlough

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impact, reducing state funding charges. The percentage level of effort charged against federally

funded projects shall be increased to reflect the appropriate relative effort spent on such sponsored

activity, in accordance with OMB Circular A-21 principles.)

3C.10 FINANCIAL EXIGENCY (approved by BOR 9/21/79; 5/20/83)

1. Definition

Financial exigency is the formal recognition by a Regents institution that known reductions in

budget or authorized number of positions have required the elimination of nontenured positions

and operating expenditures to such a point that further reductions in these categories would

seriously distort the academic programs of the institution; hence, further budget or position

reductions would require the nonreappointment of tenured members of the faculty or the failure

to meet the standards of notice for nonreappointment of faculty. It is not a requirement of

financial exigency that all nontenured positions throughout the University be first eliminated.

2. Procedure

It shall be the responsibility of the chief executive officer of each Regents institution, in

consultation with appropriate campus groups, to develop a plan for reductions in personnel as

necessitated by conditions of financial exigency.

In the event that financial conditions at a Regents institution may warrant the declaration of

financial exigency, the chief executive officer shall notify the Board of that fact and shall

provide a complete statement of the circumstances that may warrant the declaration of financial

exigency. The statement shall also include a review of all reasonable alternatives to financial

exigency. If the Board and the chief executive officers concur as the existence of a financial

exigency, it shall be the responsibility of the chief executive officer to so declare.

It shall be the responsibility of the chief executive officer to review the financially exigent

condition with the Board at such times and with such frequency as the Board may specify.

3C.11 PERSONNEL RETRENCHMENT POLICY (FSB 76008 approved by President 8/30/77;

FSB 79003 approved by President 12/5/79; updated 9/2010; FSB 12010 approved by

President 4/26/2013)

Decreases in enrollment, budget reductions, and/or a declaration of financial exigency may lead to

personnel retrenchment and the elimination of faculty position at the University.

If it is necessary, for the reasons stated above, for Emporia State University to embark upon

personnel retrenchment this action shall be in accordance with the criteria and procedures set forth

herein.

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For the purposes of this policy, personnel retrenchment may include the following actions:

• Lay-offs: Elimination of non-tenured and/or tenured faculty

• Lay-offs: Voluntary early retirement

• Decreased Appointments: Fractional appointments (e.g., half-time or 75% time)

I. Preliminary Procedures and Policies

A. In order for personnel retrenchment to include the elimination of tenured positions, a

declaration of financial exigency must be declared in accordance with the Financial

Exigency Policy found in the University Policy Manual.

B. In the event of a declaration of financial exigency or other circumstances warranting a

personnel retrenchment, it shall be the responsibility of the President, in consultation with

the University Personnel Retrenchment Committee, to develop a plan for reductions in

personnel.

C. General Criteria for Personnel Retrenchment Plan

When it is necessary to eliminate positions and thus terminate faculty, the criteria to be

considered follow in order or priority:

1. The ability of the University to accomplish its stated mission and to continue the

quality of its mission and services shall be maintained in making any determination

regarding the elimination of faculty.

2. First, unfunded or vacant positions will be eliminated. Second, positions occupied

by individuals holding temporary appointments will be eliminated. (For purposes

of this policy, tenured faculty members who participate in a phased retirement

program are not considered to be holding a temporary appointment.) Next, graduate

teaching assistants in unclassified positions will be eliminated.

3. When personnel retrenchment decisions affect only individuals in academic

probationary positions (i.e., tenure-track faculty), because no declaration of financial

exigency has been made, the elimination of positions shall be made in accordance

with the following considerations, in order of priority:

a. competencies, as defined by AAUP and as needed by the department, and the

individual’s performance evaluation;

b. compliance with the affirmative action/equal opportunity policies of the

University;

c. length of service at ESU.

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4. When retrenchment decisions may affect all faculty, because a declaration of

financial exigency has been made, the elimination of positions shall be made in

accordance with the following consideration, in order of priority:

a. Contingent faculty (i.e., those neither tenured nor in the tenure track) shall

be released before tenure-track faculty.

b. Tenure-track faculty shall be released before tenured faculty.

c. No termination should be made which would prevent any unit of the

University from performing the tasks considered essential.

d. Terminations should not be based on the decreasing demand for the services

of any unit over less than a 3-year historical period.

e. Terminations within a given unit should ordinarily be made according to

rank, and within rank according to years of service at ESU.

f. Termination should comply with the affirmative action/equal opportunity

policies of the University.

D. Consideration of Alternatives to Elimination of Positions

In developing the personnel retrenchment plan, the President shall minimize the number of

positions to be eliminated, to the extent possible, by considering other options including, but

not limited to, the implementation of one or more of the following:

1. Voluntary early retirement or phased retirement options may be developed and/or

encouraged by the University.

2. The Deans of the various schools/colleges and other administrative heads may be

encouraged to make genuine efforts to transfer tenured faculty members partially or

wholly to other positions in which they can perform competently.

3. Sabbaticals and leave without pay for retraining should be encouraged to develop

new competencies even if they cause temporary weakness (e.g., some essential

courses may not be offered for a brief time such as a semester or even a year).

II. The Initial Personnel Retrenchment Plan

A. The President shall present to the University Personnel Retrenchment Committee his/her

proposed Initial Personnel Retrenchment Plan (Initial Plan) and the criteria and data upon

which it is based. His/her Initial Plan shall include the following:

1. The number of faculty positions to be eliminated from each of the academic

schools/college;

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2. The timeline to be followed in processing the cutbacks; and

3. Such other information as is necessary for the Committee to make a responsible

review of the Initial Plan to determine whether it conforms with the personnel

retrenchment criteria in this document and serves the best interests of the University.

B. The standards of due notice of non-appointment stated in the University Policy Manual shall

not be violated even during periods of declared financial exigency. Any faculty affected by

this policy who so desired may avail himself/herself of the due process procedures of

Emporia State University as set forth in the University Policy Manual.

C. The University Personnel Retrenchment Committee shall submit in writing to the President

any recommendations, along with reasons for those recommendations, the committee may

have regarding the Initial Plan.

D. The President shall respond in writing to the University Personnel Retrenchment Committ4e

stating his/her acceptance or rejection of the committee’s recommendations and the reasons

for this decision.

III. Development of the Final Personnel Retrenchment Plan

A. The President shall present to the Provost and vice presidents of the University, as well as

the academic deans, the Final Plan and inform them how it would specifically affect their

respective colleges, schools, and/or administrative units.

B. Each dean shall present to his/her School/College Retrenchment Committee his/her proposed

plan for personnel retrenchment. The dean’s strategy shall include the following:

1. The number of positions to be eliminated from each of the departments.

2. The timeline to be followed in processing the cutbacks; and

3. Such other information as is necessary for the committee to make a responsible

review of the plan.

(The Dean of the School of Library and Information Management shall also present a

proposed personnel retrenchment strategy except that, inasmuch as the school does not have

separate departments, the dean shall work directly with the school’s personnel committee.)

C. Each School/College personnel Retrenchment Committee shall submit in writing to its dean

any recommendations, along with reasons for those recommendations, the committee may

have regarding its personnel retrenchment plans.

D. Each dean shall respond in writing to his/her School/College Personnel Retrenchment

Committee’s recommendations, stating the reasons for acceptance or rejection of the

committee’s plan.

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E. Each dean shall announce to the college’s department/division chairs the positions to be

eliminated in each department/division and the timeline to be followed n processing the

cutbacks.

F. Each department chair shall do the following:

1. Consult with the faculty in the department/division, or a representative committee

thereof, according to the procedures used in making of recommendations for tenure;

2. Notify in writing each individual involved of the intention to recommend him/her for

termination, and inform him/her of the right to be heard before the department

committee prior to the forwarding of a recommendation to the dean;

3. Arrange for each faculty member whose position is to be terminated an opportunity

to be heard before the department committee if he/she so requests; and

4. Finally, send to the dean a written statement of the department’s recommendations,

setting forth both the names of those individuals involved and the reasons pertaining

to each recommendation.

5. A department may propose a plan for fractional appointments and/or voluntary leave

without pay as an alternative to the release of any faculty member. Such a plan may

be recommended to the President of the University only if all faculty members in the

unit who are to participate have agreed to do so. Faculty members who accept a

fractional appointment in the event of retrenchment shall retain their full benefits,

such as insurance and retirement benefits, and privileges as if they were full-time

faculty members.

G. Each dean shall do the following:

1. Consult with the School/College Personnel Retrenchment Committee regarding the

recommendations of the departments;

2. Make such revisions in the school/college’s personnel retrenchment plan as may be

necessary;

3. Provide each faculty member whose position is to be terminated an opportunity to

have his/her case reviewed by the School/College Personnel Retrenchment

Committee; and

4. Submit his/her personnel retrenchment plan to the President of the University.

H. The President shall consult with the University Personnel Retrenchment Committee, review

with the Committee the plans of the various schools/colleges, and solicit the Committee’s

comments and criticisms. The President shall then prepare the Final Personnel

Retrenchment Strategic Plan in its final form. The University Personnel Retrenchment

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Committee shall be given the opportunity to state in writing if it differs with the President’s

Retrenchment Strategic Plan in any substantial way and the reasons for its disagreement.

I. Any individual affected by modifications in any committee’s proposed personnel

retrenchment plan has the same right to review at the proper level as those individuals who

were affected by recommendations before modifications were made.

J. The President of the University shall respond in writing to the University Personnel

Retrenchment Committee regarding its recommendations.

K. The President of the University shall formally announce to the Faculty Senate the Final

Personnel Retrenchment Strategic Plan of the University and shall proceed to implement the

program in accordance with the Personnel Retrenchment Policy and Procedures founds in

the University Policy Manual and other relevant operating procedures of the University.

IV. Retrenchment Committees

A. The University Retrenchment Committee. This committee shall have the following

membership:

1. The members of the Executive Committee of the Faculty Senate, excluding the

President of the University, and any non-faculty employees, shall be members. (The

designation of the Executive Committee is only for the purpose of establishing the

membership of the University Personnel Retrenchment Committee. The actions of

the Personnel Retrenchment Committee shall not be considered actions of the

Faculty Senate.)

2. The Affirmative Action Officer of the University shall be a member.

3. In addition to the Executive Committee, one elected representative from each of the

following, the School of Business; the School of Library and Information

Management; the Teachers College; the University Libraries and Archives; and the

College of Liberal Arts and Sciences, shall be members.

4. When the committee is considering actions relating to the potential personnel

retrenchment of non-tenured personnel, at least 1 non-tenured, tenure-track faculty

shall be a member.

B. The School/College Personnel Retrenchment Committee(s). The Schools of Business and

Library and Information Management; The Teachers College, the University Libraries and

Archives, and the College of Liberal Arts and Sciences each shall select a committee of its

faculty by a procedure adopted by its faculty. The following stipulations shall apply to the

selection procedure:

1. The dean and associate dean of the school/college and department chairs shall not

be a member.

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2. A representative of the Affirmative Action Officer of the University shall be a

member.

3. When the committee is considering action relating to the potential personnel

retrenchment of non-tenured, tenure-track faculty, at least 1 non-tenured person shall

be a member.

V. Recall Procedures

Positions added to the University after a period of retrenchment are to be assigned to units on

the same basis as other new positions, with the following exceptions:

A. Special consideration will be given to units which have released tenured faculty members

or have adopted a substitute plan to reduce positions by fractional appointments.

B. The University should make “every effort” to find another suitable position within the

institution for the affected faculty member. The position of a tenured affected faculty

member “will not be filled by a replacement within a period of 3 years, unless the released

faculty member has been offered reinstatement and a reasonable time in which to accept or

decline it.

C. After 3 years, but if within 5 years after termination of tenured faculty an academic unit is

granted permission to recruit to fill a new or vacated position, and before the position is

advertised, the Provost shall formally invite all former tenured faculty members to apply for

the position. Former faculty members who held tenure shall be offered such positions, when

qualified. A reasonable time (at least 30 days, but not to exceed 60 days) shall be given in

which they may accept or decline the position. It is the faculty member’s responsibility to

keep the University informed of current contact information in order to receive an invitation

to apply.

D. If an academic unit is reallocated a position after a period of personnel retrenchment and

there are no qualified tenured faculty members whom have been released from that unit

because of personnel retrenchment, then non-tenured, tenure-track faculty shall have

reinstatement rights. If, upon notification, such an individual applies for the reallocated

position, and the unit recommends that person for reappointment, the individual shall be

offered the position and given up to 2 additional years in building toward tenure if requested

by the faculty member. It is the faculty member’s responsibility to keep the University

informed of current contact information.

E. Faculty shall be reinstated at their former rank and tenure status and at a salary no less than

the existing salary at the time of personnel retrenchment unless salary reductions were

implemented across the University.

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3C.12 TIES BETWEEN CLASSIFIED SERVICE AND UNIVERSITY SUPPORT STAFF

(approved by President 11/2013; approved Board of Regents 1/2014)

Because of the historical ties between classified service and USS, when changes are made to the

State of Kansas classified service, ESU shall consider changes to similarly affected USS positions.

These considerations may include, but not necessarily be limited to:

• Retirement Incentive Programs

• Market Adjustments

• Changes to Recruitment Programs and Preferences

• Longevity Pay

• Leave Programs

3D. CONDUCT EXPECTATIONS

3D.01 AFFIRMATIVE ACTION PLAN (revised by Affirmative Action Officer 2/03; revised

by Affirmative Action Officer 1/04)

3D.0101 POLICY STATEMENT

It is the policy of Emporia State University to guarantee equal employment opportunity, equal

educational opportunity and non-discrimination in the operation and administration of all of its

programs and services. The University makes its decisions regarding the recruiting, employing,

promoting, and processing of all personnel matters without discrimination on grounds of race,

color, creed or religion, national origin, sex, sexual orientation, disability status, or other factors

which cannot lawfully be considered.

The University also reaffirms its policy of non-discrimination in all of its relationships with its

students and with the various publics which it serves. All of its programs, services, and benefits

will be administered in a manner sensitive to the needs of its students and free of discriminatory

practices on the basis of race, color, creed or religion, national origin, sex, sexual orientation,

disability status, and other factors which cannot lawfully be considered.

All supervisory personnel shall endeavor to create and promote a working and learning

environment that is free of unwelcome sexual advances, sexually or racially harassing language,

unwanted sexually suggestive remarks or any other sexually or racially harassing action.

Similarly, employees are encouraged to develop respectful and harmonious working

relationships with their fellow employees.

Emporia State University will intensify its effort to identify areas on campus in which women

and minorities are underutilized. It will continue to make good faith efforts to eliminate factors

which contribute to underutilization and to emphasize those factors which will permit its

departments and schools to realize their goals and timetables. The University will act

forthrightly and responsibly in making new appointments. As a public employer, each

supervisor and administrator at Emporia State University has the duty and responsibility to

adhere to the letter and spirit of the law in achieving this agency's affirmative action goals and

shall encourage all staff to support the achievement of these goals.

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Persons with questions concerning the policy may contact the Affirmative Action Officer.

Compliance with Laws

Through the policies and programs set forth in this plan, Emporia State University strives to

comply fully with all federal, state, and local laws relating to equal opportunity, equal

employment opportunity, and affirmative action.

This plan specifically addresses Emporia State University's obligations under Title VI and VII,

The Civil Rights Acts of 1964, as amended; Executive Order 11246, as amended, Revised Order

No. 4; the Equal Pay Act of 1963, The Rehabilitation Act of 1973; The Americans with

Disabilities Act of 1990; The Vietnam Era Veterans Rehabilitation Act of 1974; and Title IX

of the Education Amendments of 1972.

Implementation Responsibilities

Ultimate responsibility for implementation and monitoring as required by the provision of this

plan rest with the President of Emporia State University. However, management responsibilities

are shared by heads of the largest to the smallest units. Over-all responsibility for

implementation of this plan is delegated by the President to the Affirmative Action Officer.

Such responsibilities include but are not limited to: (1) developing policy statements for

Affirmative Action programs internal and external communication techniques; (2) identification

of problem areas; (3) assisting in arriving at solutions to problems; (4) designing and

implementing audit and reporting systems that: a. measure the effectiveness of this plan; b.

indicate need for remedial action; c. determine the degree to which goals and objectives have

been attained; (5) serve as liaison between Emporia State University and enforcement agencies

and all protected groups; (6) periodic audit of training programs, hiring and promotion patterns

to remove impediments to the attainment of goals and objectives; (7) regular discussions with

supervisors and employees to be certain that Emporia State University's policies are being

followed; (8) review of the qualifications of all employees to ensure that all individuals in

protected group classes are given full opportunities for transfers and promotions; (9) career

counseling for all employees; (10) periodic audits to ensure that each location is in compliance

in areas such as: a. posters properly displayed; b. equitable facilities; c. equal opportunity for

participation in educational, training, recreational and social activities; (11) making supervisors

aware that work performance is evaluated on the basis of their equal employment opportunity

efforts and results, as well as other criteria; (12) advise supervisors of their responsibilities to

take actions to prevent embarrassment of employees placed through affirmative action efforts.

3D.0102 DISSEMINATION OF PLAN

Copies of the Affirmative Action Policy are distributed to the Faculty Senate, the Student

Senate, and all advisory personnel. Copies are also available for the campus at large in the

University's library.

The fact that Emporia State University is an equal opportunity employer has been made known

to all employees, to prospective employees, and the community in the following ways:

1. Publicity in campus and community news media

2. Meetings and seminars with administrators and supervisory personnel

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3. Meetings with employees to discuss and explain the program

4. Discussing the program in orientation and training seminars

5. Advising union officials of the program

6. Including non-discrimination clauses in all union agreements and review of all

contractual provisions to insure that they are non-discriminatory

7. Publish articles covering EEO programs, progress reports, promotions, etc.

8. Post policies on bulletin boards

9. Inform all recruiting sources verbally and in writing of ESU's policy on equal

employment opportunity

10. Incorporate the phrase An Equal Opportunity Employer on University stationery and

publications

11. Notify minority, disabled, Vietnam Era Veterans, and women's organizations of our

program

12. Advise prospective employees of our program and where it can be read

13. Make copies of our program available to all our subcontractors

Audit of Employment Practices

Emporia State University conducts continuous reviews of all of its employment practices in

order to identify and eliminate any practices which may contribute to underutilization of

minorities and women or discrimination based on factors not pertaining to job performance.

These reviews include but are not limited to:

-- The initial application and interview procedure;

-- The application forms and related materials;

-- The content of job descriptions, in terms of its possible adverse effect on minorities or

women;

-- Any written pre-employment and promotional tests;

-- All job qualifications, including requirements for experience and education;

-- All criteria, such as arrest records, marital status, garnishments, and others, which may

be used as disqualifying factors for employment; and

-- All procedures and programs such as requirements or prior notice to current supervisors,

distribution of training benefits, and others, which bear upon opportunities for

advancement within Emporia State University.

Such employment practices are reviewed by the Affirmative Action Officer in consultation with

the Human Resources Director, Affirmative Action Advisory Council, and heads of the various

units within the institution.

3D.0103 AFFIRMATIVE RECRUITMENT

Emporia State University recognizes that preferential hiring on the basis of minority status, sex

or protected group is unlawful, even as a means of addressing underutilization.

Accordingly, the institution undertakes a vigorous program of affirmative recruitment for

minority group members and women in all job categories in which they are found to be

underutilized.

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In all positions, regardless of whether or not such underutilization exists, Emporia State

University pursues a program of open recruitment to avoid the possible discriminatory effects

on informal job networks and similar systems. Emporia State University's affirmative

recruitment program includes but is not limited to the following specific actions:

-- Review of existing recruitment procedures, identification of any procedures which may

have an unjustifiable adverse effect on minorities or women, and elimination of

procedures which do;

-- Development of search strategies for minorities and women for appointments;

-- Open posting of vacancy announcements;

-- Broad public announcement of vacancies;

-- Contracting sources of minority and women applicants;

-- Affirmative recruitment file; and

-- High-level monitoring of each recruitment effort for appointments at all levels.

Nepotism

See Nepotism Policy

Job Qualifications and Testing

Emporia State University does not select individuals for employment or promotion on the basis

of job qualification, written tests, or other criteria which screen out minorities, women, disabled

or Vietnam Era Veterans at a greater rate than others and which are not conclusively

demonstrated to be related significantly and directly to job performance.

Even those selection criteria which are so related to job performance but which also have

adverse impact on the employment opportunities of protected group members will be eliminated

and replaced by other valid selection criteria which do not have adverse effect, if such can be

accomplished without unreasonable cost or burden to the operations of the institution.

Retention, change, or abolishment of selection criteria which create adverse impacts shall be

in accordance with Title 41 CRF 60-3 (published by the U.S. Department of Labor).

Job classifications are analyzed in terms of the actual tasks performed, the frequency and

difficulty of performance, and the relative importance of specific employee traits and skills

needed to perform those tasks.

Such qualifications may include but are not limited to:

-- Educational requirements;

-- Requirements for specific job experience; and

-- Requirements for, and weight given to, personal references particularly those from

people to whom minorities and women are likely to have less favorable access than

others.

Career Development

Emporia State University recognizes that to some extent achievement of equitable distribution

of minorities, women, disabled and Vietnam Era Veterans throughout all job classifications in

the institution will be the result of initial assignments, subsequent transfers, promotions, and

training.

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To assure that protected group individuals are given access, affirmatively, to all positions and

lines of progressions within the institution, the following policies are considered.

1. Initial referrals for job interviews in operating units are made solely on the basis of valid job

qualifications and not in any way on the basis of stereotypical beliefs regarding appropriate

positions or units for various classes of persons.

2. All employees are permitted to apply through transfer, promotion, or otherwise for higher

or more favorable positions in the institution without advance approval by or notice to the

present supervisor. However, employees are expected to give adequate notice of a change,

as would be the case in accepting a position outside the institution.

3. All employees who apply and are not selected for such positions are so advised in writing.

The applications of protected group individuals who meet the valid qualifications for

positions but are not selected are placed on the affirmative recruitment file, if

underutilization of those groups has been found to exist in the positions for which the

applicants have applied.

4. The institution does maintain specific career ladders as a generally sound procedure in

personnel management as well as a measure to help assure that protected group individuals

will not be improperly relegated to dead end jobs.

5. In-house training programs are periodically reviewed for possible modification or expansion

to better achieve the purposes of this plan.

3D.0104 EXTERNAL RELATIONSHIPS: UNION, EMPLOYMENT AGENCIES,

CONTRACTORS

Nothing in this plan should be interpreted as invalidating any lawful provision of any contract

which exists between Emporia State University and a union or other duly established bargaining

agent of institution employees. Conversely, Emporia State University will not be a part of any

collective bargaining agreement, or any provision thereof, which violates equal employment

opportunity laws and regulations to which Emporia State University is subject. The appropriate

officials of all unions and other bargaining agents with which the institution has contracts will

be provided copies of this Affirmative Action Plan and advised of the responsibilities of all

employees, including union members.

All agencies through which Emporia State University recruits applicants are advised in writing

of the institution's policy of non-discrimination and that applicants must be referred without

discrimination on prohibited grounds.

Under procedures developed by the Affirmative Action Officer, in consultation with Human

Resources, the Affirmative Action Advisory Council and the operating units at Emporia State

University, the following records in support of this plan are kept:

1. Applicant flow data, by race, sex, national origin, physical disability, Vietnam Era Veteran,

and source of applicants (e.g., word-of-mouth, advertising in journals);

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2. Hires, any race, sex, national origin, physical disability, Vietnam Era Veteran;

3. Initial payment or assignment after hired, by race, sex, national origin, physical disability,

Vietnam Era Veteran, unit to which assigned, and position;

4. Transfers and promotions by race, sex, national origin, physical disability, Vietnam Era

Veteran, position and unit from which transferred or promoted and position and unit to

which transferred or promoted; and

5. Voluntary and involuntary terminations, by race, sex, national origin, physical disability,

Vietnam Era Veteran, type of termination, and reason thereof.

The Affirmative Action Officer reviews all of the above records at least annually to assure

compliance with all aspects of this plan and prepares an annual report for the President

regarding compliance with the plan and progress toward its objectives. This report includes

recommendations and changes that the Affirmative Action Officer believes are necessary for

the program to better achieve its purposes. Also, included in this report is a review of goal

achievement and reasons for failure(s); if any exist.

3D.0105 EQUAL EDUCATIONAL OPPORTUNITY

Emporia State University does not discriminate on grounds of age, race, color, religion, gender,

marital status, national origin, handicap or disability, status as a Vietnam Era Veteran, sexual

orientation, or any other factors which cannot lawfully be considered in providing any

educational or other benefits or services of Emporia State University. Emporia State University

is committed to the proposition that the proportions of minorities and women in its student

population should be increased in specific areas of study in order to assure their adequate

representation in future labor markets–both within the institution and elsewhere–for positions

which are desirable with respect to career potential.

Emporia State University undertakes a practice of vigorous affirmative recruitment for minority

and women students through such procedures as visiting schools that have large concentrations

of those groups in their student bodies.

Individual acts of unlawful discrimination by faculty or administrative personnel in Emporia

State University's treatment of students in the teacher/student relationship and otherwise is

regarded as actionable under the grievance procedures set forth in this plan. Such acts include,

but are not limited to, defamatory statements made by faculty members in class or by other

employees in the course of their work which demean or insult individuals because of their race,

sex, national origin, physical disability, Vietnam Era Veteran, or other covered characteristic.

People are not prohibited in any way from holding or expressing an opinion nor is their mere

holding or expressing of an opinion grievable under the grievance procedure set forth in this

plan.

Emporia State University is committed to providing equal athletic opportunity to both males and

females in, but not limited to, the following areas: quality of equipment and supplies,

scheduling of games and practice time, travel and per diem allowances, opportunity to receive

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coaching and academic tutoring, assignment and compensation of coaches and tutors, provisions

of locker rooms, practice and competitive facilities, provision of medical and training facilities

and services, provision of housing and dining facilities and services, publicity.

Utilization Analysis

To determine if minorities and women are being properly utilized at Emporia State University

a Utilization Analysis is conducted each year. This is done by conducting a workforce analysis,

an analysis of the availability of minorities and women in the labor market, and an

underutilization analysis.

Workforce Analysis

The first step is to list each position as it appears in the department's payroll record, ranked from

lowest paid to highest paid. If there are separate work units or lines of progression within a

department, a separate list must be drawn up for each unit or line. (For example, if there are

both official and non-official staff in the same department with different lines of progression,

a separate line must be drawn for each.) For lines of progression, the order of jobs in the line

through which an employee could move must be listed. If there are no formal lines of

progression, the order of jobs in the line through which an employee can move must be listed.

If there are no formal lines of progression or promotional sequences, job titles should be listed

by department, job family, or job discipline, in order of salary range of wage rate.

Totals for each job title must be listed for the following: the total number of current job-holders;

the total number of male and female job-holders in each of the following groups–white, black,

Hispanic, Native American and Asian American. The wage rate or salary range for each job title

must be listed. All jobs, including managerial and executive titles, must be listed.

Availability Analysis

After job groups have been identified, minority and female availability data must be analyzed

separately for each job group. A separate analysis should be done for minorities and women.

In determining minority and women availability analysis departments should compile data on:

l) the minority and women population and their employment in the national labor force; 2)

percentage of minorities and women in the total national workforce; 3) availability of minorities

and women with requisite skills in the national labor force, and in areas in which departments

can reasonably recruit.

Underutilization Analysis

The final step in the Utilization Analysis process is the comparison of the availability analysis

data with current utilization in each job group identified in the department's workforce. This

comparison is designed to determine if there is an underutilization of minorities and/or women.

Underutilization means having fewer minorities or women in a particular job classification than

would reasonably be expected by their availability. Whenever the percentage of total minorities

or women in a job or group of jobs is lower than the percentage of minorities or women

available in the applicable labor force, the Affirmative Action Program must specifically state

that underutilization of minorities and women exists.

In determining underutilization, the departments should also examine the following: 1) the

availability of promotable and transferrable minorities and women in Emporia State University's

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own workforce; 2) the existence of training programs (internal or external); and 3) the degree

of training the departments can undertake.

Goals and Timetables

Departments must set up specific goals, timetables, and affirmative action programs to correct

any deficiencies spotted in the utilization analysis. The goals and timetables, and other relevant

programs, must be included as part of Emporia State University's Affirmative Action Program.

If departments do not have goals, explanations as to why must be given.

Goals and timetables must be set separately for minorities and women. If numbers and

percentages are relevant, they should be included. All goals and timetables must be backed up

by data and analyses.

Goals. Where underutilization exists, annual and ultimate percentage goals which are not less

than the availability percentage, must be established for each underutilized job group. If

opportunities are anticipated, an annual numeric goal must also be set if underutilization is equal

to one-half person or more.

Timetables. A specific timetable should be established for reaching the goal specified for each

job group. This timetable should be determined by the minimum feasible time period necessary

to reach the ultimate goal established. The year for ultimate goal achievement must be

established for a time not more than 6 years in the future.

Guidelines for goal-setting. In developing goals and timetables to correct underutilization, the

department should: 1) involve Affirmative Action Officer, department chair and dean in the

process; 2) set goals that are significant, measurable and attainable; 3) make goals specific for

planned results; and 4) avoid rigid and inflexible quotas that must be met; instead goals should

be attainable if all good faith efforts are made.

Graduate Assistantship Announcements (2/09)

In order to assure equal opportunity of employment for graduate students seeking assistantships,

the following procedures have been adopted:

1. The Graduate office develops, annually, an Assistantship Opportunities Booklet. The

booklet is available in PDF format on the Graduate office web site

(http://www.emporia.edu/grad/pub.htm).

The booklet includes the following information:

(a)the hiring departments/areas; (b) a brief job description; ©) type of assistantship available

(teaching, research, or administrative); (d) stipend/salary information; (e) application

deadline (if applicable); and (f) contact information.

2. Prospective students inquiring about available graduate assistantships are referred to this

document on the Graduate web site and their major department.

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3D.0106 HARASSMENT, SEXUAL VIOLENCE, DISCRIMINATION PREVENTION

POLICIES AND PROCEDURES (approved by President 4/04; revised, approved

by President 6/17/09; revised, approved by President 10/09/2014) [This policy is

subject to modification as necessary to remain in compliance with the spirit of

anticipated federal regulations applicable to this policy, as well as with the final

regulations once published and effective.]

Emporia State University seeks to create an atmosphere that recognizes and protects an

environment of acceptance and inclusion for all members of the university community,

including, but not limited to, faculty, staff, and students. Emporia State University prohibits all

forms of discrimination including all types of harassment, sexual violence, and all other types

of violence. Federal law and university policy (see Explanations section) protect a number of

groups from unlawful discrimination. The University makes all decisions with reference to

employment status and student status without regard to age

, race

, color

, religion

, gender

sex

, marital status

, national origin

, disability status

, veteran status

, sexual orientation

parental status, gender identity, gender expression and genetic information

(“gender” refers to

a person’s identity or expression as a male or female, regardless of their sex), ethnicity or any

other factors which cannot lawfully be considered, to the extent specified by applicable federal

and state laws. Moreover, the university regards inappropriate behavior, unfair treatment, acts

of sexual violence, or harassment of any individual to be inconsistent with its goal to provide

an environment in which members of the university community can develop intellectually,

professionally, personally, and socially. This policy applies to employees, students, applicants

for employment or admission, contractors, vendors, visitors, guests, and participants in

University sponsored programs or activities, both on and off campus.

Emporia State University prohibits all forms of harassment and violence including domestic

violence, dating violence, sexual assault and stalking. The institution has educational and

training programs designed to prevent such offenses. Educational/prevention programs

designed for students are generally developed within the Wellness Center. Training programs

directed toward faculty and staff focusing on prevention are generally implemented by Human

Resources and Student Affairs.

Through the use of web-sites, brochures, and direct dialogue, the University makes victims

aware of the procedures to be followed in the event of a sex offense, domestic violence, dating

violence, sexual assault, or stalking. Information related to services for victims such as:

Age Discrimination Act of 1975, Age Discrimination in Employment Act of 1967

Title VI & VII of the Civil Rights Act of 1964

Title VII of the Civil Rights Act of 1964

Title VII of the Civil Rights Act of 1964, Equal Pay Act of 1963, Pregnancy Discrimination Act of 1978, Title IX of

Education Amendments of 1972

Emporia State University Equal Employment & Educational Opportunity and Non-Discrimination Policy

Americans with Disabilities Act of 1990, Sections 503 & 504 of the Rehabilitation Act of 1973

Vietnam Era Veteran’s Readjustment Act of 1974, Uniform Services Adjustment and Re-Adjustment Act of 1994

Kansas Board of Regents Policy and Procedures Manual, Policy on Affirmative Action and Equal Opportunity

Genetic Information Nondiscrimination Act “sex” refers to whether a person is a male or female

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counseling, health, mental health, victim advocacy, legal assistance, both on campus and within

the community will be made available to students and employees as described above.

The University will make available, when requested by victims, assistance with changing

academic schedules, living arrangements, transportation, and working situations. Such

reasonable accommodations shall be available whether, or not, the victim chooses to report the

crime to campus police or local law enforcement.

The Executive Director of Human Resources and Affirmative Action serves as the University

Title IX Coordinator and has been designated to handle inquiries regarding HARASSMENT,

SEXUAL VIOLENCE, AND DISCRIMINATION policies. Contact the Executive Director

of Human Resources and Affirmative Action in the Office of Human Resources, phone 620-

341-5379. This position is also responsible for implementation of a campus-wide harassment

training program for faculty and staff. This training shall be mandatory for University

employees and appropriate training records will be maintained.

This University has adopted a policy on the Use of Controversial Material in Instruction,

Including the Use of Sexually Explicit Materials in Instruction (University Policy Manual

4E.0301) that complies with the Kansas Board of Regents’ policy on this issue. The

harassment, sexual violence, and discrimination policies and procedures described herein shall

be followed for the reporting, investigation, handling, and disposition of all complaints by any

person regarding University Policy 4E.0301.

3D.0106.01 EXPLANATIONS

The Age Discrimination in Employment Act of 1967 prohibits discrimination against

individuals who are at least 40 years of age. Discrimination is prohibited in all terms and

conditions of employment including: hiring, firing, compensation, job assignments, shift

assignments, discipline, and promotions.

Age is also addressed in the Age Discrimination Act of 1975. Under this act no person shall,

on the basis of age, be excluded from participation in, be denied the benefits of, or be subject

to discrimination under any program or activity receiving Federal financial assistance.

Employment discrimination based on race, color, religion, sex, or national origin is

prohibited under Title VII of the Civil Rights Act of 1964. It is unlawful for an employer

to fail or refuse to hire or to discharge any individual or otherwise to discriminate against

any individual with respect to his/her compensation, terms, conditions, or privileges of

employment.

Under Title VI of the Civil Rights Act of 1964 no person on the basis of race, color, or

national origin be excluded from participation in, denied the benefits of, or be subjected to

discrimination under any program or activity receiving Federal financial assistance.

The Equal Pay Act of 1963 prohibits discrimination on the basis of sex in the payment of

wages or benefits, where men and women perform work of similar skill, effort, and

responsibility for the same employer under similar working conditions.

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The Pregnancy Discrimination Act of 1978 is an amendment to Title VII of the Civil Rights

Act of 1964. Therefore, discrimination on the basis of pregnancy, childbirth or related

medical conditions constitutes unlawful sex discrimination under Title VII. Women affected

by pregnancy or related conditions must be treated the same as other applicants or employees

with similar abilities or limitations.

Title IX of the Education Amendments of 1972 prohibits discrimination on the basis of sex.

Individuals cannot, on the basis of sex, be excluded from participation in, denied the benefits

of, or be subjected to discrimination, sexual harassment, or sexual violence, under any

program or activity receiving Federal financial assistance.

The Americans with Disabilities Act of 1990 prohibits an employer from discriminating

against a qualified applicant or employee because of his/her disability. To be protected

individuals need to be qualified and able to perform the job with or without reasonable

accommodations from the employer.

Discrimination based on disability in any program or activity receiving Federal financial

assistance is prohibited under Sections 503 and 504 of the Rehabilitation Act of 1973.

The Vietnam Era Veterans’ Readjustment Assistance Act of 1974 prohibits discrimination

based on veteran status in federally assisted programs and it requires affirmative action to

employ and advance in employment of veterans. Veterans protected by this act are Vietnam

era veterans, special disabled veterans, and veterans who served on active duty during a war

or in a campaign or expedition for which a campaign badge has been authorized.

Gender Identity: The gender that a person claims for oneself – which may or may not align

with the gender at birth.

Gender Expression: How a person behaves, appears, or presents oneself with regard to

societal expectations of gender. This may include clothing, hairstyle, facial make-up, vocal

inflection, posture, and behavior regardless of the individual’s biological sex.

3D.0106.02 DEFINITIONS

3D.0106.02.01 SEXUAL HARASSMENT AND SEXUAL VIOLENCE

Emporia State University prohibits sexual harassment as defined below. Sexual

harassment is a form of sex discrimination that is illegal under Title VII of the Civil

Rights Act of 1964 for employees, under Title IX of the Education Amendments of 1972

for students, and the Kansas Acts Against Discrimination. Retaliation against an

individual for making a complaint of sexual harassment is also considered to be sex

discrimination and is therefore likewise illegal. No member of the 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, and other verbal or

physical conduct of a sexual nature.

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Sexual Harassment: “Sexual Harassment” means behavior, including physical contact,

advances, and comments in person, through an intermediary, and/or via phone, text

message, email, social media, or other electronic medium, that is unwelcome; based on

sex or gender stereotypes; and is so severe, pervasive and objectively offensive that it has

the purpose or effect of substantially interfering with a person’s academic performance,

employment or equal opportunity to participate in or benefit from University programs

or activities or by creating an intimidating, hostile or offensive working or educational

environment. Sexual Harassment may include but is not limited to:

1. unwelcome efforts to develop a romantic or sexual relationship;

2. unwelcome commentary about an individual’s body or sexual activities;

3. threatening to engage in the commission of an unwelcome sexual act with another

person;

4. stalking or cyberstalking;

5. engaging in indecent exposure, voyeurism, or other invasion of personal privacy;

6. unwelcome physical touching or closeness such as unnecessary touching, patting,

hugging, or brushing against a person’s body;

7. unwelcome jokes or teasing of a sexual nature or based upon gender or sex

stereotypes; and

8. sexual violence, as defined below.

Sexual Violence: “Sexual violence” means any physical act which is sexual in nature

that is committed by force or without the full and informed consent of all persons

involved. Sexual violence may include but is not limited to rape, sexual assault, sexual

battery, and sexual exploitation. Sexual violence can occur between strangers or

acquaintances, including people involved in an intimate or sexual relationship. Sexual

violence can be committed by men or by women, and it can occur between people of the

same or different sex.

Sexual Misconduct: Any unwelcome behavior of a sexual nature that is committed

without consent or by force, intimidation, coercion, or manipulation. Sexual misconduct

can occur between persons of the same or different sex and is represented by a

continuum of conduct from forcible rape and sexual assault to non-physical forms of

pressure that compel individuals to engage in sexual activity against their will. It

includes any physical contact of a sexual nature that is committed either by force,

coercion, intimidation, or manipulation or through the use of a person’s mental or

physical incapacity, including incapacitation caused by the use of drugs or alcohol.

Consent: A freely and affirmatively communicated willingness to participate in sexual

activity, expressed either by words or clear, unambiguous actions. It is the responsibility

of the initiator of the sexual activity to ensure he or she has the other person’s consent

to engage in sexual activity. Consent must be present throughout the sexual activity by

all parties involved. At any time, a participant can communicate that he or she no longer

consents to the continuing activity.

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Consent may never be:

a. obtained through the use of force, coercion, intimidation, or manipulation or

if the individual is mentally or physically disabled or incapacitated, including

through the use of drugs and/or alcohol, or

b. assumed because of the existence of a dating relationship between the

persons involved or due to the existence of a current or previous sexual

relationship between the persons.

Dating Violence: Violence that occurs between individuals who are in a dating

relationship. For the purposes of this definition, “dating relationship” means a social

relationship of a romantic nature. In addition to any other factors the university may

consider the following when making a determination of whether a relationship exists or

existed: nature of the relationship, length of time the relationship existed, frequency of

interaction between the parties and time since termination of the relationship, if

applicable.

Sexual Assault: Includes any physical contact of a sexual nature that is committed either

by force, coercion, intimidation, or manipulation or through the use of a person’s mental

or physical incapacity, including incapacitation caused by the use of drugs or alcohol.

The following definitions, adapted from the Kansas Statutes, are used by university

personnel when conducting an investigation of sexual misconduct. To access the original

statute, please refer to http://kslegislature.org/li/.

Domestic Violence (K.S.A. 21-5111) The act or threatened act of violence against a

person with whom the offender is involved or has been involved in a dating relationship,

or an act or threatened act of violence against a family or household member by a family

or household member. Domestic violence also includes any other crime committed

against a person or against property, or any municipal ordinance violation against a

person or against property, when directed against a person with whom the offender is

involved or has been involved in a dating relationship or when directed against a family

or household member by a family or household member.

“Family or household member” means persons 18 years of age or older who are spouses,

former spouses, parents or stepparents and children or stepchildren, and persons who are

presently residing together or have resided together in the past, and persons who have

a child in common regardless of whether they have been married or have lived together

at any time. Family or household member also includes a man and woman if the woman

is pregnant and the man is alleged to be the father, regardless of whether they have been

married or have lived together at any time.

Sexual Intercourse (K.S.A. 21-5501) “Sexual intercourse” means any penetration of the

female sex organ by a finger, the male sex organ or any object. Any penetration,

however slight, is sufficient to constitute sexual intercourse.

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Sodomy (K.S.A. 21-3501) “Sodomy” means oral contact or oral penetration of the

female genitalia or oral contact of the male genitalia; anal penetration, however slight,

of a male or female by any body part or object; or oral or anal copulation or sexual

intercourse between a person and an animal.

Rape (K.S.A. 21-5503)

1. Knowingly engaging in sexual intercourse with a victim who does not consent to the

sexual intercourse under any of the following circumstances:

a. when the victim is overcome by force or fear; or

b. when the victim is unconscious or physically powerless;

2. Knowingly engaging in sexual intercourse with a victim when the victim is incapable

of giving consent because of mental deficiency or disease, or when the victim is

incapable of giving consent because of the effect of any alcoholic liquor, narcotic,

drug or other substance, which condition was known by the offender or was

reasonably apparent to the offender;

3. Sexual intercourse with a child who is under 14 years of age;

4. Sexual intercourse with a victim when the victim’s consent was obtained through a

knowing misrepresentation made by the offender that the sexual intercourse was a

medically or therapeutically necessary procedure; or

5. Sexual intercourse with a victim when the victim’s consent was obtained through a

knowing misrepresentation made by the offender that the sexual intercourse was a

legally required procedure within the scope of the offender’s authority.

Acquaintance Rape: Rape which occurs by someone the victim knows.

Stalking (K.S.A. 21-5427) (a) Stalking is:

1. Recklessly engaging in a course of conduct targeted at a specific person which would

cause a reasonable person in the circumstances of the targeted person to fear for such

person’s safety, or the safety of a member of such person’s immediate family and the

targeted person is actually placed in such fear;

2. Engaging in a course of conduct targeted at a specific person with knowledge that

the course of conduct will place the targeted person in fear for such person’s safety

or the safety of a member of such person’s immediate family; or

3. After being served with, or otherwise provided notice of, any protective order

included in K.S.A. 21-3843, prior to its repeal or K.S.A. 2013 Supp. 21-5924, and

amendments thereto, that prohibits contact with a targeted person, recklessly

engaging in at least one act listed in subsection (f)(1) that violates the provisions of

the order and would cause a reasonable person to fear for such person’s safety, or the

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safety of a member of such person’s immediate family and the targeted person is

actually placed in such fear.

3D.0106.02.02 RACIAL AND/OR ETHNIC HARASSMENT

Racial and/or ethnic harassment is a form of discrimination that is illegal under Title VII

of the Civil Rights Act of 1964. No member of the university community shall engage

in racial or ethnic harassment. Retaliation against an individual for making a complaint

of racial and/or ethnic harassment will be treated as a violation of the racial and/or ethnic

harassment policy. For the purpose of this policy, racial and/or ethnic harassment is

defined as ethnic slurs and other verbal or physical conduct relating to race, ethnicity, or

racial affiliation that:

1. has the purpose or effect of creating an intimidating, hostile, or offensive work or

academic environment;

2. has the purpose or effect of unreasonably interfering with an individual's work

performance, academic performance, living environment, if residing in University

housing, or participation in any university-sponsored activity;

3. otherwise adversely affects an individual's academic or employment opportunities;

4. is not legitimately related to the subject matter of a course.

Racial and/or ethnic harassment may be blatant or subtle. Examples of the conduct that

is prohibited include, but are not limited to:

< derogatory name calling or language based on cultural stereotypes;

< incidents or behaviors which are derogatory to a racial or ethnic group; or

< repeated ignoring or excluding of one's presence or existence in a University setting.

3D.0106.02.03 OTHER HARASSMENT

No member of the university community shall engage in harassment on the basis of age,

color, religion, marital status, national origin, disability status, veteran status, sexual

orientation, or on any other factor that violates state or federal discrimination law. For

the purposes of this policy, such aforementioned harassment is defined as unwelcome

verbal and/or physical conduct which:

1. Has the purpose or effect of creating an intimidating, hostile, or offensive work or

academic environment;

2. Has the purpose or effect of unreasonably interfering with an individual’s work

performance, academic performance, living environment, if residing in University

housing, or participation in any university-sponsored activity;

3. Otherwise adversely affects an individual’s academic or employment opportunities;

or,

4. Is not legitimately related to the subject matter of a course.

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3D.0106.03 ROLE OF THE AFFIRMATIVE ACTION OFFICER AND TITLE IX

COORDINATOR

The Affirmative Action Officer will assist in the complaint process, however, is not

permitted to be an advocate for either party and is obligated to assure fairness to both parties

and to protect the University's interests.

The Title IX Coordinator will oversee investigations when the university receives a

complaint regarding a violation of Title IX.

For inquiries regarding Affirmative Action and/or Title IX, contact the Executive Director

of Human Resources and Affirmative Action in the Office of Human Resources, phone 620-

341-5379.

3D.0106.04 AFFIRMATIVE ACTION ADVISORY COUNCIL

The Affirmative Action Advisory Council (hereafter referred to as the "Council") includes

seven representatives appointed annually by the President of Emporia State University.

Representatives, except for students, are appointed to serve 3 year terms with at least one

representative completing his/her term each year. Student representatives are appointed to

serve 1 year terms. However, a reappointment to serve consecutive terms may be considered

with the approval of the Affirmative Action Officer and the President of the University.

The representatives will be appointed as follows: two faculty representatives, one

professional staff representative from Student Affairs, one professional staff representative

at-large, one representative from university support staff, and two representatives from the

student body. The Affirmative Action Officer meets with the Council and serves as an

ex-officio member.

If a Council member has a conflict of interest he/she may request to be excused from the

meetings and hearing pertaining to the specific complaint(s). These requests should be made

to and discussed with the Affirmative Action Officer.

The Council meets at least once a semester and more often as circumstances warrant. The

purpose of the Council is to assist and advise the Affirmative Action Officer in the planning,

development, and implementation of the program and to review Emporia State University's

affirmative action policy and recommend changes as needed. The Council will also serve

as the grievance committee when formal complaints alleging harassment and/or

discrimination are filed.

3D.0106.05 GRIEVANCE PROCEDURES FOR FACULTY, STAFF, AND

STUDENTS

Procedures for the resolution of complaints should be thorough yet expeditious to the extent

possible. These procedures are specifically designed to process complaints which fall within

the purview of the university's affirmative action and harassment and/or discrimination

policies and which involve university personnel or students as principals. Complaints filed

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under these grievance procedures involve discrimination and/or harassment and shall not be

used in addition to other existing university grievance procedures.

Emporia State University has an informal (except for sexual misconduct) and formal means

to resolve complaints of harassment and/or discrimination. Informal complaints may be

reported either in writing or orally whereby a resolution is agreed upon by both parties

through informal means. Formal complaints must be reported in writing and result in a

formal investigation, as described below. All complaints of harassment or discrimination

should be reported to the Affirmative Action Officer.

A. Procedures

1. Discrimination Complaint Resolution Process

Any complaint that includes allegations of sexual violence, which also includes other

forms of discrimination and/or harassment, shall be treated as sexual violence for all

purposes. Emporia State University will resolve discrimination complaints in a

timely and effective manner and provide prompt corrective action if discrimination

is believed to have occurred. The discrimination complaint resolution process is

intended to provide effective resolution for complaints of discrimination on the basis

of race (including racial harassment), religion, color, sex (including pregnancy,

sexual harassment, and sexual violence), disability, national origin, ancestry, age,

status as a veteran, sexual orientation, marital status, parental status, gender identity

and gender expression. Affected persons, including students, faculty, staff,

community members or others involved in University events or programs, may

utilize the process to address complaints of discrimination related to University

hiring and selection procedures, employment practices, conditions of employment,

personnel actions, or University educational programs and activities.

2. Who may Utilize the University Discrimination Complaint Procedures

Any person claiming to be aggrieved by a prohibited discriminatory practice at

Emporia State University may contact Human Resources, phone 620-341-5379.

Individuals who may use this procedure include, but are not limited to: individuals

applying for enrollment or employment with the university; students; faculty,

including those with visiting appointments; teaching or research assistants; university

support staff; unclassified employees; university administrators; and other persons

receiving university services or participating in university programs. A person in the

university community may ask the Office of Human Resources to initiate an

investigation of a specific matter. The Office of Human Resources may also initiate

an investigation when it has reason to believe that discriminatory or retaliatory

action, has, or is occurring.

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3. Complaint Resolution Actions and Procedures

The process for resolving discrimination complaints may include some or all of the

following actions: informal inquiry and discussion, mediation (except in cases of

sexual harassment), disciplinary action, or other appropriate action. If the subject

matter or issue of the complaint does not fall within the jurisdiction of this policy,

Human Resources staff will advise the complainant of other available procedures.

In many cases, individuals will take appropriate corrective action when they are

made aware of how their actions or behaviors are being perceived. If the

complainant is comfortable doing so, he or she may bring the concerns to the

attention of the person responsible for the behavior or action. Complainants who

choose not to address the discrimination directly on their own or through other

informal processes may seek the assistance of the Office of Human Resources, phone

620-341-5379.

4. Who Must Report Discriminatory Actions

Responsible employees serving in leadership roles in the University are responsible

for nondiscrimination in their employment, academic environments, and co-

curricular living and learning environments. Deans, directors, chairpersons, or other

administrators or supervisors, including faculty members, graduate teaching

assistants, and academic advisors shall contact the Office of Human Resources to

initiate an investigation within their area of responsibility if they know or have

reason to believe that discriminatory practice(s) may have occurred.

Responsible employees are obligated to report complaints of harassment, sexual

violence and/or discrimination to the Affirmative Action Officer and/or Title IX

Coordinator. In some instances the responsible employee may have addressed the

complaint; however the obligation to report to the Affirmative Action Officer/Title

IX Coordinator still exists. Complaints must be filed within 180 calendar days of the

alleged behavior, remain confidential, and will not be disclosed to anyone who does

not have a need to know, to the extent possible to resolve.

All other complaints containing an allegation of sexual violence may be made at any

time without limitation.

Responsible Employees

Any employee of Emporia State University who a student could reasonably

believe to have the authority or duty to take action to address sexual violence

excluding any employee bound by privilege and confidential relationships,

such as licensed counselors or legal counsel.

An employee who has been given the duty of reporting incidents of sexual

violence or any other misconduct by students, faculty, staff, and others to the

Title IX Coordinator or other appropriate school designee.

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5. Informal Resolution for Harassment and Discrimination (Excluding Sexual Violence)

a. The individual making the complaint ("the complainant") should first discuss

the allegation(s) with the individual(s) perceived as harasser(s). It is

understood that in some circumstances this step would not be possible or

advisable.

b. If the discussion does not lead to a resolution or the complainant elects not

to exercise the first step, the complainant may elect to discuss the

allegation(s) with the department chair or director (hereafter referred to as the

"responsible administrator") supervising the faculty, staff, or student alleged

to be engaging in the discriminatory or harassing behavior. For students with

complaints of harassment or discrimination by other students, the responsible

administrator would be the Dean of Students.

c. The responsible administrator should conduct an inquiry into the matter. If

a reasonable basis is determined, an attempt will be made to bring about a

resolution to which both the complainant and the respondent(s) agree. If the

responsible administrator is already aware of the behavior that is the subject

of the complaint, the complainant should contact the Affirmative Action

Officer. It is expected that informal resolution will be handled expeditiously

and completed within a reasonable length of time. The Affirmative Action

Officer is available for assistance in this process.

d. If a mutually satisfying resolution is not reached, or if the complainant elects

not to pursue the informal resolution process, a formal complaint may be

filed to begin the Formal Resolution process.

6. Formal Resolution for Harassment and Discrimination (Excluding Sexual Violence)

a. The complainant should file a complaint with the Office of Human

Resources. The complainant will complete a Formal Complaint form

providing the basis of the alleged harassment and/or discrimination, a

description of the incident(s) related to the alleged discrimination, and the

remedy desired. The Affirmative Action Officer will conduct an interview

with the complainant to clarify and get a thorough understanding of the

complaint. A formal complaint should generally be resolved within 60

calendar days, though extensions may be generated for good cause at the

discretion of the Affirmative Action Officer.

b. The Affirmative Action Officer will meet with the respondent as soon as

possible and give him/her a verbal explanation and a written statement of the

complaint. The respondent will then have the opportunity to respond. The

respondent will be cautioned about retaliation and a follow-up meeting to

discuss his/her response will be scheduled. Following the initial meeting the

respondent will have 5 working days to give his/her formal, written response

to the complaint.

c. At the follow-up meeting with the respondent, the Affirmative Action Officer

will review the respondent's written response and conduct an interview to

clarify and get a thorough understanding of his/her response.

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d. In addition to interviews with the complainant and the respondent, the

Affirmative Action Officer may interview other parties who have specific

knowledge about the alleged incident(s). Individuals who are interviewed

will be informed that confidentiality must be maintained and the fact that an

investigation is underway should not lead to any conclusions or assumptions.

These interviews will be conducted within 30 calendar days of receipt of the

complaint. However, this timeframe may be extended based on factors such

as, but not limited to, schedule and availability of witnesses, holidays or

semester breaks including summer break, and complexity of the complaint.

If an investigation cannot be completed within 30 days of receipt of the

complaint, then the investigator(s) will notify the complainant and

respondent of that fact and provide a timeframe for completing the

investigation.

e. The Affirmative Action Officer will meet with the Council to share the

details of the complaint. The Affirmative Action Officer will define the area

of harassment and/or discrimination involved in the complaint and clarify the

review criteria for evaluation of evidence. The Council will be given a verbal

explanation and/or written statement of the complaint, the response, and the

findings of the Affirmative Action Officer's investigation and will be

provided with the opportunity to review the written materials or evidence.

At the discretion of the Affirmative Action Officer, the Council may be

provided with the services of an attorney for the purpose of consultation.

f. A time and place convenient for all concerned parties will be set for the

hearing by the Affirmative Action Officer. Both the complainant and the

respondent will have the opportunity to bring witnesses to testify. A list of

witnesses and any other evidence needs to be submitted to the Affirmative

Action Officer at least 5 working days before the hearing date. The

complainant and the respondent have the right to invite another individual to

serve as an advisor during the hearing. The advisor is present solely to

advise the represented party. The advisor shall not directly address or

communicate with the Council or other parties involved in the hearing, nor

shall he/she speak on the behalf of the individual being advised.

g. The Affirmative Action Officer will facilitate the hearing. The complainant

will present his/her testimony and/or evidence followed by the respondent.

Council members have the right to question all parties involved, while the

complainant and respondent have the right to question witnesses. The

complainant and respondent will both be given the opportunity to respond to

comments made by the other.

h. Following the hearing the Council has 20 working days to submit a written

report of its recommendation, signed by all members, to the Affirmative

Action Officer. This report will include a recommendation concerning the

disposition of the complaint. A Council member(s) may append to the report

a dissent or non-concurrence with the majority opinion.

i. The Affirmative Action Officer will provide the report and recommendation

made by the Council to the Provost and Vice President for Academic Affairs.

Within 5 working days of receiving the report, the Vice President will

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consider the recommendations and communicate to the parties the action(s)

to be initiated.

j. If either the complainant or respondent do not believe the resolution is

satisfactory, a review may be requested. A written appeal of the final

recommendation must be received in the President’s Office within 30 days

of the individual’s receipt of the recommendation from the Provost and Vice

President for Academic Affairs. The President will respond within 30 days

after receiving the written appeal.

7. Formal Resolution Process for Sexual Violence Complaints

a. Title IX Investigation

When the University receives any report of sexual misconduct, the

University’s Title IX Coordinator will be immediately notified of the

allegation by the office receiving the report. The Title IX Coordinator will

promptly begin an investigation to determine what occurred. The University

will investigate all complaints. If the victim requests confidentiality or asks

that the complaint not be pursued, the University will take all reasonable

steps to investigate and respond to the complaint consistent with the request

for confidentiality or request not to pursue an investigation. If a victim

insists that his or her name or other identifiable information not be disclosed

to the alleged perpetrator, the University’s ability to respond may be limited.

Emporia State University prohibits retaliation by its officers, employees,

students, or agents against a person who exercises his or her rights or

responsibilities under any provision of this policy and/or provisions of the

Campus Sexual Violence Elimination (SaVE) Act.

b. Prohibition Against Retaliation

Retaliation against persons who file discrimination complaints or persons

who participate in an investigation of a complaint, whether by an individual

directly involved or by his/her associates, is a violation of University and

Board of Regents policy as well as State and Federal law. Complainants who

utilize these procedures or persons who participate in an investigation of a

complaint should not be subjected to retaliation. Retaliation may take the

form of unwanted personal contact from the respondent or giving additional

assignments that are not assigned to others in similar situations, poor grades

or unreasonable course assignments. Phone calls, email or other attempts to

discuss the complaint may be perceived as retaliation under certain

circumstances. Disciplinary action, harassment, unsupported evaluations, or

other adverse changes in the conditions of employment or the educational

environment may also constitute retaliation. Retaliation will not be tolerated

and could result in suspension, reassignment, salary reduction, termination,

expulsion or other disciplinary action.

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c. Complaint

An individual who believes that he or she has been the subject of

discrimination or retaliation, or a dean, director, chairperson or other

supervisor or administrator who has reason to believe that discrimination or

retaliation may have occurred, should contact the Office of Human Resources

to initiate the filing of a complaint. A complaint should include the

following, to the extent known and available:

< Name and contact information (address, telephone, email) for

the complainant;

< Name of person(s) directly responsible for the alleged

discrimination or retaliation;

< Date(s), time(s), and place(s) of the alleged violation(s);

< Nature of the alleged violation(s); i.e., race, sex, disability

discrimination or retaliation, etc.;

< Detailed description of the specific conduct that is the basis

of the alleged violation(s);

< Copies of any documents or other tangible items pertaining to

the alleged violation(s);

< Names and contact information for any witnesses to the

alleged violation(s);

< Any other relevant information.

Upon receiving a complaint, the Office of Human Resources will provide the

complainant with an acknowledgment of receipt within 7 working days and

will include in that acknowledgment the web address where the

Discrimination Complaint Resolution Process can be found.

d. Complaint Evaluation

Upon receiving a complaint, the Office of Human Resources will conduct an

initial evaluation of the merits of the complaint and determine the appropriate

investigatory action required. The Office of Human Resources will contact

the dean, director, administrator, supervisor, or chairperson responsible for

the unit to inform them of the filing of the complaint. When necessary,

appropriate administrator(s) or faculty member(s) may be designated by the

President, Provost, Vice Presidents, Dean, Director, or Chairperson or by the

Executive Director of Human Resources, to participate in the evaluation of

the complaint and to facilitate necessary action.

e. Investigation

A formal investigation will be initiated if a complaint is complete, timely,

within the scope of this policy and articulates sufficient facts, which if

determined to be accurate, would support a finding that the University’s

discrimination policies have been violated. Investigators assigned to conduct

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an investigation will be impartial. In conducting investigations into

violations of the University’s policies, the Office of Human Resources will

use a preponderance of the evidence standard in making factual

determinations. A preponderance of the evidence standard means the fact(s)

in issue is more probably true than not.

f. Investigation Timeframe

The University will strive to complete discrimination complaint

investigations, including issuance of a report of findings to the complainant

and respondent, in as timely and efficient a manner as possible within 60

calendar days of receipt of a complaint. However, this timeframe may be

extended based on factors such as, but not limited to, schedule and

availability of witnesses, holidays or semester breaks including summer

break, and complexity of the complaint. If an investigation cannot be

completed within 60 calendar days of receipt of the complaint, then the

investigator(s) will notify the complainant and respondent of that fact and

provide a timeframe for completing the investigation.

g. Access to Information

Emporia State University will control access to information pertaining to

reports, investigations, and outcomes of sexual violence complaints by means

appropriate to the circumstances. The institution follows all local, state, and

federal mandates regarding privacy and confidentiality.

h. Investigation Procedure

The investigation will include the following steps:

(1) Notice to Respondent

The respondent will be provided with a statement of the complaint in

writing, and the complainant will be provided a copy of this

notification. The respondent will be provided an opportunity to meet

with the investigator(s) investigating the complaint and to respond to

the allegation. Respondents may respond in person or in writing

within a reasonable time to be determined by the investigators. If a

respondent chooses not to participate or refuses to answer a

complaint, his/her nonparticipation will not prevent the investigation

from proceeding and could result in a finding based solely on the

information provided by the complainant.

(2) Notice Regarding Retaliation

All parties to a complaint (complainant, respondent, witnesses, and

appropriate administrators or supervisors) will be informed that

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retaliation by an individual or his/her associates against any person

who files a complaint or any person who participates in the

investigation of a complaint is prohibited. Individuals who engage

in retaliation are subject to disciplinary action, regardless of the

disposition of the underlying complaint.

(3) Contact with Complainant

If the investigator did not speak with the complainant at the time that

the complaint was received by the Office of Human Resources, the

investigator will meet or speak with the complainant at the start of the

investigation. In all investigations, the investigator will meet with

the complainant throughout the investigation as appropriate.

(4) Representation

In any meeting with the investigators, the parties to the complaint

(complainant and the respondent) may bring a representative/advisor

to the meeting. The complainant and the respondent have the right

to invite another individual to serve as an advisor during the hearing.

The advisor is present solely to advise the represented party. The

advisor shall not directly address or communicate with the

investigator or other parties involved in the investigation and/or

hearing, nor shall he/she speak on the behalf of the individual being

advised.

(5) Information Relevant to Investigation

The parties to a complaint (complainant and respondent) will be

informed that they have the opportunity to identify witnesses, present

witness statements, and any other evidence they believe relevant to

resolution to the complaint. The investigator(s) will interview other

persons whom the investigator(s) in his/her discretion determines to

be necessary to gather relevant information. The investigator will

review any written materials, emails or other media that as

determined by the investigator in his/her discretion may provide

relevant information regarding the complaint.

(6) Findings of Investigation

The investigator(s) will provide a written summary of their findings

to the respondent and the complainant within a reasonable time

following the conclusion of the investigation. In addition, the

investigator(s) will provide a written report of the investigation

findings and recommendations to the appropriate administrators

within the University who will determine the appropriate action to be

taken in light of the investigation findings and recommendations.

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The administrators will have 20 working days from receipt of the

investigation findings and recommendations to determine, in

consultation with the Office of Human Resources, an appropriate

resolution(s). Upon making a decision, the administrator(s) will

simultaneously provide written notification of the decision to both the

respondent and complainant.

I. Sanctions

Behaviors and actions that violate this policy, including sexual harassment,

can be subject to investigation and sanctions. Sanctions can include:

warning, restitution, fine, disciplinary probation, campus/community service,

student suspension, student expulsion, employee suspension, employee

termination.

j. Appeals – Finding of Discrimination or Retaliation with Imposition of

Discipline

(1) Respondent: If formal disciplinary action is imposed as a result of a

finding of violation of the University’s policies prohibiting

discrimination, sexual harassment, and/or retaliation, the respondent

may appeal.

(2) Complainant: If formal disciplinary action is not imposed as a result

of not finding a violation of the University’s policies prohibiting

discrimination, sexual harassment, and/or retaliation, the complainant

may appeal.

(3) Appeals Process: Appeals by either respondent or complainant are

presented to the Vice President for Administration and Fiscal Affairs,

or in the case of a student, the Vice President for Student Affairs

within 10 working days of the date of the notice of the investigator’s

findings. The request for an appeal must be a signed, written

document articulating why the investigator’s conclusions and

findings and/or process were erroneous. The Vice President(s) will

respond to the request for appeal within 20 working days of receiving

the appeal. The Vice President(s) decision on appeal will constitute

final agency action and there will be no further appeal within the

University.

B. Administrative Closure of a Complaint without Investigation

The University may not proceed with a complaint investigation under a variety of

circumstances, for instance:

< A complainant, even after contact and follow up with an investigator, fails

to describe in sufficient detail the conduct that is the basis of the complaint;

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< The conduct alleged in the complaint is not covered by this policy;

< The complaint is untimely;

< The complainant refuses to cooperate with the University’s investigation;

< The complainant is anonymous.

If it is determined that the University will not proceed with investigation of a complaint,

the Office of Human Resources will notify the complainant (if not anonymous) in writing

explaining the reasons why the complaint is not being investigated. The notification

letter will include a statement notifying the complainant that he or she may appeal the

determination not to proceed with an investigation of the complaint to the Vice President

for Administration and Fiscal Affairs, or if a student, the Vice President for Student

Affairs within 10 working days of the notice. The request for an appeal must be a

signed, written document articulating why the decision to administratively close the

complaint without an investigation was in error. The appropriate Vice President will

respond to the request for appeal within 20 working days of receipt of the appeal. If the

decision to administratively close the complaint without an investigation is overturned,

the complaint will be sent back to the Office of Human Resources for investigation in

accordance with this procedure. If the decision to administratively close the complaint

without an investigation is upheld, then that decision will constitute final agency action

and there is no further appeal within the University.

C. Extensions of Time

The Office of Human Resources will make every reasonable attempt to adhere to the

time limits set forth in these procedures. However, it is recognized that circumstances

may necessitate an extension of time. Therefore, the Executive Director of Human

Resources may extend the time limits set forth in these procedures.

D. Abuse of the Discrimination Complaint Resolution Process

The University takes all discrimination complaints seriously. However, knowingly filing

a false complaint is considered serious misconduct and is also subject to sanction. An

individual who establishes a pattern of repeatedly filing frivolous complaints that harass

colleagues and/or abuse the complaint resolution process may lose the right to file

complaints for a specified period of time.

E. Confidentiality

It is the responsibility of the Affirmative Action Officer and the responsible

administrator to whom a complaint is brought to maintain confidentiality while still

allowing for an investigation, providing a remedy for individuals injured by

discrimination or harassment, and allowing respondents to reply to complaints.

Individuals involved in the investigation or hearing are also obligated to maintain

confidentiality. The University cannot guarantee complainants, respondents, or

witnesses absolute confidentiality because the University is obligated to investigate

complaints.

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F. Accommodations

Reasonable accommodations will be made for persons with documented disabilities.

Involved parties with disabilities should contact the Affirmative Action Officer at least

3 days prior to the hearing so that accommodations can be made during the process.

Students may contact the Director of Student Accessibility and Support Services and/or

the Affirmative Action Officer at least 3 days prior to the hearing so that

accommodations can be made. All communication between students, the Office of

Student Accessibility and Support Services, and the Affirmative Action Officer will be

strictly confidential.

3D.0107 SEARCHES, SCREENING, AND APPOINTMENTS FOR UNCLASSIFIED

PERSONNEL: RECRUITMENT AND HIRING PROCEDURES (revised by

Affirmative Action Officer 7/02; 09/05)

Although primary responsibility for enforcing policies and procedures will rest with the deans

when filling vacancies for unclassified employees, other University personnel (e.g., faculty,

chairpersons, other administrators) will be expected to assume their roles and/or responsibilities

as set forth in this document. Any modifications or variations will be undertaken only with the

permission of the President or designee (e.g., vice president) in consultation with the

Affirmative Action Officer.

I. FACULTY AND ADMINISTRATIVE/PROFESSIONAL STAFF

The appropriate vice president will be informed of any open faculty or administrative

professional positions within a department. The following is a statement of the procedures to

be followed in recruitment to fill the position.

A. Procedures for approval of a position description

A position description and justification must be filed with the vice president by the dean or

other hiring administrator. The position description should include the following

information:

1. Title of position.

2. Rank (if applicable).

3. Qualifications for applicants stating degree preference and any teaching, research,

professional or administrative experience necessary to qualify.

4. A statement of duties and responsibilities that includes a description of the expected

teaching, research, service, or administrative activities to be performed.

5. Date to begin review of applications.

6. Effective date of appointment.

7. Name and address of person to contact.

8. A line stating that An AA/EOE institution, Emporia State University encourages

minorities and women to apply.

The position description, accompanied by a completed Request to Fill a Vacant Unclassified

Position (Form A), must be reviewed and approved by the appropriate vice president and

Affirmative Action Officer before recruitment procedures are initiated.

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Special approvals for recruitment to fill underutilized positions. (Underutilization is defined

as having fewer minorities or women in a particular job group than would reasonably be

expected by their availability in the potential applicant pool.)

A study will be made by the Affirmative Action Office to establish the probable availability

ratio of women and minorities in the applicant pool. This information will be furnished each

fall to vice presidents, deans and department chairs. If the advertised position is one in which

either minorities or women are underutilized, the unit head must submit to the vice

president's office proposed procedures for recruitment, screening, selection and potential

availability of minorities and women. The vice president's office will review the proposed

procedures and availability data. The vice president's office will determine whether the

procedures are approved or whether deficiencies exist that must be corrected.

B. Suggested advertising procedures

1. Local advertising

– Web, Roundtable and Placement Office - All position descriptions that have been

approved will be sent by the Office for Equal Opportunity to Public Affairs and

Marketing for local announcement.

-- State/Area Newspapers - Advertising for The Emporia Gazette plus other

publications which appropriately cover the desired population (e.g., Topeka, Wichita,

Manhattan, Kansas City) will be placed by the Office for Equal Opportunity.

-- A minimum of 2 weeks should be allowed between the date that a vacancy notice

appears and the deadline for application.

2. Regional or national advertising

-- Chronicle of Higher Education may be used when appropriate and the placement of

these ads will be the responsibility of the Office for Equal Opportunity.

– Appropriate professional journals (e.g., CUPA, NCAA) or discipline journals may

be used. The Office for Equal Opportunity will coordinate placement of these ads

with appropriate publication information and ample lead time.

-- A minimum of 4 weeks should be allowed between the date that a vacancy notice

appears and the deadline for application.

Department chairs will be responsible for the following further contacts:

– Circulate notices of positions at appropriate national or regional professional

meetings.

-- Circulate notices of positions to business, industrial and professional groups whose

members might be qualified.

-- Circulate notices and make telephone calls to universities or colleges.

a. With faculty members in similar programs.

b. With degree programs likely to graduate people with appropriate qualifications.

c. That have predominately minority or women faculty and students. (Contact the

Office for Equal Opportunity for assistance.)

-- Circulate notices to minority and women caucuses of professional associations.

(Contact the Office for Equal Opportunity for assistance.)

-- Search past files for applicants whose files remain active.

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C. Selection Procedures

1. Search Committee

For most positions, an appointed search committee should seek out and recruit, review,

and recommend qualified candidates. If possible, a search committee should include

among its members minorities, women and men. If 1 of these categories is unavailable

from the unit, the balance may be attained by adding a member from outside the unit or

the Affirmative Action Officer may be selected to serve in the search process.

The committee should meet early in the search process to receive its charge and to

formulate strategies for seeking outstanding candidates, including qualified women

and/or minorities. The search process should be an active one. Normally the search will

be at least four weeks, although a shorter search period may be approved by the

appropriate vice president and the Affirmative Action Officer for a temporary or

emergency vacancy, or for a local or internal search.

Either the hiring administrator or designated chairperson of the search committee should

acknowledge receipt of all applications and, when appropriate, letters of reference and

resumes should be requested from applicants who have not already provided such

material.

Each applicant should be sent a Pre-employment Data Form provided by the Office for

Equal Opportunity. This form is required by the U.S. Equal Opportunity Commission

and will provide information on race, sex, veteran status, and disability status of the

applicant. The chair of the search committee (or some other designated member of that

committee) will make him/herself cognizant of the Equal Employment Opportunity

guidelines and constraints pertaining to employee searches and serve as Equal

Employment Opportunity monitor.

The EEO monitor will contact the Office for Equal Opportunity for input about pertinent

data from the pre-employment forms and will otherwise serve as liaison with that office.

After the date for beginning review of applications, the search committee should meet

to screen applicants. Discussions by the committee should be confined to qualifications

related to the position. Discussions may not relate to race, marital status, color, creed or

religion, ancestry, national origin, gender, sexual orientation, age, disability status or

appearances except in the context of meeting affirmative action goals.

The search committee should work with the appropriate administrative officer to identify

the most qualified applicants. Normally a dean or director as well as the appropriate vice

president will review search procedures and curricula vita of qualified applicants prior

to scheduling interviews. A completed Request for Authorization to Interview (Form B)

must receive the necessary approvals. Term appointments with a non-instructional title

and visiting appointments with an academic title may not require an interview if approval

is granted by the dean.

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2. Screening Committee

On searches for which the unit administrator(s) take(s) responsibility for the active part

of the search (i.e., advertising, professional contacts) a screening committee may be

appointed. Such committee will review applications and forward to the administrative

head a list of recommended candidates with a review of each candidate's strengths and

noted areas of concern. A completed Request for Authorization to Interview (Form B)

must receive the necessary approvals prior to issuing invitations to interview.

D. Candidate Interview Procedures

Only well-qualified candidates who are seriously interested in the position should be

brought to campus. In general, no more than 2 candidates will be interviewed. The

normal expenses of the candidates will be reimbursed by the Office for Equal

Opportunity. Expenses for spouses are not included.

Additional candidates may be interviewed with the approval of the appropriate vice

president.

Background data for the candidate should be made available to appropriate interviewing

personnel prior to the scheduled interview. Some appropriate form by which the

evaluation of the candidate can be communicated to the department will also be

furnished by the chair of the search or screening committee at that time.

The evaluations of all those who interviewed a candidate should be taken into account

in making a recommendation for appointment.

1. Academic Units

In addition to the interview session with the search committee, a candidate for an

academic appointment will be interviewed in the department, by the appropriate dean,

and by other pertinent individuals and groups.

Candidates for appointment to administrative positions, such as department chair, center

director, assistant or associate dean, or dean must also be interviewed by the Vice

President for Academic Affairs. The President will interview candidates for appointment

at and above the level of dean.

Human Resources has the responsibility for explaining ESU fringe benefits to all

candidates for unclassified positions of .5 or more FTE.

2. Non-Academic Units

The search committee chair will formulate and coordinate the itineraries for the

candidate interviews. Care should be given to insure contact with the candidate by

representatives of pertinent units of the campus.

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E. Special Considerations

1. Special approvals for candidate interviews of underutilized positions.

If the position is one in which minorities and/or women are underutilized, and there are

no minorities and/or women included in the pool from which interviews will be

scheduled, the appropriate vice president and the Affirmative Action Officer will review

with the appropriate administrators the adequacy of recruitment efforts for such positions

and maintain a written record of this review. If, in the opinion of the vice president,

recruitment efforts have been inadequate, then further recruitment efforts shall be

undertaken.

If originally hired into a temporary position via a regional or national search (whichever

is appropriate), females and minorities may be considered for permanent status without

an additional search if such an appointment is consistent with the department’s or units's

goals and timetable statement on correcting underutilization records. These goals and

timetables will be set annually in a meeting of Affirmative Action Officer, vice

presidents, deans, and directors. Conversion to permanent status may not occur for

persons other than females or minorities without an appropriate search unless that

department has met the utilization goals.

2. Special approvals for hiring candidates for underutilized positions.

In instances in which a minority or woman is within the pool of applicants and is not the

choice for an underutilized position, the unit must provide to the vice president written

justification as to why a minority or woman is not to be selected for interview; if

interviewed, as to why they are not selected for hire. The unit will not make any offer

pending approval of the justification by the vice president.

3. Special mentoring for underutilized minorities.

So long as there remains an under-representation of minorities in the Emporia State

University faculty, the search for suitable candidates will include a review of high-

caliber minority master's degree students. Should such students be located, efforts to

encourage pursuit of doctoral study will be made.

4. Special search waiver for a unique project.

A search may be waived (by only the appropriate vice president and/or the President) in

instances in which a singular person has the qualities required for a special project. The

contract offered under this waiver will be temporary, non-renewable, and for a period of

1 year or less.

5. Employment of non-citizens.

(revised 9/05 by Affirmative Action Officer)

Unclassified non-citizen employees are individually responsible for applying for and

maintaining the appropriate documentation permitting them to work in the United States.

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6. Spoken English Language Competency. (approved by BOR 6/27/96; 1-20-05;

2-16-06; 11/20/08; 12/17/08)

a. Faculty

All prospective faculty members of state universities, except visiting professors

on exchange for one year or less, must have their spoken English competency

assessed prior to employment through interviews with not fewer than 3

institutional personnel, 1 of whom shall be a student. Faculty shall include all

full-time or part-time personnel having classroom or laboratory instructional

responsibilities and/or direct tutorial or advisement contact, other than for courses

or sessions conducted primarily in a foreign language. An oral interview shall be

conducted either face-to-face or by mediated means. To be eligible for an

appointment without spoken English language remediation, prospective faculty

found to be potentially deficient in speaking ability shall be required to achieve

a minimum score of 50 on the Test of Spoken English (TSE), or a score of 250 on

the Speaking Proficiency English Assessment Kit (SPEAK), or equivalent, or a

minimum score of 22, set by Board staff in consultation with the Council of Chief

Academic Officers and with the approval of the Board Academic Affairs Standing

Committee, on the Speaking section of the Test of English as a Foreign Language

internet Based Test (TOEFL iBT). A report detailing the process for interviewing

prospective faculty, including the composition of the interview team and scores

from the TSE or SPEAK for each candidate, will be submitted to the

President/CEO of the Board every other year.

b. Graduate Teaching Assistants

All prospective graduate teaching assistants of the state universities shall have

their English competency assessed prior to being considered for any employment

having classroom or laboratory instructional responsibility and/or direct tutorial

responsibilities. The following shall be used to implement this policy:

(1) All prospective graduate teaching assistants, whose first language is not

English, must be interviewed and have their competency in spoken English

assessed by no fewer than 3 institutional personnel, 1 of whom shall be a

student. An oral interview shall be conducted either face-to-face or by

mediated means.

(2) To be eligible for an appointment without spoken English language

remediation conditions, all prospective graduate teaching assistants, whose

first language is not English, shall be required to achieve a minimum score

of 50 on the Test of Spoken English (TSE), or a score of 250 on the Speaking

Proficiency English Assessment Kit (SPEAK), or equivalent, or a minimum

score of 22, set by Board staff in consultation with the Council of Chief

Academic Officers and with the approval of the Board Academic Affairs

Standing Committee, on the Speaking section of the Test of English as a

Foreign Language internet Based Test (TOEFL iBT).

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(3) All prospective graduate teaching assistants who do not meet the above

requirements shall not be assigned teaching responsibilities nor other tasks

requiring direct instructional contact with students.

(4) An exception will be made for courses taught in sign language.

(5) A report detailing the process for interviewing graduate teaching assistants,

whose first language is not English, including the composition of the

interview team and scores from the TSE or SPEAK for each candidate, will

be submitted to the President/CEO of the Board every other year.

c. General

State universities shall develop implementing policies and procedures for the

administration of this policy and shall report to the Board as to the effectiveness

of such policy; and may adopt standards that exceed or are additional to those

contained herein.

F. Finalizing a Search.

Results of interviews and recommendations relative to the decision to offer, or not to

offer, the position must be available to the appropriate vice president upon request. The

Unclassified Appointment Form (Form C) must be approved by the appropriate vice

president before any offer of position is made. After favorable review by the vice

president, the offer of a position may be made.

If 1 of the applicants accepts an offer and is hired, all other applicants should be notified

that the position has been filled and that they no longer are being considered for the

position.

At the completion of the above steps, the department chair in collaboration with the

Office for Equal Opportunity will complete the Recruitment Record for Unclassified

Personnel form.

All records of each search, including records regarding all applicants, shall be marked

Confidential and retained by the department for 3 years and shall be available upon

request by the appropriate vice president or Affirmative Action Officer.

3D.02 NEPOTISM POLICY (Senate Bill 533 approved 5/21/92)

No state officer or employees shall advocate or cause the employment, appointment, promotion,

transfer, or advancement to any office or position of the state, of a member of such officer's or

employee's household or family member.

No state officer or employee shall participate in action relating to the employment or discipline of

a member of the officer's or employee's household or family member.

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Family member means (a) spouse, parent, child, or sibling; (b) sibling as denoted by the prefix half;

or niece; (f) any parent or child of a preceding or subsequent generation as denoted by the prefix of

grand or great; or (g) parent, child, or sibling related by marriage as denoted by the suffix of in-law.

Household member means a person having legal residence in, or living in, the state officer's or

employee's place of residence.

The provisions of this bill do not apply to any action involving employment, appointment,

promotion, transfer, or advancement of any officer or employee occurring prior to the effective date

of this act.

3D.03 CONSENTING RELATIONSHIPS (FSR 93022 approved by President 5/16/94)

Emporia State University is committed to providing an academic community environment that,

without discrimination, fosters intellectual, professional and personal growth. Essential to the

preservation of this environment is the trust that should characterize all interactions among our

students, faculty, unclassified staff, and university support staff personnel, all of whom are working

toward the common goals of the institution. This trust is put at risk when members of the University

community engage in consenting romantic or sexual relationships that involve persons of unequal

power, for example, administrator and faculty, faculty and student, supervisor and employee.

Emporia State University strongly disapproves of consenting relationships where a professional

power differential exists. This position statement is being announced to inform the University

community regarding the nature of the issue and the possible consequences for individuals.

1. A faculty member will always be treated as having such a power differential if the student is in

an educational experience where the faculty member has authority to assign grades. The same

holds in other circumstances as well, for example, when a faculty member serves on thesis,

dissertation, or scholarship awards committees.

These principles also apply to administrators and supervisors in their relationships with

students, faculty, unclassified staff, and USS personnel.

2. In the view of Emporia State University, romantic or sexual relationships between persons of

unequal power, even if consenting, are unwise and often contrary to professional ethics. Such

a relationship tends to impair one's ability to make an objective judgment of the performance

of the student or employee.

3. Decisions concerning grades, degrees, promotions, evaluations, merit increases, and awards

must be made free from any trace of bias or favor. Such decisions come under a cloud when

made by those who have an emotional relationship, beyond the purely professional or academic

one, with those who benefit from those decisions. Even the mere appearance of bias may

seriously disrupt the academic or work environment.

4. The individual in authority bears the primary responsibility for any negative consequences

resulting from an even apparently consenting romantic or sexual relationship. It is the student

or the employee, not the instructor or supervisor, who is most at risk in these relationships. In

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particular, the respect and trust accorded a professor by a student, as well as the legitimate

power exercised by the professor in giving grades, criticism, praise, recommendations for

further study, future employment, etc., greatly diminish the student's actual freedom of choice,

should sexual favors be added to the professor's demands. Although it is proper for a student

to decline any personal relationship of this kind, a student may feel that few options are

available when a professor asks for a date. If an employee's supervisor attempts in initiate a

personal relationship, the employee may feel that his/her options are similarly limited. As a

result, the degree of informed consent that exists within such a relationship is difficult to

establish. Should a charge of sexual harassment follow, a claim of mutual consent may be

difficult to sustain.

5. Commonly accepted standards of professional behavior and ethics require that faculty members

not hold evaluative power over any student with whom they have a romantic or sexual

relationship. Thus, faculty members should not initiate or accept such a relationship with a

student over whom they have an evaluative role. Should such a relationship exist between a

faculty member and a student, the faculty member should remove himself or herself from the

evaluation of the student's work. In cases where this is not possible (e.g., spouse enrolled in

course taught by only 1 professor), alternate means of evaluation should be considered. Failure

to do represents conflict of interest; and the faculty member risks the loss of support of the

University community.

Similar proscription applies to administrators and supervisors in their relationships with students

and employees over whom they have an evaluative role. A supervisor who is in a romantic or

sexual relationship with another individual over whom he/she has an evaluative responsibility

should remove himself/herself from personnel decisions concerning that individual, such as

appointment, retention, promotion, discipline, tenure, or salary. In cases where this in not

possible, alternate means of evaluation should be considered. Failure to do represents conflict

of interest; and the supervisor risks the loss of support of the University community.

The above text adapted from University of Kansas Policy on Consenting Relations (2/1/94).

3D.04 PROFESSIONAL ETHICS (FSR 411 approved by President 5/2/72)

Members of the campus community have an obligation to fulfill the responsibilities incumbent upon

all citizens, as well as the responsibilities of their particular roles within the academic community.

All members share the obligation to respect:

I. The fundamental rights of others as citizens. As citizens, members of the campus community

enjoy the same basic rights and are bound by the same responsibilities to respect the rights of

others, as are all citizens.

Among the basic rights are freedom of speech, freedom of press, freedom of assembly and

association, freedom of political beliefs, and freedom from any personal force and violence,

threats of violence, and personal abuse.

Freedom of press implies the right of freedom from censorship in campus newspapers and other

media, and the concomitant obligation to adhere to the canons of responsible journalism.

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It should be made clear in writings and broadcasts that editorial opinions are not necessarily

those of the institution or its members.

The campus is not a sanctuary for the general law. The educational institution does not stand

in loco parentis for its members.

Each member of the campus community has the right to organize his/her own personal life and

behavior, so long as it does not violate the law or agreements voluntarily entered into, and does

not interfere with the rights of others or the educational process.

Admission to, employment by, and promotion within the campus community shall accord with

the provisions against discrimination in the general law.

II. The rights of others based upon the nature of the educational process.

All members of the campus community have other responsibilities and rights based upon the

nature of the educational process and the requirements of the search for truth and its free

presentation. These rights and responsibilities include:

Obligation to respect the freedom to teach, to learn and to conduct research and publish findings

in the spirit of free inquiry. Institutional censorship and individual or group intolerance of the

opinions of others are inconsistent with this freedom.

Obligation to scholarship to examine and state the truth as one sees it; to develop and improve

scholarly competence; to practice intellectual honesty.

Obligation to exercise critical self-discipline and judgment in using, extending, and transmitting

knowledge. Freedom to teach and to learn implies that the teacher has the right to determine the

specific content of his/her course, within the established course definition, and the responsibility

not to depart significantly from his/her area of competence or to divert significant time to

material extraneous to the subject matter of his/her course. Free inquiry further implies that the

results of research shall be communicated. The campus community should foster a climate of

free inquiry.

Obligation not to interfere with the freedom of members of the campus community to pursue

normal academic and administrative activities, including freedom of movement.

Obligation not to infringe upon the right of all members of the campus community to privacy

in offices, laboratories, and dormitory rooms and in the keeping of personal papers, confidential

records and effects, subject only to the general law and to conditions voluntarily entered into.

Campus records on its members would contain only information which is reasonably related to

the educational process or safety of the campus.

Obligation not to interfere with any member's freedom to hear, to study, and to express opinions

concerning unpopular and controversial views on intellectual and public issues.

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Obligation to respect the right to hold public meetings in which members participate, to post

notices, and to engage in peaceful, orderly demonstrations.

Obligation to establish and respect reasonable and impartially applied rules, designed to reflect

the educational purposes of the institution and to protect the safety of the campus, regulating

the time, place and manner of activities and allocating the use of facilities.

Obligation to afford recourse if another member of the campus community is negligent or

irresponsible in performance of his/her responsibilities, or if another member of the campus

community represents the work of others as his/her own.

Obligation to afford freedom to determine the amount and character of the work one does

outside the institution provided such outside interests never seriously hamper or compromise

the paramount responsibilities to the institution.

Obligation to insure the right to be heard and considered at appropriate levels of the

decision-making process about basic policy matters of direct concern.

Members of the campus community who have a continuing association with the institution and

who have substantial authority and security with an especially strong obligation to maintain an

environment conducive to respect for the rights of others and the fulfillment of academic

responsibilities.

Tenured faculty should maintain the highest standards in performance of their academic

responsibilities.

Governing boards have a particular responsibility to protect the integrity of the academic

process from external and internal attacks and to prevent the political or financial exploitation

of the campus by any individual or group.

III. The rights of the institution.

The institution, and any department or agency which exercises direct or indirect authority for

the institution, has rights and responsibilities of its own. The rights and responsibilities of the

institution include:

Right and obligation to provide an open forum for members of the campus community to

present and debate public issues.

Right to prohibit individuals and groups who are not members of the campus community from

using its name, its finances, or its physical and operating facilities for commercial or political

activities.

Right to prohibit members of the campus community from using its name, its finances, or its

physical and operating facilities for commercial activities.

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Right and obligation to provide members of the campus community the use of meeting rooms,

under the rules of the campus, for purposes including the meeting of official clubs, but to

prohibit the use of campus rooms by individual members or groups of members on a regular or

prolonged basis as free headquarters for political campaigns, and to prohibit the use of the name

of the institution, its finances, and its office equipment and supplies for any political purpose

at any time.

Right and obligation not to take a position, as an institution, in electoral politics or on public

issues, except on those issues which directly affect its autonomy, the freedom of its members,

its financial support, and its academic freedom.

Right and obligation to protect the members of the campus community and visitors to it from

physical harm, threats of harm, or abuse; its property from damage and unauthorized use; and

its academic and administrative processes from interruption.

Right to require that persons on the campus be willing to identify themselves by name and

address, and state what connection, if any, they have with the campus.

Right and obligation to set reasonable standards of conduct in order to safeguard the educational

process and to provide for the safety of members of the campus community and the institution's

property.

Right to deny pay and academic credit to members of the campus community who are on strike;

and the concomitant obligation to accept legal strikes legally conducted without recourse to

dismissal of participants.

IV. The rights of members to fair and equitable procedures for determining when and upon whom

penalties for violation of campus regulations should be imposed.

All members of the campus community have a right to fair and equitable procedures for

determining the validity of charges of violating campus regulations.

These procedures shall be structured so as to facilitate a reliable determination of the truth or

falsity of charges, to provide fundamental fairness to the parties, and to maintain necessary

order in an effective manner.

All members of the campus community have a right to know in advance the range of penalties

for violations of campus regulations. Definition of adequate cause for separation from the

campus should be clearly formulated and made public.

All members of the campus community have an obligation to observe the state regulations of

the institution, provided these regulations do not contravene academic freedom, while

maintaining the right to criticize and seek revision of the regulations.

Charges of minor infractions of regulations penalized by small fines or reprimands which do

not become part of permanent records may be handled expeditiously by the appropriate

individual or committee. Persons so penalized have the right to appeal.

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When charged with infractions of regulations which may lead to notation in permanent records,

or to more serious penalties, such as suspension or expulsion, members of the campus

community have a right to formal procedures with adequate due process, including the right to

appeal.

Members of the campus community charged or convicted of violations under general law may

be subject to campus sanctions for the same conduct, in accord with campus policies and

procedures, when the conduct is in violation of a campus rule essential to the continuing

protection of other members of the campus community or to the safeguarding of the educational

process.

V. The rights and obligations of academic responsibility.

Every member of the academic community has the obligation to respect the concept of freedom

and the equally demanding concept of responsibility.

He/She is a citizen, a member of a learned profession, and a member of an educational

institution. When he/she speaks or writes as a citizen, he/she should be free from institutional

censorship or discipline, but his/her special position in the community imposes special

obligations. As a person of learning he/she should remember that the public may judge his/her

profession and institution by his/her utterances. Hence at all times he/she should exhibit

accuracy, should exercise appropriate restraint, should show respect for the opinions of others,

and should make every effort to indicate that he/she is not an institutional spokesperson.

(Major portions of this statement reprinted with permission.

Carnegie Foundation for the

3D.05 INTERFERENCE WITH CONDUCT OF THE INSTITUTION (approved by BOR

1986)

Actions by faculty, staff, students, or visitors which unnecessarily and unreasonably obstruct or

interfere with the teaching, scholarly activity (research), or learning functions or other normal and

necessary activities of a Regents institution, or which create an imminent threat of danger to persons

or property, may constitute grounds for suspension, dismissal, or termination, or permanent

exclusion from the campus.

Regulations.

1. A person having any association with any of our state educational institutions may participate

in or have any association with any demonstration at any of the institutions under the control

of the Board of Regents only when such activities do not exceed the bounds of free assembly

and lawful advocacy.

2. Persons participating in a demonstration shall not engage in any unlawful acts which cause or

imminently threaten injury to persons or property, or which in anyway obstructs or interferes

with the normal and necessary activities of an institution.

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3. Persons having a formal association with any of our state educational institutions shall not

engage in conduct that unreasonably obstructs teaching, research and learning.

4. Persons having a formal association with any of our state educational institutions shall not

unreasonably obstruct free access to members or guests of any of the institutions or to any of

the institutional buildings.

5. Persons having a formal association with any of our state educational institutions shall not

damage institutional property or injure members or guests of the institution.

6. Persons having a formal association with any of our state educational institutions shall not

disobey the general rules of conduct of the University or of the regulations promulgated by the

state Board of Regents.

7. Persons having a formal association with any of our state educational institutions shall not cause

any disturbance or breach of the peace or in anyway violate any of the rules and regulations of

residence halls or other places or in any building in which students or faculty members

assemble.

8. Persons having a formal association with any of our state educational institutions shall not use

profane or vulgar language in a threatening or disruptive manner nor engage in rude or

challenging behavior in or upon any of the institutional properties, including residence halls and

organized living groups.

9. The term formal association as used in these regulations shall mean enrolled students, faculty

members and other employees.

The President of ESU will take such action as is necessary to carry out the purport of the rules and

regulations promulgated by the State Board of Regents or any rule and regulation governing the

conduct of any and all students, faculty members and other employees of the respective institutions

by suspension or other disciplinary action as appropriate, such to be in accordance with procedures

established within each institution for the government of students, faculty members and other

employees.

In order to insure due process any student, faculty member or other employee suspended, or who

might receive other disciplinary action on the grounds of violating any of the premises of these

regulations, as well as all other rules and regulations established by the Board of Regents, as well

as those established by the institutions, shall have at his/her discretion the right of review of the

action by the governing board constituted at each institution to handle disciplinary matters.

3D.06 WHISTLEBLOWER POLICY (approved by President 4/9/2012)

The university encourages good-faith disclosure of violations of law, Kansas Board of Regents, or

university Policy to University administration without reprisal as articulated in K.S.A. 75-2973.

University employees are required to comply with applicable state and federal law, university

policies, and Kansas Board of Regents policies. An employee cannot be compelled by university

officials or their supervisor to violate these provisions. University employees who have knowledge

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of specific acts which they reasonably believe violate the law or policy must report those acts to the

appropriate university official.

No employee shall take retaliatory action against any individual for reporting, or causing to be

reported, suspected wrongdoing, or for assisting in an authorized investigation of alleged

wrongdoing. Retaliation, if confirmed, will result in disciplinary action. Individuals who believe

they have been retaliated against in violation of this policy should notify the University Internal

Auditor or the University General Counsel. In follow up, a written complaint to the University

Internal Auditor is considered appropriate. Policy does not protect an individual who files a report

knowing it to be false or with reckless disregard for truth or falsity or subject to confidentiality or

lawful privilege. If it is determined an employee knowingly made false reports they may be subject

to discipline. The Kansas Whistleblower Act, K.S.A. 75-2973, is available to all employees on the

University Internal Audit web page and posted on employee bulletin boards.

3D.07 USE OF UNIVERSITY PROPERTY FOR FREE EXPRESSION ACTIVITIES (revised

by Facilities Council; approved by President 5/24/06; updated 2/09; updated 6/10; revised

by Facilities Council; approved by President 3/19/2012; approved by President 9/30/2014;

approved by President 8/6/2018)

As a state educational institution of Kansas, the buildings, facilities and grounds of the University

are dedicated to education and the fulfillment of the University's approved mission to provide high

quality instruction and make original contributions to the knowledge and human understanding of

its students. Emporia State University recognizes and supports the rights of individuals and groups

to engage in free expression. These time, place, and manner regulations are intended to balance the

University’s responsibility to fulfill its mission as a state educational institution of Kansas with the

interests of constitutionally protected speech, assembly, and expression.

The United States and Kansas Constitutions guarantee all individuals the right to the freedom of

expression, including but not limited to: informational picketing, petition circulation, distribution

of information leaflets or pamphlets, speech-making, demonstrations, rallies, appearances of

speakers in outdoor areas, mass protests, meetings to display group feelings or sentiments and/or

other types of constitutionally protected assemblies to share information, perspective or viewpoints.

3D.0701 FREE EXPRESSION ACTIVITIES POLICY

1. As used in this policy the following terms shall be defined as:

a. Individuals – groups of 10 or fewer

b. Groups – groups of 11 or more

2. Use of Campus. Individuals and groups may use the campus for activities guaranteed by

the First Amendment of the U.S. Constitution subject to the regulations and requirements of

the current University Policy Manual.

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3. Scheduling. In order to ensure that a free expression zone is available at a time when

individuals or groups desire, Emporia State University affiliated or not, the scheduling

procedures identified in this policy shall be followed.

a. Individuals

• The scheduled use of a free expression zone supersedes any unscheduled use of that

location.

• Subject to reasonable time, place, and manner restrictions, individuals may make use

of a free expression zone, or other public area, when otherwise not in use or

scheduled.

b. Groups

• Each group’s event will be scheduled on a first-come, first served basis, with

priority, in the case of a scheduling conflict, being given to University sponsored

events.

• In order to make sure a particular time and/or location is not monopolized, all events,

whether or not sponsored by a University group, must be scheduled one at a time.

4. Location

a. No free expression activities may occur inside any University building, arena, or

stadium.

b. The event shall not obstruct access in or out of University facilities and will remain a

minimum fo 30 feet from all University building or stadium entrances, except in the Free

Expression Zone identified as Union Square.

c. Individuals may spontaneously gather to engage in non-disruptive expression on all

traditionally public areas such as lawns, quads, and green spaces.

d. Groups must provide a Notification of Intent Form to the University’s Conference &

Scheduling Office (Memorial Union) no later than 72 hours prior to the event. The

Notification of Intent form must include all of the following information:

• Name, address, and telephone number of primary contact, group, entity, or

organization;

• Date and time of event;

• Indicate Free Expression Zone location (map available upon request):

< Union Square

< Phipps Sunken Garden

< Open quad between Beach Music Hall, King Hall, Memorial Union, and

Roosevelt Hall

• Nature and purpose of the event;

• Type of sound amplification devices to be used (if any);

• Estimated number of people expected.

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e. The use of amplification devices is limited to Free Expression Zones. In all cases, the

volume of any amplification device may not be so loud that it disrupts or disturbs the

normal use of University facilities or events (i.e., classroom, laboratories, assembly

areas, stadiums, offices, etc.).

5. Restrictions and Obligations

a. Signs no larger than 3' x 5' are permitted.

b. One sign per person

c. The event shall not last longer than 4 hours and shall be scheduled between the hours of

8:00 a.m. and 9:00 p..m.

d. Written and/or oral views may be expressed as long as they are not obscene, libelous, or

advocating unlawful conduct.

e. Leaflets shall not be placed on vehicles or left unattended due to the creation of excessive

trash.

f. The University campus and grounds shall be cleaned up and left in its original condition

and may be subject to inspection by a University Facility manager. Reasonable charges

may be assessed against the sponsoring party and/or responsible contact for the costs of

extraordinary clean-up or for repair of damaged property.

g. All life safety and sanitation regulations applicable o the event must be addressed and

in compliance.

h. All temporary utilities, sanitation, and accessibility requirements are the responsibility

of the sponsoring party. The University will not provide these items.

i. The event shall not obstruct vehicular, pedestrian, or other traffic.

j. The event shall not obstruct access in or out of University facilities and will remain a

minimum of 30 feet from all University building and stadium entrances, except in the

Free Expression Zone identified as Union Square.

k. The event shall not create safety hazards to participants, students, employees, or guests

of the University.

l. The event shall not infringe on the rights and privileges of students, employee, and

guests of the University.

m. The event must be in compliance and in accordance with applicable University policies

and regulations, Kansas Board of Regents policies and regulations, local laws and

regulations, and/or state or federal statutes and laws.

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n. Any person and/or organization found to be non-compliant with this policy, by either the

Director of the Memorial Union and/or the Director of University Facilities, is subject

to an order from the University Policy & Safety Department to leave the campus.

Person(s) failing to comply with this order are subject to arrest for criminal trespass.

6. Presidential Authorization

a. The Emporia State University President (or designee) may authorize free expression

activities which are reasonably determined not to cause disruption of the University

mission or activities despite a literal violation of this policy. Such determination will be

made without consideration of the content or message of the free expression activities.

b. The Emporia State University President (or designee) may prohibit, cancel or terminate

an event if, after a proper inquiry, it is determined the event constitutes a clear or

potential danger to the University’s normal and orderly operations.

3D.08 STUDENT CONDUCT (FSB 01011 approved by President, 4/29/02)

Excessive absenteeism is defined as a number of absences beyond which the faculty member has

determined on his/her syllabus that a student cannot complete the course without the academic

integrity of the course being compromised.

Emporia State University is committed toward development of sensitive and responsible individuals

and believe this goal is best achieved through a sound educational program and reasonable policies

concerning student conduct, both in and out of the classroom. Operating from this concept,

recognition is given to the importance of an honest approach to learning which ideally is shared by

the instructor and the student. Faculty members may make the disposition of any cases of disruptive

behavior, excessive absenteeism, or academic dishonesty within their classes as they deem

appropriate. Following such cases, the faculty member shall make available to the chair of the

department and to the office of the Vice President for Student Affairs a record of such student

absenteeism or disruptive behavior and the action taken by the faculty member. (This information

will be helpful in dealing with those students who may have had similar problems in other classes

or departments.) If the problem is not settled between the faculty member and the student, assistance

will be given from the office of the Vice President for Student Affairs. If the problem cannot be

resolved at this point the student may request a hearing. This request must be in writing. If a case

of dishonesty, excessive absenteeism, or disruptive behavior also involves a disagreement regarding

a grade, the student may be referred to the committee which hears academic appeals.

If the behavior is such that broader disciplinary action by the school/college is recommended, a

hearing board shall be established by the President of the University to make disposition of the case.

(In all cases of disciplinary action the office of the Vice President for Student Affairs is available

for assistance.)

At any point where student conduct directly interferes with the health, safety, or well being of

individuals in the campus community, the University may apply sanctions or take other appropriate

action. Since the University is responsible for the subsidiary duties of maintaining property, keeping

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records, providing living accommodations, and sponsoring a variety of nonclassroom activities, it

is necessary that a climate supportive of such duties be maintained.

Student status will not be a basis for any special consideration from the University when a

community, state, or national law has been violated, although every effort will be made to assist with

the rehabilitation of a student violating such laws. This is done by working with law enforcement

or other agencies, and ordinarily further sanctions are not applied after such a case is closed.

No disciplinary sanction as serious as suspension, probation, or adverse notation on permanent

records (available to other than official personnel of the college) will be imposed without proper

notification given to the student in writing. This notification will state the charges and will give the

accused the opportunity to appear alone, or with appropriate representation before the proper

committee, judicial council, court, or official. Included will be the nature and source of evidence and

the encouragement for the student to present evidence in turn. Following this review final

disciplinary action will be taken by the University. Students may also request that such appearance

before committees, councils, courts, or officials be waived and the case be determined in conference

with appropriate campus officials.

The University conduct policy commits all individuals serving on any of the above named groups

dealing with student problems to a code of confidence. Failure to comply may lead to sanctions from

student, faculty, or administrative governing bodies, or officials. Students, faculty, and

administration shall have the opportunity to participate fully in the formulation of policies and rules

and their enforcement. Penalties for men and women shall be based equally; like penalties following

like violations.

3D.0801 ACADEMIC DISHONESTY POLICY (FSB 95002 approved by President

1/31/96; FSB 03002 passed by Faculty Senate 1/20/04; approved by President

2/9/04; FSB 05002 passed by Faculty Senate 1/17/06; approved by President 2/7/06;

title update approved by President of the Faculty 8/22/2010; FSB 10007 passed by

Faculty Senate 3/15/2011; approved by President 3/21/2011; updated 10/2/2013;

FSB 17005 approved by President 8/6/2018)

Academic dishonesty, a basis for disciplinary action, includes but is not limited to activities

such as cheating, plagiarism, or any other academically unethical activity as defined in the

course syllabus by the faculty member and based on standards of the academic discipline..

The faculty member in whose course or under whose tutelage an act of academic dishonesty

occurs has the option of failing the student for the academic hours in question, or for any

components or requirements for that course. If the student fails the course as a result of

academic dishonesty, a course grade of XF may be assigned by the instructor of record to the

student’s transcript to indicate the failure in the course was due to academic dishonesty,

provided the Academic Dishonesty Committee authorized the “X” part of the grade as outlined

below.

Departments, schools, and colleges, or the university may have provisions for more severe

penalties. Emporia State University may impose penalties for academic dishonesty up to and

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including expulsion from the student’s major or from the University. In addition, acts of

academic dishonesty shall be grounds to deny admission to a department or program.

In addition to the penalties above, the faculty member shall notify in writing the department

chair and the registrar of the infraction. The notification to the department chair should include

documentation of the academic dishonesty infraction and the course of action the faculty

member takes. All documentation must be provided within 10 business days after the discovery

of academic dishonesty. The department chair shall forward the report of the infraction to the

Provost and Vice President for Academic Affairs. The registrar shall block the student from

withdrawing from the course to avoid the penalties that result from the infraction. The Provost

and Vice President for Academic Affairs shall act as the record keeper for student academic

infractions. The Provost and Vice President for Academic Affairs will notify the student in

writing that an infraction has been reported and inform the student and the faculty member of

their rights to be heard by the Academic Dishonesty Committee; furthermore, such

communication will indicate the right to appeal and of the appropriate appeal procedures.

The Provost and Vice President for Academic Affairs shall notify the student, the department

chair, and the faculty member that initiated the proceedings, of any additional action taken

beyond those already imposed by the faculty member of the Academic Dishonesty Committee.

Should a single infraction be so egregious, or should a student have a record of multiple

infractions, the Provost and Vice President for Academic Affairs may impose additional

penalties, including expulsion of the student from the University.

Once the Provost and Vice President for Academic Affairs receives the documentation

associated with an XF grade designation, the Provost and Vice President for Academic Affairs

will forward the documentation to the Academic Dishonesty Committee. The Academic

Dishonesty Committee shall decide whether the “X” portion of the XF grade designation is

warranted, and then notify the Provost and Vice President for Academic Affairs and the office

of the Registrar of the committee’s decision. The Academic Dishonesty Committee shall be

focused on the alleged dishonesty.

The Academic Dishonesty Committee shall consist of 5 members with a minimum of 1 tenured

faculty member from each School/College. New members of the committee will be assigned

within 30 days of the start of the academic year for a 2-year term. Committee members from

the College of Liberal Arts and Sciences, the School of Library and Information Management,

and the at-large member will be selected in odd years, and members from The Teachers College

and the School of Business will be selected in even years. All members of the Academic

Dishonesty Committee are assigned to the committee by the Committee for Campus

Governance via a random selection process. The committee shall designate its own chair. No

member of the committee shall abstain from voting on a decision, unless that member is the

same faculty member in whose course or under whose tutelage the act of academic dishonesty

occurred, in which event the committee member shall be recused, and a temporary substitute

member from the same School/College as the recused committee member shall be appointed

by the Faculty Senate Executive Committee.

The student and the faculty member each have the right to be heard by the Academic

Dishonesty Committee. Moreover, each has the right to appeal the charge of academic

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dishonesty (see Academic Appeals section). If after an appeal it is found that the student did

not commit an act of academic dishonesty, no penalties will be imposed on the student.

A student (current or former) who has received a grade of XF may present a written request to

the Provost and Vice President for Academic Affairs for the removal of the X from the student’s

transcript. Two years must pass before the request may be submitted. Granting the removal of

the X designation on a student’s transcript is at the discretion of the Provost and Vice President

for Academic Affairs provided the student has no additional academic dishonesty violations.

A chair of a department of director of a program may request from the Provost and Vice

President for Academic Affairs a list of all currently enrolled ESU students within that major

or program who have committed acts of academic dishonesty. This request may be a standing

request to be filled automatically during each semester until the request is rescinded by the chair

or director. In addition, a chair of a department or director of a program may submit to the

office of the Provost and Vice President for Academic Affairs a list of applicants to a program

or major and the chair or director may be informed if any of the applicants has committed any

acts of academic dishonesty.

Prior to the beginning of the next academic year, the office of the Provost and Vice President

for Academic Affairs shall send to the Chair of the Academic Affairs Committee of the Faculty

Senate a list containing nonspecific student identifiers, such as Student 1, Student 2, etc., their

specific academic infraction(s) reported to the Provost’s office, the total number of infractions

that have been reported for each student, and any actions taken by the Provost and Vice

President for Academic Affairs.

3D.09 VOLUNTARY OR INVOLUNTARY WITHDRAWAL FROM THE UNIVERSITY

FOR SERIOUSLY DISRUPTIVE BEHAVIORS (approved by the President, 7/21/2011)

When a student engages in behavior that violates the ESU Student Code of Conduct or Academic

Dishonesty Policy, those policies and procedures should be followed. However, at times students

engage in seriously disruptive behavior that requires swift intervention. “Seriously disruptive

behavior” is defined as behavior that is disruptive to the maintenance of the academic environment,

destructive to University property, or constitutes a threat to the well being of the student or others.

In such cases, the procedures outlined below should be followed.

3D.0901 RESPONSES TO SERIOUSLY DISRUPTIVE BEHAVIOR (updated

10/02/2013)

A. When a student has voiced intent and/or exhibits behaviors that require immediate

intervention (e.g. active suicidal or homicidal threat or behavior, etc.), these steps should be

taken:

1. Contact 911 for life threatening situations. The concerned party will notify ESU Police

& Safety to assure safety and to initiate appropriate action.

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2. ESU Police & Safety will notify administration according to the ESU Emergency

Operations Plan (“EOP”). This will include, if deemed appropriate, notifying the Dean

of Students or other members of the CARE Team.

3. Upon receipt by the Dean of Students, or designee, will evaluate and determine the

appropriate response(s), including but not limited to:

a. Referral for review by the Vice President for Student Affairs

b. Referral to the CARE Team

c. Referral under the Student Code of Conduct

4. Upon receipt by the CARE Team, the CARE Team will evaluate and refer the matter in

accordance with this policy and, if necessary, in conformity with requirements of the

University EOP.

B. When a student evidences behaviors that are seriously disruptive, but not of immediate risk

of harm to self or others, these steps should be followed:

1. The concerned party will notify the Dean of Students, or designee, or a member of the

CARE Team in accordance with University Policies.

2. Upon receipt by the Dean of Students, or designee, in the interests of timing and

sensitivity to the immediate needs of all parties, the Dean of Students will evaluate and

determine the appropriate response, including but not limited to:

a. Referral to Vice President for Student Affairs for administrative review

b. Referral to the CARE Team

c. Referral under the Student Code of Conduct

3. Upon receipt by the CARE Team, the CARE Team will evaluate and refer the matter in

accordance with the University Policies.

If during these processes the Dean of Students or the CARE Team has reason to believe the

seriously disruptive behavior may be related to a diagnosable mental disorder or other

condition, the following procedures should be followed:

3D.0902 VOLUNTARY WITHDRAWAL FROM THE UNIVERSITY (updated

10/2/2013)

A. The matter will initially be referred to the Dean of Students who will keep the Vice President

for Student Affairs notified of activities and recommendations on the proper course of

action.

B. The Dean of Students, or designee, and the student will explore referral to appropriate

community resources, reasonable accommodations that would eliminate or sufficiently

reduce the disruption, and/or explore a voluntary withdrawal of the student.

Parents/guardians/spouses or others identified by the student may be present during this

discussion.

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C. Upon voluntary withdrawal, the University will provide conditions and requirements

necessary for reinstatement.

D. Steps may be taken to minimize potential financial and academic loss.

3D.0903 INVOLUNTARY WITHDRAWAL FROM THE UNIVERSITY (updated

10/2/2013)

If a student does not withdraw under conditions described in the section on Voluntary

Withdrawal from the University and the Dean of Students or the CARE Team has reason to

believe the seriously disruptive behavior may be related to a disabling condition, the student

may be considered for involuntary withdrawal (as opposed to dismissal pursuant to the Student

Code of Conduct). In this case, the following procedure should be followed:

A. The Dean of Students, or designee, may refer the student for evaluation to a mutually agreed

upon and appropriately credentialed medical or mental health professional to determine the

effect of the medical or mental health issue on the behavior, and the prognosis for

continuation of such behavior.

1. The cost of this evaluation shall be borne by the University.

2. The student will be informed of this mandatory referral for evaluation in writing and will

also be provided with a copy of this policy.

3. The Dean of Students, or designee, in consultation with the Provost, may require an

interim suspension pending the result of this evaluation.

4. The evaluation should be completed within 10 University business days from the date

of receipt of the referral letter.

5. The student will sign a release permitting all relevant information to be provided to the

Dean of Students, or designee.

B. Should the evaluation result in a determination that there is no apparent threat to the safety

of self or others, no inability or refusal to fulfill personal, medical or mental health needs that

might lead to serious physical circumstances or death within a short period of time, and no

apparent threat to property, to the lawful activities of others, or to the educational processes

and orderly operations of the University, further procedures under this policy may cease. The

Dean of Students, or designee, may determine no further action under this policy is

necessary, and may refer the matter for action under another University policy.

C. If the determination of Section B above is based on the student’s continued compliance with

treatment, the student will be required to meet with the Dean of Students, or designee, and

CARE Team if necessary, to develop an administrative resolution with behavioral

expectations.

D. Should the evaluation result in a determination by the Dean of Students, or designee, that it

is in the best interest of the student and/or the University community that the student is

involuntarily withdrawn from the University, the Dean of Students, or designee, may make

such recommendation to the Vice President for Student Affairs, or designee. Should the

student be involuntarily withdrawn, the Vice President for Student Affairs, or designee, will

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issue a determination letter to inform the student in writing of the involuntary withdrawal

and of the student’s right to an appeal under section 3D.0804 below. Failure to file a timely

appeal constitutes a waiver of any right to an appeal. The circumstances regarding the

student’s involuntary withdrawal are not noted on the student transcript.

E. The University may permit the student to withdraw voluntarily at any time prior to the

conclusion of the involuntary withdrawal process.

F. If the student is unable or unwilling to cooperate in the mandatory evaluation process, the

University will make its decision based on the best available information.

G. Where the University seeks to involuntarily withdraw a student who is an otherwise qualified

individual with a disability on the basis that the student poses a “direct threat” within the

meaning of the ADA and amendments thereto, the University will make an individualized

assessment as follows:

1. Direct threat analysis will be made on an individualized assessment from the current

medical evidence, or best available objective evidence: 1) the nature, duration, and

severity of the risk; 2) the probability that the potential injury will actually occur; and,

3) whether reasonable modifications to policies, practices, or procedures, or the provision

of auxiliary aids and services, will mitigate the risk. If necessary, the University will

consult with individuals with in-depth knowledge and experience in the area of disability

as part this assessment.

2. Where there is an immediate safety concern, the University may set interim conditions

on the student while completing the assessment. The University will give the student

notice of the University’s actions and will provide minimal due process.

3. If the University determines that a student poses a direct threat to others, the University

may condition the student’s future receipt of a benefit or service upon the student’s

provision of documentation showing that the student is no longer a threat. Such evidence

may include, but not be limited to, a treatment plan or periodic reports from an

appropriately credentialed medical or mental health professional. The University will

not, however, condition the provision of a benefit or service upon a showing by the

student that he or she has eliminated behaviors that are a manifestation of a disability,

unless such behavior significantly contributed to the direct threat.

4. The Dean of Students, or designee, may recommend to the Vice President for Student

Affairs, to deny or rescind admission or suspend or dismiss a student who is determined

to be a direct threat to the health or safety of self or others. The Vice President for

Student Affairs will notify the student of the determination and provide a copy of this

policy and explain the appeal procedure.

3D.0904 APPEAL

A student may request a meeting with the Vice President for Student Affairs to appeal the

determination that he or she be involuntarily withdrawn. If the student wishes to appeal, the

following provisions will apply:

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A. The student must submit a written request to the Vice President for Student Affairs within

3 University business days from the date of receipt of the determination letter; or in cases

of hospitalization or incarceration, the student may submit the written request to appeal

within 3 University business days of release.

1. The meeting date will normally be set within 5 University business days following the

receipt of the request.

2. Pending completion of the meeting, the student is subject to interim involuntary

suspension, but may be allowed to be on the campus to attend the meeting or for other

necessary purposes, as authorized in writing in advance by the Vice President for Student

Affairs or designee.

B. The student will be requested to authorize the Vice President for Student Affairs or designee

and other meeting participants to have access to relevant materials deemed necessary for the

meeting. If the student declines to grant access to the records, the meeting will proceed

without the requested information.

C. The student shall be informed in writing of the Vice President for Student Affairs’ or

designee’s final decision and reasons for decision, within 5 University business days

following the meeting. The decision of the Vice President for Student Affairs or designee

is effective upon being conveyed to the student and is final.

3D.0905 UNIVERSITY ACTION AFTER AN INVOLUNTARY WITHDRAWAL

BECAUSE OF BEHAVIOR CONCURRENT WITH A DIAGNOSED

MEDICAL OR MENTAL HEALTH DISORDER

A. Upon involuntary withdrawal because of behavior concurrent with a diagnosed medical or

mental health disorder, the University will provide conditions and requirements necessary

for reinstatement.

B. Reasonable efforts should be made to refer the student for appropriate medical or mental

health services.

C. Reasonable steps may be taken to minimize potential financial and academic loss in

conformity with other applicable ESU policies.

3D.0906 REINSTATEMENT AFTER A VOLUNTARY OR INVOLUNTARY

WITHDRAWAL FROM UNIVERSITY (updated 10/2/2013)

A student who has been withdrawn for reasons of disruptive behavior concurrent with a

diagnosed medical or mental disorder may be reinstated only with the approval of the Vice

President for Student Affairs, or designee. Applications for reinstatement may be made once

per semester.

Reinstatement requirements will be tailored to each student’s needs and related to the issue(s)

that necessitated the withdrawal. The reinstatement process includes the following steps:

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A. Former student will submit a letter to the Dean of Students requesting reinstatement, and

include a copy of a recent evaluation by a licensed mental or medical health professional

showing that the disruptive behaviors leading to the withdrawal are being adequately

managed. The evaluation would be initiated and paid for by the student, not by the

University.

B. The Dean of Students, or designee, will review the letter and the evaluation results, as well

as the conditions and requirements for reinstatement, to determine whether the conditions

and requirements have been met. The Dean of Students, or designee, in consultation with

the CARE Team, will make a recommendation to the Vice President for Student Affairs

based on consideration of this information.

C. The Vice President for Student Affairs will make a decision based on consideration of this

information and will notify the student and CARE Team of this decision and any conditions

within 5 University business days. The Vice President for Student Affairs, or designee, will

notify appropriate academic departments the student is reinstated and permitted to enroll or

re-enroll.

D. The student may be placed on probation for a period of no less than 1 semester after

reinstatement. If the student fails to meet the preconditions for reinstatement he or she may

be subject to withdrawal. The student’s probationary status will be monitored by the CARE

Team and will not be reflected on his or her academic transcript.

E. If the student successfully completes the probationary period, the CARE Team will evaluate

returning the student to regular status, and make recommendations to the Vice President for

Student Affairs to end the probationary period. The student will receive written notification

of the decision to return to regular status within 5 business days of the Vice President for

Student Affairs’ determination.

Reasonable deviations from these procedures will not invalidate a decision or proceeding unless

significant prejudice to a student may result.

Note: Emporia State University acknowledges the consultation, use, and adaptation of portions of

this policy from Kansas State University found online at:

http://www.k-state.edu/osas/Documents/2008/2008-09%20handbook.pdf

3D.10 STUDENT BILL OF RIGHTS (revised 10/98)

Viewing the University as a community, we, the Associated Students of Emporia State University,

believe that the entire community should share the responsibility for shaping standards of conduct

and the character of services to be provided.

It is recognized that we, as members of this community, must conduct ourselves in a manner which

does not violate the rights and freedoms of others. All members of this community, student, faculty

and staff of Emporia State University, have the responsibility to uphold the principles within this

statement policy.

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With this understanding, we establish this Bill of Rights for students.

Article I Rights of the Individual

Section 1.

The rights enumerated herein, shall not be construed as to nullify or limit any other rights possessed

by students.

Section 2.

Any individual shall have the right to be admitted to Emporia State University in accordance with

University admissions policy without regard to age, race, color, religion, gender, marital status,

national origin, handicap or disability, status as a Vietnam Era Veteran, or sexual orientation.

Section 3.

A student shall be exempt from disciplinary action or dismissal from the University except for

academic failure, failure to pay a University debt, or violation of a student or University rule or

regulation. Rules and regulations shall be established and clearly stated prior to any charge of

violation. The University shall have no legal authority over a student when he is outside University

jurisdiction. A student shall be subject to local, state and federal regulations.

Article II Rights of the Student

Section 1. Academic Rights

1.1 The student has the right to legitimate classroom discussion and to recommend consideration

of alternative opinions to those presented in the classroom.

1.2 The student has the right to appropriate use of University facilities in pursuing an academic

career.

1.3 The student has the right to entrance to any academic field of study available at the University

in accordance with the requirements of the academic program of that field.

1.4 The student has the right to have an instructor present within reasonable limits, during all

designated class meetings.

1.5 The student has the right to remain enrolled in a course for its duration, in accordance with

faculty policy, as long as academic dishonesty is not involved and as long as other students' rights

are not violated.

1.6 The student has the right to evaluate individual courses and faculty according to procedures

established by the departments/divisions.

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1.7 For purposes of granting academic credit, the student will be evaluated on the basis of

knowledge and academic performance, and not on the student's personal or political beliefs.

1.8 The student shall have the right, if dissatisfied with a grade in a class and if satisfactory

negotiations with the instructor are not accomplished, to be referred to the academic appeals policy

available in the Associated Student Government office.

Section 2. Campus Community

2.1 The student has the right to have access to all rules, rates, and regulations deriving from

contractual agreements with the University before signing any contract. Contracts shall be written

in language University students can readily understand.

2.2 While on campus the right of privacy against unauthorized search and seizure will be protected

as guaranteed by the U.S. Constitution. However, students are bound by policies stated in

contractual agreements that they sign (i.e., leases, residence hall contracts, and other University

policies).

2.3 Students have the right to invite and hear speakers of their choice on subjects of their choice.

Approval will not be withheld by the University officers for the purpose of censorship.

2.4 Students have the right to have their views and welfare considered in the formation of University

policy, through consultation by or representation on University committees which affect students

as members of the University community.

2.5 Associated Student Government, through the actions of the Student Senate, shall have the right

to be informed and the right to express the concerns of students on any proposed changes of

University policies on fees.

2.6 Recognizing that freedom requires order, discipline and responsibility and further recognizing

the right of all faculty and students to pursue their legitimate goals without interference in

accordance with University policy, students are free to assemble, to demonstrate, to communicate

and to protest.

2.7 Students shall not be denied equal employment opportunity on account of age, race, color,

religion, gender, marital status, national origin, handicap or disability, status as a Vietnam Era

Veteran, or sexual orientation. Students have the right to be interviewed on campus for any position

for which they meet the qualifications specified by any prospective employer permitted to recruit

on campus.

2.8 The established policy of the Board of Regents of the State of Kansas prohibits discrimination

on the basis of sex, race, religious faith or national origin within the institutions under its

jurisdiction. All fraternal and campus-related organizations shall follow this policy for the selection

of their members, except the prohibition against sex discrimination shall not apply to social

fraternities and sororities which are excluded from the application of Title IX of the Education

Amendments of 1972 (20 U.S.C. 1681 et seq.).

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Section 3. Organizations

3.1 Students are free to form, join and participate in any group for intellectual, religious, social,

economic, political or cultural purposes.

3.2 The University student has the right individually or in association with other individuals to

engage in off-campus activities, provided he/she does not in any way purport to represent the

University.

3.3 Students are free to use Memorial Union facilities for meetings or organizations, recognized by

Associated Student Government, subject to uniform regulations governing the use of the facility.

Section 4. Publications

4.1 Publication and dissemination of student views will be free from censorship as long as these are

not represented as the views of Emporia State University.

4.2 Official publications of the University, The Bulletin and the Sunflower shall obey the provisions

set forth in the Constitution of the Student Publication Board.

4.3 A student or student organization has the right to publish and distribute written material on

campus without the approval of the administration unless University facilities are used: further, the

administration shall make no effort to suppress such publications unless such distribution disrupts

the regular and essential operation of the University.

4.4 Publications shall not bear the name or logo of the University or purport to issue from it without

University approval.

3D.11 BOARD POLICY ON STUDENT ORGANIZATIONS AND ACTIVITIES (BOR

9/24/65; 1/21/77; 6/27/02)

The established policy of the Board of Regents of the State of Kansas prohibits discrimination on

the basis of age, race, color, religion, sex, marital status, national origin, physical handicap or

disability, status as a Vietnam Era Veteran, sexual orientation or other factors which cannot be

lawfully considered, within the institutions under its jurisdiction. All fraternal and campus-related

organizations shall follow this policy in the selection of their members, except the prohibition

against sex discrimination shall not apply to social fraternities or sororities which are excluded from

the application of Title IX of the Education Amendments of 1972 (20 U.S.C. Sec. 1681 et seq.).

The right of organizations to establish standards for membership is acknowledged, provided that all

students are afforded equal opportunity to meet those standards. Just as all students have the right

to choose those with whom they would associate on the campus, an organization shall have the right

to select its members subject to these principles. Nothing in this policy shall be interpreted as

imposing a requirement which would violate the principle of selection on the basis of individual

merit.

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The responsibility for compliance with this policy lies with each organization. In discharge of this

responsibility, each organization shall acknowledge its understanding of this policy. Such

acknowledgment shall assure that there exist no restrictions on membership, either local or national,

which violate this policy.

3D.1101 DETERMINATION OF APPROPRIATE STUDENT ACTIVITIES AND FEES

The chief executive officer shall be ultimately responsible for reviewing proposed expenditures

from fees required of every student as a condition of enrollment and as determining whether

such expenditures are in support of an appropriate student activity.

3D.12 UNIVERSITY STUDENT COMPLAINTS (approved by President 11/7/2014)

The Kansas Board of Regents requires each state university to establish and enforce explicit

procedures to address student grievances and complaints alleging university activity, or a university

employee act of omission, that is proscribed by Board or institutional policies. Each state university

is required to create, maintain and advertise a single point of contact to assist students in determining

the appropriate university procedure for initiating a particular complaint or grievance.

The single point of contact to assist students in determining the appropriate university procedure for

initiating particular complaint or grievance at Emporia State University is the Dean of Students. To

address complaints for which there is no other applicable institutional procedure, upon written,

formal and signed complaint, the Vice President for Student Affairs will evaluate and in accordance

with the Board of Regents policy entitled “Complaint Process” manage such complaint.

If it is impossible for the complaint to be resolved by the Vice President through administrative

channels, the issue shall be referred to the President who shall appoint an appropriate institutional

committee to hear the complaint.

The hearing committee shall forward its recommendation to the President for review. The President

shall accept, reject, or modify the recommendation of the hearing committee.

Final Summary Area

This procedure shall not negate any other policy relating to the processing of claims or charges of

proscribed conduct which may be made by person directly involved with or affected by the operation

and management of the university.

If after exhausting all available institutional grievance or complaint processes a student’s complaint

remains unresolved, the student may make a complaint to the Kansas Board of Regents office, in

writing, by completing and submitting such forms as may be required by the Board. (See

http://www.kansasregents.org/students/university_student_complaints)

Contact Information:

Dean of Students Vice President for Student Affairs

260 Memorial Union 260 Memorial Union

620-341-5269 620-341-5269

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3E. RESEARCH AND DEVELOPMENT

3E.01 RESEARCH AND CREATIVITY POLICY (FSR 221 approved by Faculty Senate 3/6/73;

updated 9/2010; updated 2/2011)

Basic Policy

1. Research and creativity are recognized as necessary to the mission of the University and as a

part of the academic responsibilities of individual faculty members.

2. Research and creativity are a part of the evaluation and reward system of the University. This

system is not intended to create a publish-or-perish policy nor should it be construed as

endorsing such a policy.

3. The faculty and administration assume a positive attitude toward research and creativity in

defining the role and mission of the University to the regents, the legislature, other state colleges

and universities, and the public.

4. Individual faculty members and departments are especially encouraged to undertake research

and creative functions which involve students, and particularly graduate students.

5. Individual departments are encouraged to give reasonable support to research and creativity

within the framework of their allocated budgets.

6. A major portion of sabbatical leaves is to be used for the support of research and creative

activities.

Implementation of Policy

ESU encourages its faculty to pursue research, creative projects, and other scholarly activities. The

primary center for such encouragement is the Graduate School Office, one of the functions of which

is the support of scholarly activity and the handling of grants for the institution. The faculty research

and creativity committee, a faculty committee for which the dean of the graduate school acts as

executive secretary, is the body primarily responsible for this function.

In addition to its general charge of encouraging research and other scholarly activity, the faculty

research and creativity committee awards grants for support of the following activities:

small seed grants in support of scholarly and creative endeavors; Faculty Support in Search of

Funds Program, to which faculty members may apply for travel assistance which will aid them

in obtaining support from outside sources; and research assistantships. Further information

about these programs is available in the Research and Grants Center.

The Research and Grants Center lends all possible assistance to faculty members in seeking support

from outside agencies. It maintains information on the latest federal legislation affecting educational

and scholarly support. It provides advice and assistance in preparing and submitting proposals for

grants and contracts. All such proposals must be submitted through the Research and Grants Center.

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3E.0101 RESEARCH AND GRANTS CENTER

The Research and Grants Center has responsibility for the orderly submission of grant proposals

and the fiscal administration of funded projects, including grants and contracts. Faculty seeking

external funds for research or other projects submit their applications through the Research and

Grants Center. After an award is made, the center maintains the financial records and supervises

the receipt and disbursement of grant/contract funds. The Research and Grants Center also

advises faculty as to sources of external funding, works with faculty in the development of

proposals, and coordinates the University's allocation of internal awards for research and

creativity.

The process of submission of a proposal for an external grant or contract begins when a faculty

member notifies the Research and Grants Center of intent to submit. This should be as early as

possible, so that the center may render all assistance possible to the principal investigator. The

faculty member should consult with the center during proposal development, particularly in

regard to budgetary and administrative concerns. The principal investigator should allot

adequate time for proposal review by the administration and should inquire at the Research and

Grants Center in regard to procedures for administrative sign-off.

Procedures for the submission of proposals to the faculty research and creativity committee,

which awards internal grants for research and creative activity, are spelled out in the annual

solicitation issued by the committee through the Research and Grants Center.

Upon receipt of an external or internal grant or contract, the project director receives guidelines

for administration of the award from the Research and Grants Center. The center notifies the

project director of the account number assigned to funds for the grant, maintains ledgers on

grant accounts, and submits the financial reports required by granting agencies.

3E.02 RESEARCH INVOLVING HUMAN SUBJECTS (revised 2/08/2011)

The policies and procedures on research involving human subjects are consonant with those of the

federal government and include research done by faculty and/or ESU students. The policies and

procedures are aimed at safeguarding the rights and welfare of the subject, the investigator, and the

University.

When research involving human subjects is conducted by students (e.g., thesis, research problem,

independent study) it is the responsibility of the faculty directing the research to ensure that

clearance is obtained through the Institutional Review Board for Treatment of Human Subjects.

In general, subjects at risk are protected. This phrase is interpreted to mean any individual who may

be exposed to the possibility of injury, including physical, psychological, or social, as a consequence

of participation as a subject in any research, development, or related activity which departs from the

applications of those established and accepted methods necessary to meet his/her needs, or which

increases the ordinary risks of daily life, including the recognized risks inherent in a chosen

occupation or field of service.

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The Research and Grants Center has responsibility for review of all research involving human

subjects. Each researcher will file a protocol statement detailing the proposed research and will

obtain approval by the Review Board. Before approval to use human subjects can be provided,

individuals must review the IRB Training Module and receive a score of at least 80% on the Human

Subjects Training Quiz. Details regarding the format of the protocol statement and other matters

relating to research involving human subjects, including classes exempt from review, may be

obtained from the Research and Grants Center or available at its website.

3E.03 POLICY ON ANIMAL CARE (Developed by Graduate Dean, approved by Vice

President for Academic Affairs, 1973)

The use of cats, dogs, guinea pigs, hamsters, rabbits, nonhuman primates, and certain other

warm-blooded animals other than humans in all activities under the purview of ESU faculty, staff

members, and students is to be carried out in compliance with the federal Animal Welfare Act, as

amended. A 5 member University committee on the Care and Use of Laboratory Animals has been

designated to review the use of animals in experimentation or teaching and to certify compliance

with appropriate regulations to the United States Department of Agriculture and other agencies.

Information regarding the appropriate animal care regulations can be obtained from the Research

and Grants Center or at http://www.emporia.edu/grad/research/animal/htm.

3E.0301 GUIDELINES FOR FORMING AND OPERATING THE

UNIVERSITY-WIDE ANIMAL CARE AND USE COMMITTEE (FSB 01008

approved by President 12/10/01; updated 9/2010; updated 10/2/2013; approved by

COCG 10/25/2016)

Name: Animal Care and Use Committee

Short Statement of Function: To promote the best practices in safe and ethical handling and use

of animals. The establishment of this committee is required by the Animal Welfare Act of 1966

and its subsequent amendments to review and approve research proposals involving the use of

animals that are submitted for federal funding. The Animal Care and Use Committee will also

review and approve all other University projects that require the use of animals.

Reports to: The President of the University

Copies of minutes and annual report sent to:

1. President's Office

2. Provost and Vice President for Academic Affairs

3. Vice President for Administration and Finance

4. Faculty Senate Office for maintaining records

5. Chair of the Committee on Campus Governance

6. Graduate School

Membership Selection:

1. By whom: President

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2. Guidelines for selection: The committee will include designated representatives from the

Department of Biological Sciences, the Department of Psychology, an additional faculty

member outside these 2 departments, a veterinarian chosen from the community, a

community representative from outside the University, and a designated representative from

the University physical plant. The chair of the committee will be the designated

representative from either Biological Sciences or Psychology and will rotate annually to the

other department's representative.

3. Length of terms: annual appointments, renewable without restriction of number of terms.

4. Voting members: All members of the Committee will be voting members except in situations

where research or a project of 1 of the members of the committee is being reviewed. In such

a case, the person whose research or project is being considered will not have the right to

vote for or against approval of the item being reviewed but may give input to the Committee.

3E.04 POLICY FOR RESPONDING TO ALLEGATIONS OF SCIENTIFIC MISCONDUCT

(approved by President 3/99)

All faculty, staff, and administrators at Emporia State University are expected to contribute to the

maintenance of an atmosphere of honesty and integrity in the conduct of research and scholarly

activity.

Individual researchers, whether faculty, staff, or students are expected to maintain high standards

of integrity in their work. This includes concern for quality of published work, bestowing

appropriate credit upon cooperators and colleagues for their contributions, and a willingness to

defend published work. It also entails restricting coauthorship to individuals who have made a

significant contribution of the investigation and have a thorough knowledge of it.

It is the responsibility of all divisions and administrative units to develop and disseminate to

employees information regarding professional integrity appropriate to the discipline. Faculty

members are responsible for teaching proper scientific and academic conduct to their students, and

for leading by example.

The administration is responsible for articulating to all university employees a clear statement that

the university will not tolerate fraudulent or dishonest conduct, and the consequences of such

misconduct.

This policy and the associated procedures apply to all individuals at Emporia State University

engaged in research that is supported by or for which support is requested from PHS. The PHS

regulation at 42 C.F.R. Part 50, Subpart A applies to any research, research-training or research-

related grant or cooperative agreement with PHS. This policy applies to any person paid by, under

the control of, or affiliated with the institution, such as scientists, trainees, technicians and other staff

members, students, fellows, guest researchers, or collaborators at Emporia State University.

The policy in its entirety may be found on the Research and Grants Center website at

http://www.emporia.edu/dotAsset/abf69774-a557-4d1d-9c7c-2d8d6cc22a48.pdf.

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3E.05 INTELLECTUAL PROPERTY POLICY, PATENT, AND COPYRIGHTABLE

SOFTWARE POLICY (FSB 99012 approved by President 5/31/00; FSB 12005 approved

by President 12/7/2012; FSB 13006 approved by President 3/16/2014)

The purpose of Emporia State University’s Intellectual Property Policy is to foster the creation and

dissemination of knowledge and to provide certainty in individual and University rights associated

with ownership and the distribution of benefits that may be derived from the creation of intellectual

property. The policy is intended to be a broad statement to provide uniformity while allowing

flexibility. This policy applies to all full- or part-time employees, including student employees,

creating intellectual property while under contract at Emporia State University. Student employees

and staff members of official student publications shall be exempt from this policy to the extent set

forth in the publication’s related guiding documents and the terms and conditions of their

employment for that publication. When revenues are to be shared, the creator(s) shall obtain his/her

share only after Emporia State University has recouped any direct costs incurred for equipment,

materials, and costs paid to third parties. The portion of the revenues to be shared among multiple

creators shall be shared equally unless otherwise agreed in writing by the creators. Finally, this

policy implements the Board of Regents Intellectual Property Policy (BORIPP).

The following are definitions of specific terms used in this policy:

1. “Course material” means the substantive content of a course as created, compiled, and/or

organized by the instructor including lecture notes, outlines and slides; assignments and

examinations; reading and reference materials; and audio and video materials embedded in the

course.

2. “Employee” shall mean a full or part-time employee of the University including student

employees.

3. “Mediated courseware” means a content delivery methodology that meets all of the following

criteria:

a. Enables employees to rely exclusively or substantially on non-classroom contact hours for

instruction;

b. Makes extensive use of technology, including but not limited to video conference, streaming

media, and similar technologies, and

c. Permits geographically dispersed individuals to access courses.

4. “Self-initiated mediated courseware” means mediated courseware created by the employee

without specific direction by the University, i.e., not University-directed mediated courseware.

5. “Substantial use” means that the creator of intellectual property receives more than normal

support for the project or receives time and/or resources specifically dedicated to the project.

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6. “University-directed mediated courseware” means mediated courseware created pursuant to a

specific assignment and the University provides the employee with materials and time to

develop the mediated courseware.

Intellectual Property Rights Retained Exclusively by Creator

The University has no rights in any intellectual property that is created solely as a result of the

employee's own creative and intellectual effort, time, resources, and money. In addition,

notwithstanding the use of University resources or the “work for hire” principle, a faculty member

retains exclusive intellectual property rights in his or her course material, regardless of the delivery

methodology (e.g., via mediated courseware), except that course materials developed pursuant to

a specific appointment to create a course to be delivered via mediated courseware shall be the

property of the University. For purposes of this policy, an appointment to teach a course during the

summer or intersession terms shall not be considered a “special appointment” to which this

exception applies. In cases of a specific appointment, when the University expressly directs the

creation of a course to be delivered via mediated courseware in an appointment specific to that

purpose, and provides materials and time to develop the course and compensates the employee

specifically for this purpose, the University shall have the right to revise and decide who will utilize

the course materials for the purpose of instruction, and has the right to decide on the sharing of

revenue and control, if any.

The ownership of the various rights associated with copyright is dependent upon the specific type

of intellectual property. The University shall assert limited ownership of some of the various rights

as set forth below. Because the University has a fiduciary responsibility for the appropriate use of

state funds, unless otherwise provided for under this policy, all rights associated with works

produced as “work made for hire” or other works that make “substantial use” of institutional

resources belong to the University.

For any State or Federal agency which has separate statutory authority regarding rights in

copyrightable materials, ownership of intellectual property developed in the course of work for that

agency shall be determined pursuant to the authorizing statute. Ownership of other work shall be

determined pursuant to this policy.

1. Mediated Courseware. the University shall have limited ownership or control rights for

mediated courseware as specified below:

a. Self-initiated mediated courseware. When employees develop mediated courseware without

specific direction by the University, unless otherwise agreed, the ownership of the

courseware shall remain with the employee. Normally, no royalty, rent or other

consideration shall be paid to the employee when that mediated courseware is used for

instruction at the University and such mediated courseware shall not be used or modified

without the consent of the creator(s). The mediated courseware shall not be sold, leased,

rented or otherwise used in a manner that competes in a substantial way with the for-credit

offering of the University unless that transaction has received the approval of the Provost

Should approval be granted to offer the course outside of the University, the creator shall

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reimburse the University for substantial use of University resources from revenues derived

from the transaction offering the course.

b. University-directed mediated courseware. When the University specifically directs the

creation of mediated courseware by assigning one or more employees to develop the

mediated courseware and supplies them with materials and time to develop the mediated

courseware, the resulting mediated courseware belongs to the University and the University

shall have the right to revise it and decide who will utilize the mediated courseware in

instruction. The University may specifically agree to share revenues and control rights with

the employee.

2. Scholarly and Artistic Works

Notwithstanding any use of University resources or “work made for hire,” the ownership of

textbooks, scholarly monographs, trade publications, maps, charts, articles in popular magazines

and newspapers, novels, nonfiction works, supporting materials, training materials, artistic

works, and like works shall reside with the creator(s) and any revenue derived from their work

shall belong to the creator(s), unless otherwise agreed in writing. Except for textbooks, the

University shall have royalty-free use of the work within the University, unless otherwise

agreed in writing, pursuant to the employee’s appointment with the University.

3. Manuscripts for Academic Journals

a. Notwithstanding any use of University resources or “work made for hire”, the ownership of

manuscripts for publication in academic journals shall reside with the creator(s) and any

revenue derived from their works shall belong to the creator(s).

b. If the manuscript is to be published, the creator(s) shall request the right to provide the

University with a royalty-free right to use the manuscript within the University in its

teaching, research, and service programs, but not for external distribution, and, if successful,

the creator(s) shall grant such right to the University.

c. Upon the establishment of national governmental or nonprofit entities whose purpose is to

maintain in an electronically accessible manner a publicly available copy of academic

manuscripts, the Kansas Board of Regents will review each entity and upon determination

that providing the manuscripts will not jeopardize the publication of articles or infringe on

academic freedom, require the creator(s) to provide to the appropriate entity a limited license

for the use of each manuscript.

4. Copyrightable Software (see Patent and Copyrightable Software Policy below)

Patent and Copyrightable Software Policy

Patents obtained on inventions resulting from University sponsored research or the ownership of

copyrightable software with an actual or projected market value in excess of $10,000 annually shall

be retained by the University or may be assigned to an organization independent of the University

and created for the purpose of obtaining patents on inventions, receiving gifts, administering or

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disposing of such patents, and promoting research and the development of intellectual property at

the University by every proper means. The following policies shall be followed with respect to

inventions or software:

1. Anyone who conceives an invention resulting from a research project sponsored by the

University or who develops copyrightable software that is not included in mediated courseware

shall report the matter to the appropriate research administrator at the University.

2. a. If the University decides that the invention does not warrant patenting, the inventor is free

to patent it. In such case, however, the University does not relinquish its right to publish any

of the data obtained in the research project.

b. If the University patents the invention but decides not to further the use of the copyrightable

software, it shall assign the rights therein to the creator(s) within 3 years of the date of the

patent.

3. When any revenue is obtained by or on behalf of the University from the development or

assignment of any patent or from royalties, license fees or other charges based on any patent or

copyrightable software, not less than twenty-five (25) percent of revenues shall be paid to the

inventor or creator(s). Revenue sharing shall begin only after the University recoups costs as

set forth in this policy.

4. The remainder of any revenue mentioned in Paragraph 3 shall be used to sponsor further

research and research-related activities in the University.

5. In case of cooperative research sponsored in part by an outside corporation or individual, a

written contract shall be made between the University and the cooperating agency. This

contract should include a statement of policy substantially equivalent to that outlined below:

“It is agreed by the parties to this contract that all results of experimental work, including

inventions, carried on under the direction of the scientific staff of the University, belong to the

University and to the public and shall be used and controlled so as to produce the greatest

benefit to the public. It is understood and agreed that if patentable inventions or copyrightable

software grow out of the work and such inventions or software have commercial value, the

cooperating agency shall receive preferential consideration as a prospective licensee, with a

view to compensating said cooperating agency in part for the assistance rendered in the work.”

“It is further agreed that the name of the University shall not be used by the cooperating agency

in any advertisement, whether with regard to the cooperative agreement or any other related

matter.”

6. In case of a research project where it is proposed that all costs including overhead, salary of

investigator, reasonable rent on the use of equipment, etc., are to be paid by an outside party,

the University shall negotiate with the outside party the appropriate disposition of any resulting

patent or copyrightable software rights prior to the provision of any funding by the outside

party. “Appropriate disposition” shall include an option to negotiate a license to any resulting

intellectual property. The University shall reserve a royalty-free right to publish all data of

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fundamental value to science and technology and to use the patent or copyrightable software

rights for teaching, research or other educational and academic purposes.

7. Changes in the above policies may be made by the University to conform to the requirements

of the United States Government when contracting with the United States Government or a

Federal Government Agency.

Trademark Policy

The University maintains a trademark policy that provides for the protection of the trademarks and

service marks of the University (see University Names, Logos, and Marks).

Institutional Procedures

The University shall establish procedures to accomplish the approval by the Provost to allow

mediated courseware to be sold, leased, rented or otherwise used in a manner that competes in a

substantial way with the for-credit offering of the University. The University shall establish

reporting procedures to monitor creation of University-directed mediated courseware. The institution

shall establish procedures, which are separate from this policy that require employment contracts

and course catalogs or syllabi to state that the employee or student is subject to this policy and to

resolve questions concerning intellectual property rights and any disputes that develop under this

policy. Final decisions on disputed matters will be made by the Chief Executive Officer or designee

and shall constitute final agency action.

3E.06 USE OF COPYRIGHTED MATERIAL (FSB 06026 approved by President May 7, 2007)

It is the mission of Emporia State University to foster freedom of inquiry and expression through

educational opportunities in a collegial atmosphere, the institution intends that all members of the

community abide by the copyright law. Individuals should make sure that the use of copyrighted

materials is allowed by copyright law, fair use guidelines, a license agreement, or the permission of

the copyright owner. Proper acknowledgment of sources must be performed, but does not remove

the responsibility to adhere to copyright law by following fair use guidelines or obtaining

permission. If copyright law is modified, the affected section of the university policy will be

modified correspondingly following the appropriate protocol for policy modifications.

The University Copyright Committee shall develop, maintain and publish guidelines on the

appropriate use of copyrighted materials. University Libraries and Archives will assist in submitting

requested and required permissions for use and may be consulted regarding the duplication of print

or non-print materials for such purposes as classroom instruction, reserving materials for student use,

or for academic research. The Copyright Committee will work with University Libraries and

Archives to provide educational experiences on copyright. The University General Counsel will

provide advice to University Libraries and Archives and to individual University faculty and staff

regarding complex copyright questions.

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3E.0601 DIGITAL MILLENNIUM COPYRIGHT ACT – INTERIM POLICY (approved

by Administrative Team 12/19/05; updated 10/2/2013)

Policy Objectives

This policy sets forth University policy with regard to the Digital Millennium Copyright Act

(“DMCA”) and specifically 17 U.S.C. Section 512(c). Emporia State University respects the

rights of holders of copyrights, their agents and representatives and implements appropriate

policies and procedures to support these rights without infringing upon the legal use, by

individuals, of those materials.

Policy

It may be a violation of copyright law to copy, distribute, display, exhibit or perform

copyrighted works without authority of the owner of the copyright. It is ESU policy that users

of Internet services and equipment provided by ESU are responsible for their compliance with

all copyright laws pertaining to information they place on or retrieve from the Internet.

Information on copyright law and these rights can be found in a number of places, but general

information can be found by visiting the following sites:

• United States Copyright Office (www.copyright.gov)

• Digital Millennium Copyright Act

Designated Agent

ESU’s Designated Agent to receive notifications of alleged infringement under the DMCA is:

Information Security Officer

Emporia State University

1200 Commercial Campus Box 4018

Emporia, KS 66801-5087

Voice 620-341-1200

Fax 620-341-5662

Email [email protected]

Upon receipt of proper notification of claimed infringement, ESU will follow the procedures

outlined herein and in applicable law.

Complaint Notice Procedures for Copyright Owners

The following elements, as set forth in 17 U.S.C. 512(c)(3), must be included in the DMCA

1. An electronic or physical signature of the copyright owner or a person authorized to act on

behalf of the owner of an exclusive right that is allegedly infringed.

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2. Identification of the copyrighted work claimed to have been infringed, or if multiple

copyrighted works at a single online site are covered by a single notice, a representative list

of such works at that site.

3. Identification of the material that is claimed to be infringing or to be the subject of infringing

activity and that is to be removed or access to which is to be disabled, and information

reasonably sufficient to permit ESU to locate the material.

4. Information reasonably sufficient to permit ESU to contact the complaining party, such as

an address, telephone number, and, if available, an electronic mail address at which the

complaining party may be contacted.

5. A statement that the complaining party has a good faith belief that use of the material in the

manner complained of is not authorized by the copyright owner, its agent, or the law.

6. A statement that the information in the notice is accurate, and under penalty of perjury, that

the complaining party is authorized to act on behalf of the owner of an exclusive right that

is allegedly infringed.

Failure to include all the above information may result in a delay of the processing of the

DMCA notification.

Responsibilities

All individuals who use ESU Internet services are responsible for their compliance with

University authority in accordance with the ESU Policy Manual and the Acceptable Use Policy

for possible disciplinary actions.

Notice and Takedown Procedure

Upon the Designated Agent’s receipt of proper notification of claimed copyright infringement,

the Designated Agent will attempt to notify the user and Information Technology (IT). IT shall

respond expeditiously by removing, or disabling access to, the material that is claimed to be

infringing or to be the subject of infringing activity. ESU will comply with the appropriate

provisions of the DMCA in the event a counter notification is received.

Repeat Infringers

Under appropriate circumstances, IT may, at its discretion, terminate authorization of users of

its system or network who are found to intentionally or repeatedly violate the copyright rights

of others.

Scope

This policy applies to all users of the Internet Services provided by ESU.

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Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with

this policy.

Exceptions

The President or designee must approve exception to this policy.

3E.07 EXPORT CONTROLS POLICY (approved by President 6/20/2013)

Export controls, set forth in regulations administered by several federal agencies, impose access,

dissemination, and participation restrictions on the transfer and retransfer of "controlled" software

code and information and on the export and re-export of tangible items. An export is defined as the

shipment of tangible items and the transmission or transfer of software code or information to

another country, while a "deemed export" is the disclosure of controlled software code or

information to foreign nationals in the US. The US Commerce Department must issue an export

license or provide an exception to or exclusion from license requirements before any controlled

tangible item, software or information in the US on the Commerce Control List (CCL) may be

exported or re-exported. Likewise, if a tangible item, software or information is on the US Munitions

List (USML), the US State Department must issue an export license or provide for an exception to

or exclusion from licensing requirements. Emporia State University will comply with all applicable

export controls, as established by federal regulations.

Export controls restricting a foreign national's participation in university research within the United

States, i.e., “deemed export” restrictions, generally do not apply to the conduct or results of

fundamental research. Emporia State University conducts only fundamental research as defined by

the export control regulations - namely, openly-conducted basic and applied research that is not

subject to access, dissemination, or participation restrictions. Fundamental research conducted

outside of the US, however, remains subject to export controls. Because fundamental research

conducted on US soil is excluded from export control regulations, research and other scholarly

activities involving foreign nationals at Emporia State University do not trigger the need to obtain

export licenses before they may proceed. However, in the case of shipments of certain tangible

items, software or information outside the U.S., Emporia State University has the responsibility to

either:

1. Obtain an export license;

2. Document an express determination that an exception to export licensing requirements applies;

3. Document an express determination that no license is needed.

Of primary concern are transactions involving proprietary or confidential export-controlled

information provided to Emporia State University researcher by third parties, such as corporate

vendors, subcontractors, or government collaborators. These may generate disclosure restrictions

that may only be acceptable if they fall within the narrow exceptions provided by the Openness in

Research Policy and qualify for treatment under an exemption (ITAR) or license exception (EAR)

in the export control regulations.

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In all of these cases, there are related recordkeeping requirements that must be observed.

I. Definitions

A. Export

"Export" means to send or take controlled tangible items, software or information out of

the United States in any manner, to transfer ownership or control of controlled tangible

items, software or information to a foreign person, or to disclose information about

controlled items, software or information to a foreign government or foreign person. The

controlled tangible item, software or information being sent or taken out of the United

States is also referred to as an "export."

B. Re-Export

"Re-export" means an actual shipment or transmission of controlled tangible items,

software or information from one foreign country to another foreign country. The export

or re-export of controlled tangible items, software or information that will transit through

a country or countries, or will be unloaded in a country or countries for reloading and

shipment to a new country, or are intended for re-export to the new country, are deemed

to be exports to the new country.

C. Deemed Export

“Deemed Export” is a term used by the Commerce Department to describe the situation

where a foreign national on US soil may be exposed to, or have access in any manner to,

an export-controlled item or export-controlled software or information. Although the

State Department does not use this term, but rather includes this concept in its definition

of export, Emporia State University will use the term “deemed export” when discussing

access by foreign nationals to controlled information on our soil, without regard to which

agency may have cognizance over the transaction.

D. US Person/Foreign Person

A “US person” is a citizen of United States, a lawful permanent resident alien of the US,

(a “Green Card” holder), a refugee or someone here as a protected political asylee or

under amnesty. US persons also include organizations and entities, such as universities,

incorporated in the US. The general rule is that only US persons are eligible to receive

controlled items, software or information without first obtaining an export license from

the appropriate agency unless a license exception or exclusion is available.

A “foreign person” is anyone who is not a US person. A foreign person also means any

foreign corporation, business association, partnership or any other entity or group that

is not incorporated to do business in the US. Foreign persons may include international

organizations, foreign governments and any agency or subdivision of foreign

governments such as consulates.

E. Fundamental Research

The concept of “fundamental research” was established by National Security Decision

Directive 189 (NSDD 189), which establishes a national policy with regard to how such

research shall be treated for purposes of the various export control regimes.

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NSDD 189 defines fundamental research as:

basic and applied research in science and engineering where the resulting information

is to be shared broadly within the scientific community.

NSDD 189 provides that the conduct, products, and results of fundamental research are

to proceed largely unfettered by deemed export restrictions. It also states that the

government must determine – before releasing a research opportunity – whether the

research should be classified or otherwise kept secret. Research that carries access,

participation, or dissemination restrictions will not qualify as fundamental research for

purposes of the export control regulations.

Because export regulations expressly recognize that fundamental research is excluded

from deemed export controls, no export license or other authorization is needed to

involve foreign nationals in fundamental research activity at Emporia State University.

However, such research may give rise to export issues if the primary research is to be

conducted outside of the US or if it requires exposure of foreign nationals to proprietary

or confidential export controlled information provided by third parties such as

corporations, commercial vendors or government collaborators.

II. Regulations

A. State Department – International Traffic in Arms Regulations (ITAR) 22 CFR 120-130

The US Department of State, Directorate of Defense Trade Controls (DDTC), is

responsible for items and information inherently military in design, purpose, or use.

Referred to as "defense articles," such items are found on the US Munitions List, 22 CFR

121. Spacecraft and satellites, even if not for military use, are on the Munitions List,

along with their associated systems and related equipment. Information related to

Defense Articles is referred to as "technical data."

B. Commerce Department – Export Administration Regulations (EAR) 15 CFR 700-799

The US Department of Commerce, Bureau of Industry and Security (BIS), has export

jurisdiction over every thing in the United States, although BIS does not require a license

for every export. BIS controls goods and information having both civilian and military

uses by including them on the Commerce Control List, 15 CFR 774, also known as the

"Dual Use List." BIS uses the term "technology" when referring to information about the

goods on the Commerce Control List.

C. Treasury Department – Office of Foreign Assets Control (OFAC) CFR 500-599

The US Department of the Treasury oversees US economic sanctions and embargoes

through its Office of Foreign Assets Control (OFAC). Empowered by the Trading with

the Enemy Act and the International Emergency Economic Powers Act, OFAC enforces

trade, anti-terrorism, narcotics, human rights and other national security and foreign

policy based sanctions prohibiting the provision of anything of value, either tangible or

intangible, to sanctioned countries, organizations or individuals. The pertinent

regulations provide OFAC with broad authority to block or interdict vaguely defined

"prohibited transactions" involving restricted destinations or parties.

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The export control regulations summarized here each impose severe monetary and criminal penalties

for failure to comply with their requirements.

III. Export Licenses for Overseas Shipments

The Commerce Department has export jurisdiction over all goods and all "technology"

(Commerce Department term for information) in the United States, unless some other agency

has expressly been given such authority. However, this does not mean that a license must

be obtained before any item or piece of information can be shipped.

In order to determine whether it is necessary to obtain an export license from the relevant

federal agency to send tangible items or to transfer or transmit software code or information

outside the United States, the researcher preparing the shipment or transfer needs to

consider:

• whether the software code or information is proprietary or disclosure-restricted and

thus possibly export controlled, or whether it resulted from fundamental research to

which export controls do not apply,

• the description of the tangible item, software or information,

• the technical characteristics and specifications of the item, software or information,

• its intended end-use and end-user, and

• its destination.

All tangible items, software code and information not on a US export control list may be

shipped or transmitted to any country, individual or entity that is not sanctioned, embargoed

or otherwise restricted for export. Such items, code and information may be exported under

"No License Required" (NLR) provisions. Questions about the applicability of NLR to a

proposed export should be directed to the Dean of the Graduate School, who is designated

as the University Export Control Officer.

Certain overseas shipments or transmissions being handled on a “No License Required”

basis will require an explanation and justification for that classification.

Note also that specific training and documentation is needed whenever you are shipping

chemicals, biologicals or other dangerous materials.

IV. Accepting a Third Party’s Controlled Items or Data

The conduct and results of fundamental research may proceed openly and be shared freely

with foreign nationals in the United States without concern for deemed export restrictions.

Export-controlled items, software code or information provided by a third party, however,

may not be openly shared with certain foreign nationals, even though those individuals may

be important contributors to the performance of the fundamental research. Proprietary or

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restricted information that is required for the development, production or use of export-

controlled equipment is itself export-controlled. It carries with it export control requirements

that must be honored by the researcher who agrees to be a recipient of such information.

Before a researcher decides to accept such information, he or she must review the conditions

of the University's Openness in Research Policy. If the receipt of such information is in

compliance with University policy, the researcher must complete a Certification on the

Handling and Use of Third-Party Export Controlled Information. Should the researcher have

a need to share export-controlled information with others, the researcher must then determine

a proposed recipient's eligibility under export control regulations. This is done by notifying

the University Export Control Officer of the need to share the export-controlled information

before it is shared in order to assure proper determination of export control eligibility. If the

proposed recipient is determined to be a foreign national, and eligible to receive the export-

controlled information, the primary researcher must document the available license exclusion

or license exception.

A. University Openness in Research Policy

The Openness in Research Policy expresses our institutional commitment to "the

principle of freedom of access by all interested persons to the underlying data, to the

processes, and to the final results of research." This policy does not forbid nondisclosure

agreements, but such a commitment may relate only to such information that is

substantially remote from the intellectually significant portions of the research. A

promise not to disclose export-controlled information may be appropriate, so long as

keeping the confidentiality of that information will not disadvantage any other

researchers on the same project AND receipt of that information is not conditioned on

submitting to restrictions on the right to publish. Once it is determined that the

nondisclosure commitment does not violate the Openness in Research Policy, it must be

determined that the intended recipient is in fact "eligible" under the regulations.

B. Export Controls on Individual Eligibility as a Recipient

Generally, federal regulations require that only US persons may be provided with export-

controlled items, software code or information without having to obtain an export

license. Nonetheless, there are some specific exemptions (ITAR) and license exceptions

(EAR) available to those within the University community that may be useful. It is

extremely important to keep them in mind should it become necessary to share any

export-controlled items, software code or information beyond the original recipient.

For questions regarding the use of "No License Required," Non-Disclosure Agreements,

or license exceptions and exemptions, please contact the University Export Control

Officer. In addition, records must be kept in order to demonstrate compliance (see

below).

V. Recordkeeping Requirements

Each of the relevant export control regulations contain specific recordkeeping requirements that

must be satisfied. In addition, the university maintains its own recordkeeping requirements in

order to document its commitment to, and compliance with, export control regulations

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generally. Departments or programs must keep soft or hard copies of all export documentation,

including financial records, shipping documentation (Commercial Invoices, Shipper's Export

Declarations), and appropriate Emporia State University Certifications in their research project

files for a period of five years from the date of the export, re-export or controlled deemed

export. For assistance in determining which Certifications apply to a proposed shipment or

transfer, please contact: Export Control Officer.

Inquiries concerning the applicability of the export control regulations to any specific set of facts

should be director to the Export Control Officer.

Export Controls Decision Tree

1. Are you sharing, shipping, transmitting or transferring Emporia State University-developed,

non-commercial encryption software in source code or object code (including travel outside the

country with such software)?

2. Do you know or have any reason to believe that the item, information or software to be shared,

shipped, transmitted or transferred will support the design, development, production, stockpiling

or use of a nuclear explosive device, chemical or biological weapons, or missiles?

3. Was the item, information or software to be shared, shipped, transmitted or transferred

developed under a sponsored agreement imposing publication restrictions beyond a brief review

(up to 90 days) for patent protection and/or inadvertent release of confidential/proprietary

information?

4. Did an external sponsor, vendor, collaborator or other third party provide, under a Non-

Disclosure Agreement or a Confidentiality Agreement, the item, information or software to be

shared, shipped, transmitted or transferred?

5. Is the item being shared, shipped, transmitted or transferred a defense article other than

information or software on the ITAR’s US Munition List (USML)?

6. Is the information or software being shared, shipped, transmitted or transferred technical data

on the ITAR’s US Munition List (USML)?

7. Are you shipping or transferring items on the Commerce Control List (CCL) of the Export

Administration Regulations (EAR)?

8. Are you sharing, transmitting or transferring technology (information) or software code on the

Commerce Control List (CCL)?

9. Is the disclosure, shipment, transmission, or transfer to an entity or person in a country subject

to US economic or trade sanctions or identified by the US Department of State as a “State

Sponsor of Terrorism,” namely Iran, Cuba, Sudan, Syria, or North Korea?

A “Yes” answer to any question above means an export license if required. A “No” answer to all

9 questions above means you do not need to obtain an export license. You may ship or share when

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you have confirmed that you recipient and their affiliated organization is not a restricted party (as

defined by federal regulation).

VI. Amendment

The provisions of this Export Controls Policy may be amended from time to time in order

to remain compliant with U.S. and other applicable laws and regulations, to reflect changes

in activities at Emporia State University subject to this policy, or otherwise as deemed

appropriate. Any such amendment will become effective upon approval and publication in

the University Policy Manual of Emporia State University.

3F. EMPLOYMENT OF FOREIGN NATIONALS (Approved by President 8/02/2010; updated

10/2/2013; revised 9/30/2014)

Emporia State University assists, as set forth in this policy, full time faculty and administrative

employees in acquiring and maintaining lawful status and eligibility to work at ESU. This policy

sets forth departmental responsibility for activities related to this employment eligibility, the use of

outside counsel, and the payment of related expenses. Cases which are not covered by this policy

will be determined at University discretion on a case by case basis. This policy is to be applied in

conformity with state and federal law and any conflicts shall be decided in favor of the controlling

law.

1. ESU will not knowingly employ or continue to employ, individuals who do not meet the

requirements of federal laws pertaining to immigration and naturalization. All employees must

complete a Form I-9, Employment Eligibility Verification, in the presence of a designated ESU

representative on or before the date of hire as required by law. The failure of an employee to

properly complete Form I-9 within the requisite time period will result in termination of

employment.

2. ESU will select the best qualified applicant without regard to age, race, color, religion, gender,

marital status, national origin, handicap or disability, status as a Vietnam Era Veteran, sexual

orientation, or any other factors which cannot lawfully be considered, to the extent specified by

applicable federal and state laws.

3. Federal law regulates the employment of foreign nationals in the United States. The Office of

Human Resources is designated with the authority to sign applications and petitions to be filed

with United States Citizenship and Immigration Services (“USCIS”), Department of Labor

(“DOL”), or other immigration-related government agencies on behalf of the University related

to the employment of foreign national faculty and administrative employees. The Office of

International Education is designated as the department responsible for handling required

documents related to students. Nothing is this policy abrogates the President’s signature

authority. Responsible departments and offices should be contacted for specific procedures.

4. The Office of General Counsel must review applications and petitions under this policy before

the University submits them to the appropriate government agency. No employee may sign

documents on behalf of Emporia State University related to an immigration filing without the

specific authorization of the Office of General Counsel, except for Student and Exchange

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Visitor Information System (SEVIS) activities. Services rendered to, and on behalf of, foreign

national employees under any aspect of this policy are at the discretion of ESU. No right or

entitlement accrues to any employee by virtue of this policy, or by virtue of having received any

services under this policy.

5. This policy does not relieve any employees of their responsibilities in maintaining their

immigration status, nor does it limit the employee’s right to be represented independently by

competent legal counsel.

3F.01 NON-IMMIGRANT VISAS AND IMMIGRANT PETITIONS

1. Non-Immigrant Visas. A non-immigrant visa may enable foreign national faculty or

administrative employees to enter the United States and begin offered employment. Such Visa

petitions are generally handled by the Office of Human Resources. Except for fees required to

be paid by the employer by federal law, associated costs are the responsibility of employee.

Non-immigrant visa classifications relevant to this policy include:

a. F-1. Required for foreign national students admitted to the United States in an approved

educational program. Foreign national students at Emporia State University must have either

an F-1 visa or a J-1 visa.

b. J-1. Required for foreign national exchange visitors, including: students; faculty;

researchers; and, scholars eligible to conduct duties as delineated by their status and program

sponsor. Foreign national students at Emporia State University must have either a J-1 visa

or an F-1 visa.

c. H-1B. Required for foreign national specialty occupation professional who have been

petitioned by an employer for a position that requires a bachelor degree or its equivalent as

a minimum for entry into that position. The initial H-1B visa period of stay may be for up

to 3 years. A 3 year extension of this initial term may be granted for a maximum period of

stay of 6 years. The foreign national employee may not begin working in the United States

until an approval notice has been issued granting the H-1B classification with valid starting

and ending dates. If the employee already holds an H-1B visa from another U.S. position,

the “portability privilege” may apply. This is the visa required for most foreign national

faculty or staff employed at Emporia State University.

d. TN. Required for a foreign national who is a citizen of either Canada or Mexico who has

been petitioned by an employer for a position listed in the North American Free Trade

Agreement. This would apply to foreign national faculty or staff at Emporia State University

whose position meets eligibility requirements for this visa.

e. O-1. Required when a foreign national is considered to be a top expert in their profession

or field of endeavor. This would apply to a foreign national hired into a key staff or faculty

position at Emporia State University.

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2. Immigration Petitions for Permanent Residency (“Green Cards”). Foreign nationals

appointed to positions that are permanent in nature as defined by federal law and University

policy, may work with their department and the Office of Human Resources if they wish to

pursue permanent residency. Employment based Permanent Residency applications are

generally handled by outside counsel and reviewed and approved by University General

Counsel. Emporia State University will only be responsible for related expenses required by

law to be paid by the employer. All other associated costs and expenses, which are not the

obligation of the employer under law, are the responsibility of the employee.

Foreign nationals in positions which are defined as temporary by ESU are not eligible for an

employment based Permanent Residency petition. Hiring units should not promise permanent

residence to a foreign national as the process is complex and uncertain.

3. Self-Petitioned Immigration Applications. ESU cannot provide advice to individuals and

shall not be involved in personal immigration petitions. ESU only supports qualifying

employment based applications and petitions as set forth in this policy.

3G. COLLECTION, USE AND PROTECTION OF SOCIAL SECURITY NUMBERS

(Approved by President 1/8/09)

Emporia State University is committed to the protection of personal information of all University

community members. This policy addresses the collection, storage, use and disclosure of the Social

Security Numbers (“SSNs”) of all Emporia State University students, faculty, staff, alumni, and

other officially associated individuals. In the creation of this policy, Emporia State University

acknowledges the consultation of policies from Kansas State University, 8/18/2006; Mississippi

State University, 4/2/2006; University of Minnesota, 3/17/2005; and University of Illinois,

4/13/2004.

Policy Scope

This policy applies to all Emporia State University colleges/schools, departments, administrative

units, and other entities or persons officially associated with Emporia State University.

Policy

The SSN is not used as a personal identifier. SSNs are collected and used for the following

purposes:

• Employment – The SSN is required of all employees for matters such as, but not limited to,

tax withholding, FICA, Medicare or travel re-imbursement.

• Federal Financial Aid – The SSN is required for all students applying for student aid

through the use of the Federal Free Application for Student Assistance (FAFSA). Students

are also required to provide the SSN when applying for student educational loans.

• Tuition Remission – The SSN is required for Kansas reporting of taxable tuition remission

benefits received by employees and graduate assistants.

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• Benefits Management – T he SSN may be requ ir ed for verifying enrollment, processing, and

reporting of benefit programs, such as veterans’ programs, medical benefits and health

insurance claims.

• Student Insurance – The SSN is required for students participating in the Kansas Board of

Regents managed Student Insurance Program.

• IRS Reporting Purposes – The SSN is required for federally required reporting of all IRS

programs associated with all taxable and non-taxable scholarships, grants, and tuition

payments.

• Information Exchange – The SSN may be used as a student identifier for the exchange of

information from student academic records between appropriate institutions, including other

colleges and universities or certification and licensure programs.

SSNs shall not be displayed or encoded on University identification cards. SSNs shall not to be

displayed or used in other mediums as part of other procedures that violate this University policy.

The SSN shall not be used for regular identification or routine person authentication purposes. A

unique individual identification number is be assigned permanently to each individual associated

with Emporia State University. This number serves as the alternate to the SSN.

Access to SSNs is limited to authorized individuals for authorized purposes. Emporia State

University does not disclose the individual SSN to anyone outside the institution except as allowed

by law or upon proper written permission of the individual. The University Registrar is designated

as a University SSN officer and oversees the security of the SSN within the Emporia State

University computer systems and makes related day-to-day decisions to implement SSN usage

policies related to all student records. The Director of Human Resources is designated as a

University SSN officer and oversees the security of the SSN within the Emporia State University

computer systems and makes related day-to-day decisions to implement the SSN usage policies

related to all employment records. Review of procedures for SSN and conformity with this policy

and procedures is maintained in the Registrar and Human Resource Offices. Emporia State

University legal council will review and provide advice on questions concerning SSNs.

No individual will be denied services within the institutional operations except as required by law.

Policy Compliance

All Emporia State University employees and affiliated entities will abide by the provisions of this

policy and will act to ensure the security of SSNs and other confidential information.

3H. IDENTITY THEFT PREVENTION PROGRAM (Approved by President 11/9/09; FSB

14008 approved by President 4/15/2015)

I. Program Adoption

The President has been delegated authority by law and the Kansas Board of Regents to adopt

policies and procedures related to the management and operation of the University. The President

recognizes that some activities of the University are subject to the provisions of the Fair and

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Accurate Credit Transactions Act (FACT Act) and its “Red Flag” rules. Therefore, the President,

after drafting and approval by the University Task Force on Red Flag rules, hereby adopts this

Identity Theft Prevention Program ("Program") pursuant to the Federal Trade Commission's

(“FTC”) Red Flags Rule, which implements Section 114 of the Fair and Accurate Credit

Transactions Act of 2003. After consideration of the size and complexity of the University's

operations and account systems, and the nature and scope of the University's activities, the President

and Task Force determined that this Program is appropriate for the University, and therefore the

President approved this Program on November 9, 2009.

II. Program Purpose

Under the Red Flags Rule, the University is required to establish an “Identity Theft Prevention

Program” tailored to its size, complexity and the nature of its operation. Each Program must contain

reasonable policies and procedures to detect, identify, and mitigate identity theft in its covered

accounts. The University must incorporate relevant Red Flags into the Program to detect and

respond to potential identity theft. The University must ensure the Program is updated periodically

to reflect changes in risks to customers, students, creditors, or the University from Identity Theft.

III. Responsible University Official

The President shall designate a senior University official to serve as Program Administrator and who

will Chair the Identity Theft Committee. The Program Administrator shall report regularly to the

President on the Program and appropriate and effective oversight activities.

IV. Definitions

Pursuant to the Red Flag regulations at 16 C.F.R. §681.2, the following definitions apply to this

Program:

1. “Identify Theft” is a fraud committed or attempted using the identifying information of

another person without authority.

2. “Red Flag” is a pattern, practice, or specific activity that indicates the possible existence of

Identity Theft.

3. “Covered Account” includes all customer or student accounts or loans that are administered

by the University.

4. “Program Administrator” is the individual designated with primary responsibility for

oversight of the program. See Section IX below.

5. “Identifying information” is “any name or number that may be used, alone or in conjunction

with any other information, to identify a specific person,” including: name, address,

telephone number, social security number, date of birth, government issued driver’s license

or identification number, alien registration number, government passport number, employer

or taxpayer identification number, student identification number or computer’s Internet

Protocol address.

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V. Identification of Red Flags

In order to identify relevant Red Flags, the University considers the types of accounts that it offers

and maintains, methods it provides to open its accounts, methods it provides to access its accounts,

and its previous experiences with Identity Theft. The University identifies the following items could

be considered potential Red Flags in each of the listed categories, which employees should be aware

of and monitor for:

A. Notifications and Warnings from Credit Reporting Agencies

• Report of fraud accompanying a consumer report;

• Notice or report from a consumer agency of a credit freeze on a customer or applicant;

• Notice of report from a consumer agency of an active duty alert for an applicant;

• Receipt of a notice of address discrepancy in response to a consumer report request; and

• Indication from a consumer report of activity that is inconsistent with an applicant’s usual

pattern or activity.

B. Suspicious Documents

• Identification document or card that appears to be altered or forged;

• Identification document or card on which a person’s photograph or physical description is

not consistent with the person presenting the document;

• Other document with information that is not consistent with existing customer or student

information; and

• Application for service that appears to have been altered or forged.

C. Suspicious Personal Identifying Information

• Identifying information presented that is inconsistent with other information the customer

or student provides (e.g., inconsistent birth dates);

• Identifying information presented that is inconsistent with other sources of information (e.g.,

an address not matching an address on a loan application);

• Identifying information presented that is the same as information shown on other

applications there were found to be fraudulent;

• Identifying information presented that is consistent with fraudulent activity (such as an

invalid phone number or fictitious billing address);

• Identifying numbers, i.e., Social Security numbers, student ID numbers, international

documents or other identifying information presented is the same as one given by another

customer or student;

• An address or phone number presented that is the same or similar to the address or phone

number submitted by an unusually large number of other persons;

• A person fails to provide complete personal identifying information on an application when

reminded to do so; and

• A person’s identifying information is not consistent with the information that is on file with

the University.

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D. Suspicious Covered Account Activity or Unusual Use of Account

• Change of address for an account followed shortly by a request to change the customer or

student’s name;

• Payments stop on an otherwise consistently up-to-date account;

• Account used in a way that is not consistent with prior use;

• Mail sent to the customer or student is repeatedly returned as undeliverable;

• Notice to the University that a customer or student is not receiving mail sent by the

University;

• Notice of the University that an account has unauthorized activity;

• Breach in the University’s computer system security; and

• Unauthorized access to or use of customer or student account information.

E. Alerts from Others

• Notice to the University from a student, Identity Theft victim, law enforcement or other

person that the University has opened or is maintaining a fraudulent account for a person

engaged in Identity Theft.

VI. Detecting Red Flags

A. New Accountings (including Student Enrollment)

In an effort to detect any of the potential Red Flags identified above associated with establishing

a new Covered Account and including enrollment of a student, University personnel will take

the following steps to obtain and verify the identity of the person opening the account:

• Require certain identifying information such as name, date of birth, academic records, home

address, or other identification;

• Verify the individual’s identify at time of issuance of identification card (review of driver’s

license or other government-issued photo identification); and

• Independently contact the customer or student.

B. Existing Accounts

In an effort to detect any of the potential Red Flags identified above for an existing Covered

Account, University personnel will take the following steps to monitor transactions on an

account;

• Verify the identification of individuals if they request information in any format and no

response should be made via email or other insecure method;

• Verify the validity of requests to change billing addresses by mail or email and provide the

individual a reasonable means of promptly reporting incorrect billing address changes; and

• Verify changes in banking information given for billing and payment purposes.

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C. Consumer (“Credit”) Report Requests

In an effort to detect any of the potential Red Flags identified above for an employment or

volunteer position for which a consumer or background report is sought, University personnel

will take the following steps to assist in identifying address discrepancies:

• Require written verification from any applicant that the address provided by the applicant

is accurate at the time the request for the consumer report is made to the consumer reporting

agency;

• In the event that notice of an address discrepancy is received, verify that the consumer report

pertains to the individual for whom the requested report was made and report to the

consumer reporting agency an address for the individual that the University has reasonably

confirmed is accurate.

VII. Preventing and Mitigating Identify Theft

In the event University personnel detect any identified Red Flags, such personnel shall respond by

taking one or more of the following steps, depending on the degree of risk posed by the Red Flag:

• Notify the Program Administrator for determination of the appropriate step(s) to take;

• Continue to monitor a Covered Account for evidence of Identify Theft;

• Contact the customer, student, or applicant (for which a credit report was run);

• Change any passwords or other security devices that permit access to Covered Accounts;

• Not open a new Covered Account;

• Close an existing Account;

• Provide the customer or student with a new customer or student identification number;

• Notify law enforcement, KBOR, or other entities and individuals as appropriate;

• File or assist in filing a Suspicious Activities Report (“SAR”); or

• Determine that no response is warranted under the particular circumstances.

In order to further prevent the likelihood of Identity Theft occurring with respect to Covered

Accounts, the University will take the following steps with respect to its internal operating

procedures to protect customer and student identifying information:

• Ensure that its information systems and website are secure or provide clear notice that the

website or systems are not secure;

• Ensure complete and secure destruction of paper documents and computer files containing

an individual’s account information when a decision has been made to no longer maintain

such information in compliance with appropriate controlling law, rules, regulations and

policy;

• Ensure that office computers with access to Covered Account information are password

protected;

• Avoid use of social security numbers (See University Collection, Use, and Protection of

Social Security Numbers Policy);

• Ensure computer virus protection is up-to-date; and

• Require and keep only the kinds of customer and student information that are necessary for

University purposes.

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VIII. Hornet Card Changes of Address

University personnel who receive notification of a change of address for a cardholder, and, within

a short period of time afterwards, receive a request for additional or replacement cards on the same

account will not issue a new card until the University:

• Notifies the cardholder of the request; or

• Otherwise assesses the validity of the address change.

The Hornet Card Office is responsible for developing, implementing and maintaining additional

procedures in conformity with these policies and submitting said policies to the Identity Theft

Committee and Program Administrator for review and inclusion in the approval process (Section

IX).

IX. Program Administration

A. Oversight

Responsibility for developing, implementing and updating this Program lies with an Identity

Theft Committee (“Committee”) for the University. The Committee is chaired by a Program

Administrator. Two or more other individuals appointed by the President of the University or

the Program Administrator comprise the remainder of the committee membership. The Program

Administrator will be responsible for ensuring appropriate training of University staff on the

Program, for reviewing any staff reports regarding the detection of Red Flags and the steps for

preventing and mitigating Identity Theft, determining which steps of prevention and mitigation

should be taken in particular circumstances and considering periodic changes to the Program.

B. Staff Training and Reports

University staff responsible for implementing the Program shall be trained either by or under

the direction of the Program Administrator in the detection of Red Flags and the responsive

steps to be taken when a Red Flag is detected. University staff shall be trained, as necessary,

to effectively implement the Program. University employees are expected to notify the Program

Administrator once they become aware of an incident of Identity Theft or of the University’s

failure to comply with this Program. At least annually or as otherwise requested by the Program

Administrator, University staff responsible for development, implementation, and

administration of the Program shall report in writing to the Program Administrator on

compliance with this Program. The report should address such issues as effectiveness of the

policies and procedures in addressing the risk of identity theft in connection with the opening

and maintenance of Covered Accounts, service provider arrangements, significant incidents

involving identity theft and the University staff’s response, and recommendations for changes

to the Program.

C. Service Provider Arrangements

In the event the University engages a service provider to perform an activity in connection with

one or more Covered Accounts, the University will take the following steps to ensure the

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service provider performs its activity in accordance with reasonable policies and procedures

designed to detect, prevent and mitigate the risk of Identity Theft.

• Require, by contract, that service providers have such policies and procedures in place; and

• Require, by contract, that service providers review the University’s Program and report any

Red Flags to the Program Administrator or the University employee with primary oversight

of the service provider relationship.

• Must have a Red Flag Program in place as required by law.

D. Non-Disclosure of Specific Practices

For the effectiveness of this Identity Theft Prevention Program, knowledge about specific Red Flag

identification, detection, mitigation and prevention practices may need to be limited to the Identity

Theft Committee and to those employees with a need to know them. Any documents that may have

been produced or are produced in order to develop or implement this program that list or describe

such specific practices and the information those documents contain are considered “confidential”

and should not be shared with other University employees or the public. The Program Administrator

shall inform the Committee and those employees with a need to know the information of those

documents or specific practices which should be maintained in a confidential manner.

E. Program Updates

The Committee will periodically review and update this Program to reflect changes in risks to

customers or students and the soundness of the University from Identity Theft. In doing so, the

Committee will consider the University's experiences with Identity Theft situations, changes in

Identity Theft methods, changes in Identity Theft detection and prevention methods, changes in

technology, changes in legal requirements, and changes in the University's business arrangements

with other entities. After considering these factors, the Committee and Program Administrator will

determine whether changes to the Program, including the listing of Red Flags, are warranted.

The Program Administrator and Committee will confer with all appropriate University staff as

necessary to ensure compliance with the Program. The Program Administrator shall annually report

to the President on the effectiveness of the Program. The Program Administrator shall present any

recommended changes to the Program to the President for approval. The President’s approval shall

be sufficient to make changes to the University Identity Theft Program.

Note: Emporia State University acknowledges the consultation, use, and adaptation of portions of

programs adopted by the University of Massachusetts online at:

http://media.umassp.edu/massedu/policy/Identity%20Theft%20Prevention%20Program.pdf

(05/1/09).

3I. BACKGROUND CHECK (Approved by President 8/27/08; revised 9/19/08; revised 8/2013)

In addition to verifications required by law, employment offers for all permanent positions and

limited term positions of more than six months shall be contingent upon a successful criminal

background check facilitated by the Office of Human Resources. Temporary and student hourly

employees are excepted unless the position duties require background verifications. The University

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may perform, or require, criminal and other background verifications on candidates regardless of

duration of employment or student, volunteer, independent contractor, vendor, or intern status as

required by law or University policy, upon a determination by Human Resources the position

requires such background check.

The Office of Human Resources is responsible for development and implementation of procedures

related to this policy, processing background checks, monitoring the hiring process for consistency,

and associated training.

Criminal history checks shall include felony and misdemeanor convictions at county and federal

levels of every jurisdiction in which the candidate resides or has resided within the last seven years.

Sex offender registry checks shall be conducted at the county and federal levels in every jurisdiction

where the candidate currently resides or has resided. Background information will be used only for

the purpose of evaluating candidates for employment in designated positions and shall in no way

be used to discriminate on the basis of age, race, color, religion, gender, marital status, national

origin, handicap or disability, status as a Vietnam Era Veteran, sexual orientation, or any other

factors which cannot lawfully be considered, to the extent specified by applicable federal and state

laws. This policy does not automatically exclude from consideration for employment all individuals

with criminal convictions.

Verifications shall be made as required by law for specific positions. The following background

checks relative to the specific position shall be completed as a condition of employment.

A. Employment verification, completed by search committee before offer of employment extended

to candidate,

B. Educational verification, completed by search committee before offer of employment extended

to candidate,

C. License verification, coordinated by Human Resources after acceptance of conditional offer by

candidate,

D. Criminal history check, coordinated by Human Resources after acceptance of conditional offer

by candidate,

E. Sex offender registry check, coordinated by Human Resources after acceptance of conditional

offer by candidate, and

F. Other background checks as required by law or as necessary for particular positions,

coordinated by Human Resources after acceptance of conditional offer by candidate.

Credit history checks will be completed on candidates for senior administrators of the university and

positions with extensive authority for committing financial resources and/or direct access to cash,

checks, property disbursements, or receipts, as determined by Human Resources.

Appropriate notice of this background check policy will be provided. All positions requiring a

background check will be identified in the job announcement. Appropriate releases will be obtained

from the candidates prior to background checks.

Offers of employment, verbal and written, will include the following statement: “This offer is

contingent on verification of credentials and other information required by law and Board of Regents

and University policies, including but not limited to completion of a criminal history check.”

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No individual subject to a background check will be allowed to begin working until the results have

been received and cleared. Decisions regarding withdrawal of an employment offer resulting from

a background check are final and not subject to appeal.

3J. INFORMATION TECHNOLOGY

3J.01 SECURITY POLICY DEFINITIONS (revised by Information Security Officer, 9/4/09;

updated 10/2/2013)

1. Authorized Access

Authorized access is access to ESU information given to authorized users.

2. Authorized Use

Authorized use of ESU-owned or operated information resources is use consistent with the

education, research, and service mission of the University, and incidental personal use, provided

that such use does not interfere with ESU operations, does not generate incremental identifiable

costs to ESU, and does not negatively impact the user’s job performance.

3. Authorized Users

Authorized users are (1) current faculty, staff, students, and affiliates of the University and (2)

others whose temporary access furthers the mission of the University. Authorized users gain

access to University resources through the hiring process, the student admissions process,

designation as a University “affiliate”, or as a guest or vendor upon approval by a University

administrator.

4. Connection

The physical point where a direct or virtual path (wired or wireless) is established between a

device and the University network.

5. Department

Department includes academic and administrative organizational entities at ESU.

6. Enterprise System or Server

A computing device used campus-wide by multiple, if not all, campus entities.

7. ESU Technology Environment

The ESU computing technology used by various units including infrastructure equipment,

telephony equipment, server equipment, desktop equipment, printers and various other

technologies in use.

8. Event

An event logged is anything which modifies the system or configuration; errors; logon and

logoff; unsuccessful authorization attempts.

9. Immediate Supervisor

The person an employee reports to for supervision.

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10. Information Assets

Information assets include any information in electronic, audio-visual or physical form, or any

hardware or software that makes possible the storage, transmission and use of information. This

definition includes but is not limited to electronic mail, voice systems, local databases,

externally accessed databases, CD-ROM, motion picture film, recorded magnetic media,

photographs, or digitized information. This also includes any wire, radio, electromagnetic,

photo optical, photo electronic or other facility used in transmitting electronic communications,

and any computer facilities or related electronic equipment that electronically stores such

communications.

11. Information Custodian

Employees designated by the University to be responsible for maintaining the safeguards

established by the Owner.

12. Information Owner

The senior manager, vice president or other senior university official who has responsibility

over a department or division where the information is created or who is the primary user of that

information. Owners are responsible to:

a. Identify the classification level of the information according to one of the classification

levels;

b. Define and implement the appropriate safeguards to protect the confidentiality, integrity, and

accessibility of information;

c. Monitor the safeguards to ensure compliance and report any non-compliance issues to the

Information Security Officer (ISO);

d. Develop a system of authorization for personnel requiring business access to that

information and the procedures of the removal of access once it is no longer needed;

e. Monitor the business need of the information and adjust the classification as necessary.

13. Information Protected by Privacy Laws and Rights

Information which must be protected due to Federal and State regulations as well as State and

ESU policies regarding: FERPA, SSN, HIPAA, RHEA, and other relevant regulations.

14. Infrastructure or Infrastructure Devices

Hardware utilized for creating and managing the University Network.

15. Limited Access Environment

Secure space that is accessed by only necessary employees.

16. Removable Media

Media used on computing equipment which is easily disconnected or removed such as USB

drives, optical media (CD, DVD), floppy disks, and tapes.

17. Secure(d)

Information, device or technology which has been assessed for risks and have security controls

in place.

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18. Security Control

Something put into place to mitigate security risks which may include policies, procedures,

standards, technology enforcements like firewalls, password requirements, traffic shaping

devices or network access controlling devices.

19. Security Incidents

Security incidents include any actions that have the potential to pose a serious risk to campus

information system resources or the Internet. Examples include, but are not limited to, creating

and propagating viruses and/or worms, obtaining or allowing unauthorized access to University

resources, deliberate attempts to degrade the performance of a computer system or network,

deliberate attempts to deprive authorized personnel of access to any University computer system

or network, or otherwise intentionally disrupting services or damaging equipment, software,

files, or data.

20. Shared Resources

Shared network storage device.

21. Transmitting

An action taken to send data from one system to another primarily through the use of FTP,

email (whether in the body of the message or an attachment) or upload to/download from a

website.

22. Unit

Academic and administrative organizational entities at ESU.

23. Unit Head

Chair, director, or supervisor of a unit.

24. Unit Support Personnel

Employees designated by the unit to be responsible for maintaining the safeguards established

by IT Support Personnel. Unit Support Personnel are responsible to:

a. Implement the appropriate safeguards defined by IT to protect the confidentiality, integrity,

and accessibility of technology asset;

b. Monitor the safeguards to ensure compliance and report any non-compliance issues to the

ISO.

25. User

Any person who utilizes the University network for transmitting and/or receiving information.

26. VPN

Virtual Private Network allowing secure connection between remote computer and University

Network.

27. Vulnerability Scan

Vulnerability Scan is done using software that searches for devices on the University Network

that have open exploits, possibly leading to a threat of a security incident.

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28. Wired and Wireless Device

Any device that is connected to the University network for the purpose of transmitting and/or

receiving information, including but not limited to, computers, printers, servers, telephone

instruments, and video equipment such as television sets and conferencing systems.

29. The University Network, ESU Network, or ESU Computing Environment

The University Network, ESU Network, or ESU Computing Environment is an infrastructure

of electronic and optical distribution hardware, control software, and wired and wireless media.

The University network utilizes various technologies to transport voice, video, and data. The

University network begins at the point where an end-user device (located on University-owned

or leased property) gains access to this infrastructure and ends at the point where the University

network attaches to external non-ESU networks.

End-user devices that indirectly connect via a third-party telecommunications provider (a

connection made to the ESU network via a home broadband or dial up connection for example)

are not considered part of the University network or ESU Computing Environment.

Two separate network domains comprise the University network: Campus Network and ResNet.

Each domain consists of different types of networks including, but not limited to, the University

packet switched data network, the University circuit switched voice network, and the University

non-switched cable TV (CATV) network. These domains with their constituent network types

will henceforth collectively be referred to as The University Network.

a. Campus Network

Campus Network comprises the networking infrastructure that allows direct connection of

end user devices via:

• a wired network path centrally managed by ESU IT;

• a wireless network path centrally managed by ESU IT;

• a path provided by a third-party telecommunications provider contracted by ESU IT;

• a dial-up connection centrally managed by ESU IT.

Users with direct connections will have an ESU-assigned IP address, telephone number, or

other ESU address descriptor. End-user devices may also have an indirect connection to

Campus Network via a third party telecommunications provider (e.g., broadband, cable).

b. ResNet

ResNet begins at the point where an end-user device located on University property and

managed by the University Residential Life Department (all residence halls) gains access to

the University network and ends at the point where the network attaches to external non-

ResNet networks.

Additional to these two network domains the University network also includes connections that

provide service to users under specific special agreements.

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3J.02 INFORMATION SECURITY (FSB 06009 passed by Faculty Senate 10/03/06; approved

by President 10/20/06; FSB 09001 passed by Faculty Senate 10/6/09; approved by President

10/13/09)

Policy Objectives

Emporia State University understands that some information provided to it by students, faculty,

staff, or gained by other means is an important asset that needs to be protected. Measures must be

taken to protect the information assets from unauthorized access, use, modification, destruction, or

disclosure whether accidental or intentional as well as to assure its confidentiality, integrity, and

availability. As a University that prides itself on the free exchange of knowledge and ideas, other

information created or maintained by the University can and should be shared with the public.

This policy sets out to develop confidence in ESU’s business practices for securing the information

assets it owns, controls, or manages.

ESU has made substantial investments in both human and financial resources to create a computing

environment that enables both our students and employees to access information specific to the

function of their position as well as the global body of information called the Internet.

This policy and all policies derived from it have been established in order to:

• Protect this investment;

• Safeguard the information contained within this environment;

• Reduce business and legal risk;

• Establish confidence about ESU’s business practices to current and prospective students,

faculty, and staff.

Policy

ESU will set a clear policy direction and demonstrate support for, and commitment to, information

security by:

• Appointing an Information Security Officer (ISO) to lead information security efforts;

• Issue and maintain a set of information security policies, procedures, standards, and

guidelines;

• Apportion budgets that support information security efforts;

• Establish and maintain a process to periodically review the information policies, procedures,

standards, and guidelines and amend as needed;

• Establish and maintain a process to audit periodically Information Security controls and

perform security audits for compliance.

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Responsibility

The ISO has the responsibility to:

• Develop and maintain written policies, procedures, standards, and guidelines;

• Perform Information Security Audits per the Information Security Audit Procedures;

• Provide appropriate support and guidance to assist students and employees to understand and

fulfill their responsibilities under published policies.

Unit Heads have a responsibility to:

• Ensure all employees are aware of comply with all published policy;

• Create appropriate performance standards, control practices, and procedures designed to

provide reasonable assurance that all employees observe these policies.

Scope

This policy applies to all individuals utilizing information technology infrastructure.

Enforcement

The President or designee is responsible for monitoring and reporting compliance with this policy.

In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.03 INFORMATION TECHNOLOGY USAGE (FSB 05010 passed by Faculty Senate

4/18/06; approved as interim policy by President 5/8/06; revised interim policy approved by

President 12/11/09; FSB 09010 passed by Faculty Senate 3/2/2010; approved by President

3/10/2010; updated 10/2/2013)

Policy Objectives

The purpose of this policy is to outline the acceptable uses of computing and information technology

resources at Emporia State University.

Policy

It is University policy to provide computing and information technology resources to faculty, staff,

students, official University affiliates, and others in support of the education, research, and public

service missions of the University.

Users of University computing and information technology resources are responsible for using these

resources only as allowed by law and in connection with the University’s core teaching, research,

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service, and other identified missions. Users must abide by the following standards of acceptable

use:

• Users shall abide by applicable state and federal laws, all University and Board of Regent

policies, and all applicable contracts and licenses.

• Each user is responsible for the activities that occur while they are using the computing and

technology resources assigned to them and will use only those resources for which the

individual has authorization and only in the manner and extent authorized.

• Users shall respect the copyright and intellectual property rights of others and ensure the

legal use of copyrighted material.

• Users shall use computing and information technology resources in a manner that does not

interfere with, compromise, or harm the University’s technology resources.

Uses of University computing and information technology that do not significantly consume

resources or interfere with other users may also be acceptable, but may be restricted by Information

Technology (IT) upon advice of the University President, or his/her designee. Under no

circumstances shall members of the University community or others use University information

technology resources in ways that are illegal, that threaten the University’s tax-exempt status, or that

interfere with reasonable use by other members of the University community.

Access to University computing and information technology resources requires appropriate

permission and access to resources is not guaranteed.

The extension of these privileges is predicated upon the user’s acceptance of and adherence to the

corresponding user responsibilities detailed in this policy and other applicable policies and laws. The

University reserves the right to limit, restrict, or extend access to information technology resources

without prior notice in order to protect University resources.

Confidentiality and Privacy

Communications made using University computing and information technology resources are

considered to be non-confidential communications. There is no expectation of privacy regarding

such communications, which may be subject to access and disclosure under the Kansas Open

Records Act (KORA). Confidential information should not be sent using email transmissions unless

encrypted using a University supplied encryption product. Examples of such confidential

information include but are not limited to records and data subject to the Family Educational Rights

and Privacy Act (FERPA) and implementing regulations.

In general, information stored on University owned equipment and resources will be treated as

confidential. However, the user of University owned equipment should have no expectation of

personal privacy or confidentiality of documents and messages stored on University owned

equipment and resources. Additionally, information stored on University networks may be accessed

by the University for purposes related to security management, security operations, and legal

compliance.

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Reporting Violations

Users and departments will report any discovered unauthorized access attempts or other improper

usage of University computing and technology resources to the Chief Information Officer (CIO),

the Information Security Officer (ISO), or other appropriate administrator as per the Information

Security Incident Reporting Procedures.

Consequences for Violations

Persons in violation of this policy are subject to the full range of sanctions, including but not limited

to, the suspension of system privileges.

At the time, if disciplinary procedures are initiated, in accordance with published policies and rules

of conduct, the person alleged to be in violation of the policy will be notified of the alleged

violation.

Suspension of system privileges for students may also be handled according to the procedures

outlined in the Student Code of Conduct.

Responsibility

The CIO will be responsible for:

• Determining and posting operational policies, networking standards and procedures in

consultation with University governing bodies so as to implement the principles outlined in

this policy.

• Reviewing and updating this policy in consultation with the relevant University governance

structure.

IT has the responsibility to protect shared information technology services. In the event of hardware

or software failure, or in the event of an attack by malicious user(s), designated IT staff will

quarantine any technology resources necessary to solve the problem, to protect the system or

systems connected to the network, and the information the system contains.

The ISO is responsible for working with IT and Unit Support personnel to implement a network

logon banner using the Logon Banner Standards.

Authorized users of University computing and information technology resources are responsible for

reviewing and following published Information Security policies and procedures.

Scope

This policy applies to faculty, staff, students, official University affiliates, and any other individual

who uses University computing and information technology resources.

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Enforcement

The CIO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.04 SYSTEM REQUIREMENTS ANALYSIS AND SPECIFICATION (FSB 06014 passed

by Faculty Senate 10/03/06; approved by President 10/20/06; FSB 08019 passed by Faculty

Senate 4/21/09; approved by President 4/24/09; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and availability

of the information assets it owns or controls. To assist in this effort, policies, standards, and

guidelines will be developed and promulgated throughout the ESU community.

Retrofitting a process or system to meet university adopted policies is an expensive endeavor. This

policy sets out to ensure that information security is considered early in the development cycle for

all new business processes.

Policy

It is the policy of ESU to include information security in all aspects of new information systems

being implemented in our environment. Therefore:

• Security specifications must be identified at the requirements phase of all projects and

justified, agreed upon, and documented as part of the overall business case for the project;

• Appropriate controls and audit trails or activity logs must be designed into new applications,

including both commercial-off-the-shelf and in-house-developed applications;

• An annual risk analysis will be performed on all information systems.

Responsibility

The project manager is responsible for engaging the Information Security Officer (ISO) during the

requirements phase of the project.

Appropriate Information Technology (IT) staff will be assigned to consult on all projects, to ensure

that the appropriate controls and audit trails or activity logs are activated, and perform the

appropriate risk assessments.

The ISO or designee will document the security assessment and specifications as part of the project

using the Security Specifications Procedures.

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Scope

This policy applies to all information systems created by or used within ESU.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.05 INFORMATION TECHNOLOGY RISK ASSESSMENT (FSB 09002 passed by Faculty

Senate 10/06/09; approved by President 10/13/09; updated 10/2/2013)

Policy Objectives

Information Technology (IT) security assurance is the degree of confidence with which managerial,

technical, and operational security controls protect the information assets of Emporia State

University. Administrators must understand the current status of the systems’ security controls in

order to make informed decisions and investments that appropriately mitigate Information Security

risks to an acceptable level.

Policy

ESU will conduct formal risk assessments of enterprise wide IT systems, information management

processes, and information practices annually and as needed using methods identified in the Risk

Assessment Procedures. The risk assessment findings, the controls identified, and a risk rating will

be developed into the Information Security Assessment report for review by the Chief Information

Officer (CIO) and the system administrator to determine risk mitigation and information security

measures.

Responsibility

The Information Security Officer has the responsibility to:

• Develop and maintain formal Risk Assessment Procedures;

• Work with Information Technology (IT) and Unit Support personnel to identify risks of the

institution’s information systems and infrastructure and the controls required to mitigate

identified tasks;

• Work with the CIO to determine the risk ratings;

• Develop the Information Security Assessment report.

When investments in controls are warranted:

• IT will be responsible for implementing the controls on systems managed by IT;

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• Unit Support Personnel will be responsible for implementing the controls on systems they

manage.

Scope

This policy applies to all technology related infrastructure devices including but not limited to:

servers, workstations, routing and switching devices, and telephone systems owned or maintained

by ESU.

Enforcement

The CIO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.06 CHANGE CONTROL (FSB 09003 passed by Faculty Senate 10/06/09; approved by

President 10/13/09; updated 10/2/2013)

Policy Objectives

Emporia State University understands inappropriate introduction of upgraded software can impact

the integrity and confidentiality of computing systems, the services they provide, and the data that

resides within them. In addition, an improperly prepared or implemented change to infrastructure

or systems can significantly impact availability of key systems. A change is defined as, but not

limited to:

• Upgrade to software or hardware of an enterprise system or server;

• Enhancement or deployment of new server or server functionality;

• Upgrade of network infrastructure or telephone system.

This policy outlines ESU’s commitment to adopt standard methods and procedures when altering

the information technology environment in order to minimize the risk of negative impacts to

information and technology services offered and managed by Information Technology (IT).

Policy

Formal Change Control Procedures must be followed for installation and modification of any

information technology infrastructure or enterprise system managed by IT, including but not limited

to servers, software, telecommunications, and network infrastructure.

Responsibility

Unit Support Personnel are encouraged to follow the Change Control Procedures developed by IT

on systems they manage.

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The Information Security Officer (ISO) has the responsibility to:

• Work with IT teams to develop, support, and maintain formal Change Control Procedures

for university systems and infrastructure managed by IT;

• Advice Unit Support Personnel to consider adopting formal Change Control Procedures.

IT personnel have the responsibility to:

• Identify the need for changes and originate a Request for Change (RFC) as per the Change

Control Procedures and provide input for the IT management team and stakeholder groups

as needed for review of request;

• Review, test, communicate, and implement approved changes to affected stakeholders.

Scope

This policy applies to all information technology services, servers, and infrastructure managed by

IT and Unit Support Personnel.

Enforcement

The CIO or designee is responsible for monitoring and reporting compliance with this policy. In

all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.07 SECURITY AWARENESS (FSB 06013 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; FSB 16008 passed by Faculty Senate4/4/2017; approved by President

4/17/2017)

Policy Objectives

To help reduce the risk of human error, theft, fraud, or misuse of Emporia State University’s

information assets, all persons having access to those assets should be aware of the role they play

in helping maintain the security of those assets. This policy sets out to ensure that everyone is aware

of their role and to ESU’s overall commitment to protecting our information assets.

Policy

It is the policy of ESU to ensure that all system account holders will receive security awareness

training within the following requirements:

• All employees must complete Security Awareness training within the first 90 days of hire

and on an annual basis thereafter.

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• Security Awareness training shall address the following topics at a minimum:

< Passwords including creation, changing, aging, and confidentiality

< Privacy and proper handling of sensitive information

< Physical security

< Social engineering

< Identity theft avoidance and action

< Email usage

< Internet usage

< Viruses and malware

< Software usage, copyrights and file sharing on Portable devices

< Proper use of encryption devices

< Reporting of suspicious activity and abuse

In addition:

• The Information Security team shall retain a form of acknowledgment of training

completion.

• The Information Security team will review security awareness training materials annually

or more frequently as needed.

Responsibility

The Information Security Officer (ISO) is responsible for development or acquisition of relevant

training courses, maintaining training records, and setting training deadlines.

Information Custodians are responsible for ensuring that third parties or vendors follow this policy.

Supervisors are responsible for ensuring employees under their supervision complete the Security

Awareness training by the deadline set by the ISO.

Scope

This policy applies to all persons that are granted access to any ESU information assets classified

above the Public/Unclassified level.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Failure to complete Security Awareness training will result in user account suspension until training

is completed.

Exceptions

The President or designee must approve any exceptions to this policy. Any exceptions must be

documented and a copy maintained by the ISO.

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3J.08 INCIDENT RESPONSE (FSB 06007 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; FSB 08017 passed by Faculty Senate 4/21/09; approved by President

4/24/09; updated 10/2/2013)

Policy Objectives

The ability to react quickly and calmly to an incident is a trait that is helped only with documented

procedures and practice. As Emporia State University is committed to the confidentiality, integrity,

and availability with the information it is entrusted, the ability to respond to all forms of security

incidents must be established.

Policy

It is the policy of ESU to respond to security incidents that may affect the confidentiality, integrity,

or availability of university information assets in an effective and productive manner.

ESU faculty, staff, and students are to report incidents to the Information Security Officer (ISO) as

per the Information Security Incident Reporting Procedures.

The Computer Security Incident Response Team (CSIRT) is responsible for managing the response

to information security related incidents. This team is comprised of individuals from the University

community involving Administration, Human Resources, IT staff, University police, a faculty

member, system owners, and led by the ISO. Other groups may be represented on the CSIRT (e.g.,

Public Affairs and Marketing) as necessary.

Responsibility

It is the responsibility of the ISO to:

• Develop the IS Incident Reporting Form and Procedures

• Communicate regularly with students, faculty, and staff about the IS Incident Reporting

Procedures located on the Information Security website

• Coordinate the CSIRT efforts and to obtain help from the appropriate personnel as denoted

in the CSIRT Procedures.

It is the responsibility of the various units to allocate resources to the CSIRT as needed and defined

in the CSIRT Procedures.

Scope

This policy applies to all information technology related incidents.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

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Exceptions

The President or designee must approve any exceptions to this policy.

3J.09 PASSWORD POLICY (FSB 06025 passed by Faculty Senate 04/03/07; approved by

President 4/06/07; SB 09007 passed by Faculty Senate 10/06/09; approved by President

10/13/09; updated 10/2/2013; FSB 16009 passed by Faculty Senate 4/4/2017; approved by

President 4/17/2017)

Policy Objectives

A user ID and password is a key granting access to various systems and applications and the

information assets they protect. As ESU is committed to protecting the confidentiality, integrity,

and availability of the information it owns or controls, passwords must be created and protected in

a manner that minimizes the likelihood of unauthorized access to such assets. If a password is hared,

account holders can be held responsible for any activity performed with their account. Passwords

should be unique and must not be shared.

Policy

Passwords created by any person granted access to ESU information assets must meet the following

guidelines:

• Passwords must be changed at least every 180 days;

• Default account passwords that are included in many applications and systems must be

changed immediately;

• Initial passwords must be changed immediately upon first log-in;

• Passwords shall not be changed more frequently than once every 15 days without system

administrator intervention.

• Passwords shall be significantly different from the previous 10 passwords..

• Passwords shall not be viewable in clear text except by account holder.

• Passwords shall not be transmitted or electronically stored in clear text.

Password complexity and length must meet the following guidelines depending on if the system can

enforce password complexity or not.

Passwords with complexity enforced

• A minimum of 10 characters in length;

• Shall not contain user ID;

• Contain at least 3 of the following 4 groups of characters:

< Uppercase alphabetic characters (A-Z)

< Lowercase alphabet characters (a-z)

< Numbers (0-9)

< Special characters (i.e., #, &, *...)

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Passwords without complexity enforced

• A minimum of 16 characters in length

Responsibilities

It is the responsibility of account holders:

• To create a password for each application as required by the application;

• To not share passwords;

• To protect passwords from unauthorized use;

• To change passwords at intervals specified by the policy or as required by the application;

• To immediately notify the IT Help Desk if they believe their password has been

compromised.

It is the responsibility of System Administrators to keep the system administrator password secure,

yet available in case of emergency. IT System Administrators will refer to the System Password

Procedures for systems managed by IT.

Scope

The policy applies to any person granted access to an ESU information asset that requires a user ID

and password.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy. Any exceptions must be

documented and a copy maintained by the ISO.

3J.10 USER IDENTIFICATION POLICY (FSB 08015 passed by Faculty Senate 4/21/09;

approved by President 4/24/09; updated 10/2/2013)

Policy Objectives

Emporia State University maintains information systems for business and academic use. User

security addresses the ability to ensure the user accessing data and systems is in fact who they say

they are, present the necessary credential information for access, and have access only to those

resources to which they are authorized. In order to assure that ESU maintains the confidentiality

and integrity of its information assets as well as follow legal requirements in respect to information

and auditing, this policy will cover access to those assets through the use of a User Id.

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Policy

Users accessing ESU information systems which require authentication will be properly and

uniquely identified through the use of an assigned User Id. User Id’s may not be used by more than

one person. User Id’s should use a standard format across all platforms to ensure uniformity.

Responsibility

Information Technology (IT) will be responsible for administering the access to ESU information

systems it manages.

Unit Support Personnel will be responsible for administering the access on servers they manage

following the Unique Identifiers Standards.

Scope

This policy applies to all ESU employees, students, and persons grants appropriate access.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exception

The President or designee must approve any exceptions to this policy.

3J.11 NETWORK CONTROLS (FSB 06011 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and accessibility

of the information it owns or controls.

Access to these assets is provided by several avenues. These include: wired network, wireless

network, dialin, and VPN. The avenues that ESU provides for access are protected by policies,

standards, guidelines and other security measures including, but not limited to, firewalls and

intrusion detection devices.

As our external defenses get stronger, crackers look for easier ways to infiltrate our network. One

example of accomplishing this is called War dialing; where crackers dial every number associated

with an organization looking for a modem to answer. Once they find a modem on our network that

may have weak controls, they have access to other areas of our network putting University

information at risk.

This policy sets out to ensure that all avenues into our network are approved and properly secured.

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Policy

Network access devices not approved and managed by Information Technology (IT) are forbidden.

Examples of such devices include but not limited to:

• modems;

• wireless access points;

• network switches and hubs.

Responsibility

All users are responsible for taking the steps necessary to protect University information. This

includes:

• Using only approved and authorized means to connect to ESU’s network;

• Obtaining proper approval before connecting any access device to ESU’s network;

• Notifying the Information Security Officer (ISO) of any variance to this policy.

IT is responsible for monitoring compliance with this policy.

Scope

This policy applies to all network access devices connected to the ESU network.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.12 ENCRYPTION (FSB 09006 passed by Faculty Senate 10/06/09; approved by President

10/13/09; updated 10/2/2013)

Policy Objectives

Emporia State University maintains information for business and academic use which at times might

need to be transmitted. When transmitting sensitive data, data encryption techniques should be used

to control access to the information, protect the integrity of transactions, and protect ESU’s

information assets.

Policy

ESU users transmitting information protected by privacy laws and rights will use encryption when

transmitting to off-campus entities.

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Responsibility

Information Technology (IT) will be responsible for identifying appropriate encryption

methodologies for transmission of information protected by privacy laws and rights. Encryption

methodologies include, but are not limited to:

• Virtual Private Network (VPN);

• Secure Socket Layer (SSL)

• Public Key Infrastructure (PKI) (e.g., digital id’s for secure email)

• Encryption Software.

Units may be responsible for the licensing cost of third party solutions as necessary.

Users transmitting information protected by privacy laws and rights are responsible for contacting

the Information Security Officer (ISO) regarding the type of encryption which should be used.

The ISO will be responsible to raise awareness about when encryption should be used to help

educate the ESU community.

Scope

This policy applies to all persons granted access to ESU’s information systems when transmitting

protected information to off-campus entities.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.13 CONTROLS AGAINST MALICIOUS SOFTWARE (FSB 06002 passed by Faculty

Senate 10/03/06; approved by President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and

accessibility of the information assets it owns or controls. One threat to ESU’s information assets

is malware, otherwise known as viruses, trojans, worms, and spyware. Should a self-propagating

worm like CodeRed gain access to our network all legitimate network traffic would be brought to

a standstill. While worms like CodeRed take up bandwidth making normal network communications

difficult, other malware may destroy critical data or make it easy for unauthorized access to our

resources. The risks to ESU’s information can be greatly reduced if all workstations have active anti-

virus software and the software is kept up to date.

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This policy sets out to ensure that computing devices within the ESU network environment are

protected from malware to the best of our ability.

Policy

All workstations connecting to the ESU network environment must have approved anti-virus

software installed and running. Virus definitions for that software must be updated weekly or as

directed by Information Technology (IT) staff.

Procedures for obtaining approved software and for updating anti-virus definitions can be found in

the Controls Against Malicious Software Standards.

Responsibilities

It is the responsibility of each user to ensure that the workstation they are using has an approved

copy of anti-virus software installed and running with automatic updates enabled.

It is the responsibility of IT staff to provide a licensed copy of approved anti-virus software to each

ESU owned and maintained workstation and to periodically audit for compliance with this policy.

Students who do not own approved anti-virus software must obtain a licensed copy.

Scope

This policy applies to all wired and wireless workstations connecting to the University network.

Enforcement

Workstations found to be out of compliance with this policy may be blocked from the network until

such time as they become compliant. The Information Security Officer is responsible for monitoring

and reporting compliance with this policy. In all cases, information will be disclosed as required

by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.14 MOBILE COMPUTING DEVICES (FSB 08003 passed by Faculty Senate 11/18/08;

approved by President 12/4/08; updated 10/2/2013)

Policy Objectives

The growth of mobile computing has enabled University computer users great flexibility in

performing their work. Mobile computing devices are such devices as laptop computers, tablet PCs,

handheld devices, USB keys, flash drives, thumb drives, sticks, or any other such device or media

that may be used to store or transport information have allowed people to take their work with them

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to places such as a park, a café, a hotel, or even home. With the added ease at which individuals are

able to perform their work comes added responsibility to protect University information.

In the work setting, policies are in place to protect data stored on shared resources, traffic flowing

across the network is managed (e.g., packet managing peer to peer, spam protection, intrusion

detection), infrastructure equipment is locked away in a controlled room, and procedures are in place

to back up centrally stored data.

Special security issues that relate to mobile devices include:

• Any malware (viruses, worms, Trojans) that infects the device can bypass the University’s

security and spread rapidly to other devices once connected back to our network;

• If data stored on a mobile device is not backed up by the user it could be completely lost if

the device is stolen or mechanically fails;

• Any confidential data stored on a mobile device would be compromised should it be stolen

or lost.

This policy sets out to ensure that all Emporia State University protected information stored on

mobile devices is secured from unauthorized disclosure, destruction, and/or modification. Protected

information is defined as information that is specifically protected by federal or state law or is

designated as private information by the policies of the Kansas Board of Regents or Emporia State

University.

Policy

• University owned or controlled mobile computing devices must be used for University

approved business according to Acceptable Use Policy;

• All reasonable measures must be taken to prevent the theft of the mobile devices;

• All University information protected by privacy laws and rights stored on a mobile

computing device must be afforded the same level of security as information maintained

within the ESU network;

• University information protected by privacy laws and rights stored on mobile devices must

be backed up to an appropriate University device or network drive;

• Encryption software must be used for all University information protected by privacy laws

or rights. To make the request from Information Technology (IT) for the Encryption

software, the faculty or staff member will provide a list of ESU information protected by

privacy laws and rights which will likely be stored on the device. The list will need to be

submitted each fall, spring and summer semester to the Information Security Officer (ISO).

Responsibilities

All users are responsible for taking the steps necessary to protect University information protected

by privacy laws and rights according to Guidelines and Standards.

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Scope

The policy applies to all persons authorized to access, modify, or create University information

protected by privacy laws or rights.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.15 CLEAR DESK AND CLEAR SCREEN (FSB 08004 passed by Faculty Senate 11/18/08;

approved by President 12/04/08; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and accessibility

of the information assets it owns or controls. To assist in this effort, policies, standards, and

guidelines will be developed and promulgated throughout the ESU community.

These information assets can be in many forms. They can range from a piece of paper or a Post-It®

note to digital forms such as data stored on a hard-drive or University information accessible from

computer workstations.

When a work area is left unattended, anyone passing by could have access to all information left on

or around the desk as well as all electronic information that a user has access to if that user remained

logged on their workstation.

This policy sets out to ensure that all forms of information used in and around a work area is

protected from unauthorized viewing or altering while that area is unattended.

Policy

University information protected by privacy laws and rights should not be left visible to visitors in

a work area, whether the information is in electronic or paper form.

Responsibility

All users are expected to protect the information for which they are responsible. This includes:

• Configuring a screensaver password as per Screensaver Standards

• Paperwork containing information protected by privacy laws and rights will not be left in full

view of unauthorized personnel.

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Scope

This policy applies to all persons entrusted with access to information protected by privacy laws and

rights.

Enforcement

Supervisors are responsible for ensuring that their employees follow this policy. IT is responsible

for monitoring ESU workstations for compliance with this policy. In all cases, information will be

disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.16 SECURE AREAS (FSB 09005 passed by Faculty Senate 10/06/09; approved by President

10/13/09)

Policy Objectives

Emporia State University maintains data and information critical to the operations of the University

in paper and electronic form. In order to ensure ESU maintains the confidentiality and integrity of

its information assets and follows all legal requirements with respect to protected information, this

policy addresses securing areas which are used to store information protected by privacy laws and

rights.

Policy

Areas storing ESU information protected by privacy laws and rights, whether in paper, electronic

form, or other format, must be secured from unauthorized access.

Responsibility

The Information Security Officer (ISO) is responsible for raising awareness about securing such

areas.

The unit heads are responsible to:

• Ensure offices and areas storing such information have appropriate locking mechanisms to

secure from unauthorized access;

• Define and manage who should have access to those offices and areas;

• Individuals are responsible for securing their own areas when leaving the building.

Scope

This policy applies to all facilities storing ESU protected information.

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Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.17 INFORMATION CLASSIFICATION (FSB 06008 passed by Faculty Senate 10/03/06;

approved by President 10/20/06)

Policy Objectives

Emporia State University understands that some information provided to it by students, faculty, staff

or other means is an important asset that needs to be protected. As a University that prides itself on

the free exchange of knowledge and ideas, other information created or maintained by the University

can and should be shared with the public. This policy sets out to define the classes of this

information so proper resources can be applied efficiently to protect it.

Policy

All information used within and by ESU will be classified according to one of the levels below.

This information will be protected from the time of its creation to the time of its destruction in a

manner commensurate with its level regardless of where it resides, what form it takes, how it is

handled, or what purpose it serves.

• Registered Confidential: Information this if improperly disclosed could jeopardize the legal

standing of ESU;

• Confidential: Information intended solely for use within ESU and limited to authorized

individuals with a business need-to-know;

•Private: Information that can be disclosed to the information owner, anyone that the owner

may authorize, or as required by law;

• For Internal Use: Information that is intended for use within the ESU community. Such

information may be shared outside of ESU if there is a legitimate business need;

• Public/Unclassified: Information that may or may not be published but otherwise available

to members outside the ESU community (e.g., brochures, course schedules, news releases,

and similar publications).

Responsibility

All ESU employees, students, and any other person granted access to University information have

the responsibility to protect that information from unauthorized access, modification, destruction,

or disclosure, whether accidental or intentional. The following three levels have been established

to help protect that information: Owner, Information Custodian, and User.

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1. Owner

The senior manager, vice president or other senior university official who has responsibility

over a department or division where the information is created or who is the primary user of that

information. Owners are responsible to:

a. Identify the classification level of the information according to one of the classification

levels;

b. Define and implement the appropriate safeguards to protect the confidentiality, integrity, and

accessibility of information;

c. Monitor the safeguards to ensure compliance and report any non-compliance issues to the

Information Security Officer (ISO);

d. Develop a system of authorization for personnel requiring business access to that

information and the procedures of the removal of access once it is no longer needed;

e. Monitor the business need of the information and adjust the classification as necessary.

2. Information Custodian

Employees designated by the University to be responsible for maintaining the safeguards

established by the Owner.

3. User

Any person authorized by the Owner to access the information using the safeguards established

by the Owner.

Scope

This policy applies to all information created by or used within ESU.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

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3J.18 EMPLOYEE TERMINATION AND REASSIGNMENT (FSB 06004 passed by Faculty

Senate 10/03/06; approved by President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University maintains information critical to the operations of the University. Various

positions within the University require access to information.

In order to assure that ESU maintains the confidentiality and integrity of its information assets as

well as follows all legal requirements in respect to information, this policy will cover access to those

assets should an employee be terminated or reassigned.

Policy

ESU will maintain records with respect to information accessible by position, levels of access, and

current employee holding that position. Should a person leave ESU, all access previously granted

will be revoked on his/her termination effective date. If the employee is reassigned, new access will

be granted based on the needs of the new position.

Responsibility

The Information Security Officer (ISO) is responsible for creating procedures for granting and

removing access.

It is the responsibility of the information owner(s) to follow and maintain a system of granting and

removing access to their information and ensuring that this procedure is followed.

Information Technology (IT) will be responsible for administering the access on servers it manages.

Unit Support Personnel will be responsible for administering the access on servers they manage.

Scope

This policy applies to all ESU employees, including student and temporary employees, whose

position requires the granting of access to any ESU information asset.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

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3J.19 SECURE DISPOSAL AND REUSE (FSB 09004 passed by Faculty Senate 10/06/09;

approved by President 10/13/09; updated 10/2/2013)

Policy Objectives

Emporia State University maintains data and information critical to the operations of the University;

most of which is stored electronically on computing devices. In order to ensure ESU maintains the

confidentiality and integrity of its electronic information assets and follows all legal requirements

with respect to protected information, this policy addresses secure disposal and secure reuse of

computing equipment utilized to maintain information protected by privacy laws and rights.

When equipment or media is disposed of, secure disposal is necessary to prevent the recovery of

data files. When equipment is reused, secure reloading of equipment is necessary to update software

and remove data stored by previous users.

Policy

ESU-owned computing equipment to be disposed of or to be reassigned to another user must first

be sent to Information Technology (IT) to ensure compliance with University policy and procedures

(e.g., ESU software licenses removed or updated, confidential data removed). Disposal will include

recycling e-waste when possible.

Removable media storing ESU information protected by privacy laws and rights must be rendered

unusable prior to disposal.

Non ESU-owned computing equipment storing ESU information protected by privacy laws and

rights must be rendered unusable prior to disposal.

Responsibility

ESU employees are responsible for destroying their removable media which might have stored

information protected by privacy laws and rights prior to disposal.

The Information Security Officer (ISO) is responsible for:

• Working with IT personnel and Unit Support Personnel to create Media Sanitization

Procedures for disposal and reuse of computer equipment and to provide training on such

procedures to ensure compliance;

• Raising awareness in the ESU community in secure disposal of media;

• Working with ESU’s Green Team to recycle e-waste when possible.

Scope

This policy applies to all technology related devices including but not limited to: desktop and laptop

computers, servers, CD or DVD’s, flash drives, routing and switching devices, telephone systems

and cellular phones storing ESU protected information.

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Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.20 SYSTEM DOCUMENTATION (FSB 06015 passed by Faculty Senate 10/03/06; approved

by President 10/20/06; updated 10/2/2013)

Policy Objectives

Documentation is a critical part of any information technology system to assist in any recovery

efforts should they be needed. Critical information allows the Information Technology (IT) team to

properly plan their management activities.

This policy will ensure that the requested information is in place so that anyone with the proper

credentials can gather information about a given system without having to search through that

system.

Policy

The IT Support Personnel or Unit Support Personnel will maintain information for each

infrastructure device. This information will include but not limited to:

• Description and use

• Original justification

• Date placed in service

• Contact and general configuration information

• Classification levels of data managed by this device

• Security measures in place to protect that data

• How this device interacts with other devices

• Change log

It will also contain system specific information for business continuity efforts and incident response.

Responsibility

IT Support Personnel or Unit Support Personnel are responsible to maintain information.

Scope

This policy applies to all technology related infrastructure devices including but not limited to:

servers, routing and switching devices, and telephone systems.

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Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with this

policy. In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.21 SYSTEM PATCHING (FSB 06016 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

All software requires regular maintenance to maintain its peak functionality. As vendors are made

aware of problem areas in their product(s), they release a patch, update, or service pack. These

‘patches’ can range from fixing simple cosmetic problems (low impact) to resolving an issue that

would allow full control of the system from an unauthorized source (critical impact).

As Emporia State University is committed to protecting the information with which it is entrusted,

this policy will help contribute to the overall security posture.

Policy

It is the policy of ESU to maintain University computing resources at a level that helps protect the

information assets within its control. To help facilitate this, all wired and wireless devices

connecting to the ESU network must be updated with vendor provided patches.

Responsibility

Information Technology (IT) will monitor vendor’s websites as well as other resources for

information about updates to all ESU owned or controlled systems and applications.

Patches will be distributed and applied per the System Patching Guidelines and Standards.

IT will periodically perform a vulnerability scan on the systems attached to the network. Systems

not having the proper patch level will be reported to the Information Security Officer (ISO) for

further action.

Owners will be responsible for applying system patches to personally owned devices connecting to

the ESU network.

Scope

The scope of this policy encompasses all installed software and wired and wireless hardware devises

connecting to the ESU network.

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Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.22 EVENT LOGGING (FSB 06006 passed by Faculty Senate 10/03/06; approved by President

10/20/06; FSB 08018 passed by Faculty Senate 4/21/09; approved by President 4/24/09;

updated 10/2/2013)

Policy Objectives

Knowing what changes are made to the University information assets, who made those changes, and

when those changes were made are important steps in maintaining the confidentiality, integrity, and

availability of the information assets Emporia State University owns or controls.

This policy will ensure that important information is gathered to permit support personnel to

properly maintain ESU systems and permit audit personnel to verify ESU information assets remain

secure.

Policy

It is the policy of ESU to monitor systems for compliance with adopted policy. To assist in this

effort, an audit trail of system activity will be maintained for each system, for each type of user,

including system administrators. This information will be reviewed regularly.

The information gathered includes but is not limited to:

• Date, time, type, and any applicable error condition of the event;

• The ID of the user who caused the event;

• The application and device that created the event;

• Logon and logoff events.

The types of events that should be recorded will be documented in the Event Logging Standards for

a given system or application.

Responsibility

Information Technology (IT) is responsible to ensure logging is enabled and to maintain an accurate

record of system activity on systems it manages.

Unit Support Personnel are responsible that their systems meet the Event Logging Standards.

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Scope

This policy applies to all technology related infrastructure devices including but not limited to:

servers, routing and switching devices, and telephone systems as well as applications that process

ESU information assets. This policy does not include any device on ESU’s premises not owned or

maintained by ESU.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.23 NETWORK LOGON BANNER (FSB 06012 passed by Faculty Senate 10/03/06; approved

by President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and accessibility

of the information assets it owns or controls. To assist in this effort, policies, standards, and

guidelines will be developed and promulgated throughout the ESU community.

This policy is to ensure that ESU devices contain a network login banner that is the electronic

version of a “No Trespassing” sign.

Policy

Every login process for ESU systems, multi-user computers, and infrastructure devices must include

a standard University banner.

Responsibility

The University will develop a standard banner to be used for all systems reflecting the Acceptable

Use Policy.

Information Technology (IT) will be responsible for applying the banner on systems it manages.

Unit Support Personnel will be responsible for applying the banner on systems they manage.

All devices shared between multiple areas within the University will be considered to be owned by

the Chief Information Officer and IT will be responsible for applying the banner.

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Scope

This policy applies to all computers owned or controlled by ESU including but not limited to:

servers, workstations and infrastructure devices.

For those devices that allow multiple avenues for logging in, this banner must be present at each

avenue (e.g., server that allows desktop access as well as FTP access from the network).

Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with this

policy. In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.24 DISASTER RECOVERY AND BUSINESS CONTINUITY (FSB 06003 passed by

Faculty Senate 10/03/06; approved by President 10/20/06; FSB 08016 passed by Faculty

Senate 04/21/09; approved by President 4/24/09; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and availability

of the information assets it owns or controls. To assist in this effort, policies, procedures, standards,

and guidelines will be developed and promulgated throughout the ESU community. This policy sets

out to ensure ESU has the means to continue operations in the event of a loss of critical systems.

Policy

It is the policy of Emporia State University to continue critical operations in the event of a disaster

or security failure.

Responsibility

It is the responsibility of the information owner to classify their information and applications that

manage information into the following categories:

1. Critical – A University wide system that stops ESU from continuing to conduct business or

classes (e.g., Banner, Blackboard) and must not be unavailable for more than 1 business day.

2. Serious – A system or service that hinders ESU’s ability to conducting business or classes

(e.g., Email, www.emporia.edu, phone system) and must not be unavailable for more than

3 business days.

3. Non-critical – A system or service that does not hinder University business or classes (e.g.,

individual workstations or phones).

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It is the responsibility of Information Technology (IT) staff to:

• Backup ESU information assets as per Backup Standards

• Develop, implement, and maintain a Power Protection Plan for infrastructure devices (e.g.,

network equipment, servers) supporting systems classified as critical or serious

• Develop procedures to be followed for various disaster scenarios that may affect any system

deemed critical or serious to the function to ESU.

It is the responsibility of the Unit Support Personnel for non-campus wide applications to:

• Classify information assets as critical, serious, or non-critical

• Backup information assets as per Backup Standards.

It is the responsibility of the Information Security Officer (ISO) to do periodic risk assessments of

technology assets.

The University is responsible for funding disaster recovery and business continuity to the best of its

ability.

Scope

This policy applies to all information systems created by or used within ESU. This policy does not

include any device on ESU’s premises not owned or maintained by ESU.

Enforcement

The ISO is responsible for monitoring and reporting compliance with this policy. In all cases,

information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.25 INTRUSION DETECTION (FSB 06010 passed by Faculty Senate 10/30/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and accessibility

of the information assets it owns or controls. To assist in this effort, policies, standards, and

guidelines will be developed and promulgated throughout the ESU community.

Monitoring areas of the network for signs of sabotage or cracking is necessary to help ensure that

our information assets remain secure.

This policy sets out to ensure that network traffic within the ESU environment is examined for

compliance to published policy and any traffic deemed to be contrary is logged and investigated.

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Policy

It is the policy of ESU to have tools in place to examine traffic to, from, and within the ESU

computing environment to avoid unauthorized access to ESU systems.

Unauthorized monitoring or packet capturing tools used by students or employees are forbidden.

Responsibility

Information Technology (IT) is responsible for implementing the necessary technology to examine

traffic within the ESU environment. This may include both network and host based intrusion

detection devices.

The person(s) responsible for monitoring these intrusion detection device(s) are responsible for

following all written policy and standards for handling sensitive information.

In the case of academic needs, IT will work with faculty for using a monitoring or packet capture

tool in a controlled test environment.

Scope

This policy applies to all network traffic traveling within the ESU computing environment.

Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with this

policy. In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.26 EQUIPMENT SECURITY (FSB 06005 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to protecting the confidentiality, integrity, and accessibility

of its information assets through its technology resources. These resources include items such as

servers, applications and an intricate network which allows users to connect to ESU’s local network,

ESU’s Intranet and the Internet.

This policy sets out to protect ESU’s technology assets from unauthorized physical access.

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Policy

It is the policy of ESU to protect access to sensitive infrastructure devices from unauthorized

individuals. Therefore, all information technology infrastructure devices critical to the operations

of ESU will be physically located in a limited access, secured area. Examples of such areas may

include:

• ESU’s Computing Center located in Cremer Hall

• Wiring closets located in buildings

• Equipment racks with locked doors

Access to these areas must be controlled. Infrastructure devices located in a shared environment such

as a computer lab, must be placed in a secured rack or cabinet with limited access. For network

devices, unused ports must be administratively turned off.

All access to these secured areas must be approved by Information Technology (IT).

Responsibility

Individuals authorized to use ESU technology assets will assist in safeguarding these resources. This

includes protecting the resource from unauthorized access, modification, destruction or disclosure.

The following levels have been established to help protect each technology asset: IT Support

Personnel or Unit Support Personnel.

1. IT Support Personnel

IT employees designated by the University to be responsible for maintaining the University’s

technology assets. IT Support Personnel are responsible to:

a. Define and implement the appropriate safeguards to protect the confidentiality, integrity, and

accessibility of technology assets.

b. Monitor the safeguards to ensure compliance and report any non-compliance issues to the

Information Security Officer (ISO).

c. Develop a system of authorization for personnel requiring business access to technology

assets and a means of the removal of access once it is no longer needed.

d. Verify user access to information with owner annually and adjust as necessary.

e. Manage the day-to-day operations of technology assets.

2. Unit Support Personnel

Employees designated by the unit to be responsible for maintaining the safeguards established

by IT Support Personnel. Unit Support Personnel are responsible to:

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a. Implement the appropriate safeguards defined by IT to protect the confidentiality, integrity,

and accessibility of technology assets.

b. Monitor the safeguards to ensure compliance and report any non-compliance issues to the

ISO.

If a given technology resource is shared among multiple University areas its owner will be the CIO.

Scope

This policy applies to all technology related infrastructure devices including but not limited to:

servers, routing and switching devices, and telephone systems.

This policy does not include any ESU owned and maintained workstations unless those workstations

are deemed critical to the function of the overall system nor does it include any device on ESU’s

premises not owned or maintained by ESU.

Enforcement

IT is responsible for monitoring and reporting compliance with this policy. In all cases, information

will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exception to this policy.

3J.27 TRUST RELATIONSHIPS (FSB 06017 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

Emporia State University is committed to maintaining the confidentiality, integrity, and

accessibility of the information assets it owns or controls. To assist in this effort, policies, standards,

and guidelines will be developed and promulgated throughout the ESU community.

Some of this information is more sensitive due to legal responsibilities or it is critical in nature to

the operations of the University. Therefore systems that contain or manage this type of information

require more stringent safeguards.

This policy sets out to ensure that all systems containing sensitive University information are kept

in a secured computing environment.

Policy

All systems managing or containing information classified as Private, Confidential, or Registered

Confidential must:

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• Be located in a secured, limited access environment;

• Be hardened in accordance to the Secure Server Baseline Standards;

• Have no shared authentication with other systems (e.g., the ability to log onto the system

without specifically authenticating to a system such as Internet Native Banner).

Responsibility

Information Technology (IT) is responsible for ensuring that all affected IT managed systems are

in compliance with this policy.

Unit Support Personnel are responsible to ensure all systems not managed by IT meet the Secure

Server Baseline Standards.

Scope

This policy applies to all servers managing or containing information classified as Private,

Confidential, or Registered Confidential.

Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with this

policy. In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.28 VENDOR MANAGEMENT (FSB 06018 passed by Faculty Senate 10/03/06; approved by

President 10/20/06; updated 10/2/2013)

Policy Objectives

There are times where the University contracts with a third party or vendor to provide services to

the University. Our commitment to the confidentiality, integrity, and accessibility of our

information assets must extend to any and all information that a third party or vendor may access

or manage.

Therefore this policy ensures that any University information asset that a third party or vendor may

access remains as secure as if the third party or vendor were a University employee.

Policy

Third parties or vendors with access to any University information not classified as public must sign

a Non- Disclosure agreement.

Vendor agreements that include access to any University information not classified as public must

be reviewed annually to ensure they meet all legal, regulatory, and business needs.

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Vendors that manage or have access to information that is classified as Confidential or Registered

Confidential must provide proof that their handling of that data meets or exceeds the University

security practices. This can be accomplished either by a security review by IT staff or by a third-

party SAS-70 audit.

Responsibility

The owner of the information asset has the ultimate responsibility for the protection of the

information. The owner or designee must be informed of any access to information that is protected

by privacy laws or rights.

The Information Custodian has the responsibility to carry out requests by the owner including the

granting of access to the owner’s information and ensuring that the access meets all University

information security policies, standards and guidelines.

The University legal counsel has the responsibility to review all vendor agreements.

Scope

This policy applies to all third parties or vendors that require access to University information as part

of their agreement with the University.

Enforcement

The Information Security Officer is responsible for monitoring and reporting compliance with this

policy. In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.29 EMAIL USAGE POLICY (approved by President 4/30/2015)

Policy Objectives

The purpose of this policy is to ensure the proper use of Emporia State University’s email systems,

both located on the University’s servers and used by faculty, staff, student workers, and volunteers,

and the email accounts for undergraduate and graduate students, retired faculty, and alumni using

the University’s domain name pursuant to the agreement between the University and Google, Inc.

Email is a tool provided by the University to supplement traditional forms of communication and

improve education and administrative efficacy. It is the responsibility of the users to use this

resource in an efficient, effective, ethical, and lawful manner. Violations of the policy may result

in account restrictions and/or other appropriate disciplinary action.

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Policy

1. Ownership of Email Data

The University owns both the locally hosted email system and the Gmail accounts maintained

in the domain name pursuant to the agreement between the University and Google, Inc. Subject

to underlying copyright and other intellectual property rights under applicable laws and

University policies, the University also owns data transmitted or stored using the University

Email Accounts.

2. Privacy and Right of University Access

While the University will make every attempt to keep email messages secure, privacy is not

guaranteed and users should have no general expectation of privacy in email messages sent

through a University Email Account or through a Gmail Account. It may be necessary for the

IT staff or other appropriate University officials to access University Email Accounts or Gmail

Accounts under certain circumstances. These circumstances include, but are not limited to,

maintaining the system, investigations or security or abuse incidents, investigating violations

of University policies and Google’s Acceptable Use Policy or the University’s contract with

Google. Such emergency circumstances resulting in access without expressed consent of the

individual user, must be authorized, in advance, by the appropriate Vice President, or designee.

In the instance where the University Email Account holder will not or cannot access the

University Email Account for any reason, such as death, disability, illness or separation from

the University for a period of time or permanently, ESU IT staff may have to access the account

to continue University business. Such access will be on a case-by-case basis and any email

accessed will only be disclosed to those individuals with a need to know or as required by law.

Google also retains the right to access Gmail Accounts for violations of its Acceptable Use

Policy.

3. Appropriate Use

When using email as an official means of communications, students, faculty and staff should

apply the same professionalism, discretion, and standards that they would use in written

business communication. Furthermore, students, faculty and staff should not communicate

anything via email that they would not be prepared to say publicly. Users of email shall not

disclose information about students or employees in violations of University policies or laws

protecting the confidentiality of such information.

No private personally identifiable information about University faculty, staff, students, alumni

or other University members should be transmitted via email or stored in an unencrypted format.

This includes but is not limited to Social Security number, bank account information, tax forms,

or other sensitive data.

Students who are employed by the University should not store information relating to their

employment on their Gmail Account.

Approval for access to Global Distributions Lists must be obtained from the Executive Director

of Marketing or be a designee represented in the Global Distribution List guidelines.

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4. Inappropriate Use

All Gmail accounts are subject go Google’s Acceptable Use Policy

(http://www.google.com/a/help/intl/en/admins/use_policy.html). In addition, any inappropriate

email usage, examples of which are described below and elsewhere in this policy, is prohibited.

Users receiving such email should immediately contact ESU’s IT Help Desk.

a. Inappropriate email usage includes the exchange of email content that:

• Generates of facilitates unsolicited bulk commercial email

• Infringes on another person’s copyright, trade, or service mark, patent, or other

property right or is indeed to assist others in defeating those protections

• Violates, or encourages the violation of, the legal rights of others or federal and state

laws

• Is for any unlawful, infringing, malicious, or fraudulent purpose

• Intentionally distributes viruses, worms, Trojan horses, malware, corrupted files,

hoaxes, or other items of a destructive or deceptive nature

• Alters, disables, or interferes with the use of the email services, or the equipment

used to provide the email services, by customers, authorized resellers, or other

authorized users

• Tests or reverse-engineers the email services in order to find limitations,

vulnerabilities or evade filtering capabilities

• Constitutes, fosters, or promotes pornography

• Is excessively violent, incites violence, threatens violence, or contains harassing

content

• Creates a risk to a person’s safety or health, creates a risk to public safety or health,

compromises national security, or interferes with an investigation by law

enforcement

• Improperly exposes trade secrets or other confidential or proprietary information of

another person

• Misrepresents the identity of the sender of an email

b. Other improper uses of the email system include:

• The use of attempt to use the accounts of others without their permission

• Collecting or using email addresses, screen names information or other identifiers

without the consent of the person identified (including, without limitation, phishing,

Internet scamming, password robbery, spidering, and harvesting)

• Use of the service to distribute software that covertly gathers information about a

user or covertly transmits information about the user

• Any conduct that is likely to result in retaliation against the University’s network or

website, or the University’s employees, officers or other agents, including engaging

in behavior that results in any server being the target of a denial of service attack

(DoS)

These guidelines provide examples of permitted or prohibited use of email. This list is not intended

to be exhaustive but rather to provide illustrative examples.

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Responsibility

All users are responsible for taking the steps necessary to protect University information.

Scope

This policy applied to faculty, staff, students, official University affiliates, and any other individual

who uses University email resources.

Enforcement

The CIO, or designee, is responsible for monitoring and reporting compliance with this policy. In

all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3J.30 BRING YOUR OWN DEVICE (BYOD) (approved by President 8/7/2017)

Policy Objectives

Emporia State University recognizes the need for students, faculty, staff, and visitors to bring their

own electronic devices onto ESU campus, networks, and systems. Such devices include laptops,

smart phones and tablets, and the practice is commonly known as “bring your own device” or

BYOD. In recognition of this need, ESU is setting guidelines for these devices to ensure the

protection of sensitive information, university assets, and services. These guidelines will provide

the owner of the devices with information on how to secure their devices to protect ESU’s property

as well as their own information and assets.

Policy

Important: This policy is an addition to the Information Technology policies outlined in the

University Policy Manual. Under no circumstance does this policy substitute or suspend any other

established Information Technology policy.

BYOD owners and users have the responsibility for their devices and how they use them. ESU

recommends the following guidelines be followed for these devices.

• Familiarize yourself with the device and its security features.

• Apply relevant security features for the device.

• Regularly apply patches and upgrades to the device in a timely manner.

• Ensure the device is not used for any purpose that is noncompliant with the University’s

Information Technology Usage Policy (section 3J.03 in the University Policy Manual).

• Read and be aware of what installed apps and software have access to on the device.

• Install and maintain appropriate anti-virus and malware protection on the device.

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• Do not store University information on the device itself. Refer to Information Classification

Policy (section 3J.17 in the University Policy Manual) for more information on University

information types and examples.

Responsibility

Device owners and users are responsible for maintaining the security posture of their devices and

following the set guidelines within this policy.

Scope

This policy applies to all persons who access or use any of ESU’s information or services.

Enforcement

The Information Security Officer (ISO) is responsible for maintaining and reporting compliance

with this policy.

In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3K. INTERNAL AUDIT (approved by President 4/9/2012)

University Internal Audit is a continuous independent appraisal activity authorized by the President

and the Board of Regents to direct a program of review throughout Emporia State University.

University Internal Audit shall have full, free and unrestricted access to any and all University

functions, records, files, property, and personnel necessary to accomplish their responsibilities.

University Internal Audit will review controlled affiliated corporations, as defined by Board of

Regents policy, IRS Form 990 with a focus on potential conflicts of interest and transactions

between the University and its controlled affiliated corporations. The University Internal Audit

Charter may be obtained from the University Internal Auditor.

The University Internal Auditor reports directly to the President and administratively to the Vice

President for Administration and Fiscal Affairs. University Internal Audit shall report directly to

the Kansas Board of Regents Board Fiscal Affairs and Audit Committee any situation wherein the

auditor perceives a conflict of interest with or on the part of the President’s involvement with the

subject of an audit. University Internal Audit shall report as prescribed by the Board of Regents.

3L. INSPECTION OF PERSONNEL RECORDS

3L.01 UNCLASSIFIED

Personnel files for unclassified employees are maintained by Human Resources, the appropriate vice

president’s office, the dean’s office of the appropriate school or college, and the employing

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department. These confidential records contain information regarding the employee's personal

history, previous experience, and complete history of employment at the University. Employees

may allow representatives on their behalf to review their files, by providing a written release.

Employees or former employees, with proper identification, may request to inspect their personnel

records. Inspections are done at a mutually agreed upon time given the following conditions:

1. a reasonable amount of time will be given for the inspection;

2. a representative of the office will be present;

3. records will not be altered or removed from the file;

4. access may be limited if requests become excessive; and

5. appointments to review files should be made in advance and accommodated as quickly as

possible.

If employees believe there is incorrect or incomplete information in the file or wish to bring their

records up to date, they should submit a written request to change, amend, or delete information to

their supervisor, with a copy to the appropriate vice president’s office.

The following fee will be charged if copies of more than 10 pages are requested:

1. 50¢ per page

2. Full postage

In response to external phone inquires concerning personnel file information, only information about

an employee regarding name, title, employment date, and status will be released. If a form letter is

received from a company with the employee's signed authorization to release personal information,

the requested information will be released. If an employee's signature is not on the reference request

form or employment verification form, the information will not be released.

3L.02 UNIVERSITY SUPPORT STAFF

Personnel files for USS employees are maintained by Human Resources (HR) and by the employing

department. These confidential records contain information regarding each employee's benefits,

payroll records, and employment history. Employees may have supplemental personnel files,

depending on their circumstances. Information on medical conditions or disciplinary situations will

be maintained in separate files, but will be considered to be a part of and located with the official

personnel file. Information on grievances will be maintained in a separate location, to provide

greater security for the employee, and will not be considered to be a part of the employee’s official

personnel file. When employees request to see their official personnel files, they may receive up

to three separate files.

Employees may allow representatives on their behalf to review their files by providing a written

release to HR. When giving written authorization for a representative to review their files,

employees should state which specific files are authorized for review.

Employees or former employees, with proper identification, may request to inspect their personnel

records. Inspections are done at a mutually agreed upon time given the following conditions:

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1) a reasonable amount of time will be allowed for the inspection;

2) a representative of HR will be present;

3) records will not be altered or removed from the file;

4) records will not be rearranged within the file;

5) HR reserves the right to limit access if requests become excessive; and

6) HR reserves the right to request that appointments to review files be made a reasonable

amount of time in advance.

If employees believe there is incorrect or incomplete information in the file or wish to bring their

records up to date, they should submit a written request to change, amend, or delete information to

their supervisor, with a copy to HR.

Employees may request copies of documents in their personnel files. The following fees will be

charged if copies of more than10 pages are requested:

1) 50¢ per page

2) full postage

In response to inquiry by any individual, HR will only verify information by telephone about a

current employee regarding name, title, employment date, pay rate, and status. If a form letter is

received from a company with the employee's signed authorization to release personal information,

HR will provide the above information in addition to evaluation and job history information.

Information on an employee’s performance, personal attributes or other information of a personal

nature (e.g., punctuality, attendance) will not be released unless provided by K.A.R. 1-13-1a &

K.S.A. 45-215.

3M. TRAVEL

The University may reimburse employees, within prescribed limitations, for all necessary and actual

travel expenses incurred during travel on official state business. Travel may be to fulfill official

duties or other professional or educational activities benefitting the University.

The attendance by state employees at funerals is not authorized as official state business and a state

vehicle may not be used to attend a funeral. Employees will not receive reimbursement for use of

a private vehicle.

3M.01 IN-STATE TRAVEL (revised 4/04)

In-state travel can be approved verbally by the employee's supervisor or the head of the budgetary

unit. Reimbursement will be in accordance with the policies and rates established by the Kansas

Department of Administration Division of Accounts and Reports in the booklet on travel polices

titled Employee Travel Expense Reimbursement Handbook

(http://da.state.ks.us/ar/employee/travel/travbkSMART11.htm). Meals will not be reimbursed

without an overnight stay. No reimbursement will be made if lodging and/or meal expenses are

incurred within 30 miles of home or Emporia State University.

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3M.02 OUT-OF-STATE TRAVEL

Employees desiring reimbursement for official out-of-state travel should submit an Out-of-State

Travel Expense Requisition/Authorization form through electronic channels. (Instructions may be

found at http://www.emporia.edu/busaff/departmental-information/travel-procedures.html.) Prior

to the beginning of the trip, a signed copy approving the travel will be returned to the department

funding the trip. Travel will be reimbursed according to guidelines established by the state and

Emporia State University as to the amount limited by the department. Airline, hotel reservations,

and car rental may be made through the State Travel Center by calling 1-800-748-7400.

3M.0201 STATE TRAVEL CENTER (revised 11/05; revised 09/08)

Using the State Travel Center is optional. The State of Kansas has contracted with Shorts

Travel to operate the State Travel Center:

State Travel Center -- 785-368-6625 or toll-free 1-800-255-3507

(After hours emergency numbers and access codes are listed at the bottom of the itinerary.)

If the State Travel Center is used, ticket transaction fees will be assessed.

3M.03 AIRLINE TRAVEL (revised 11/05)

To make domestic airline reservations, the traveler may contact the State Travel Center (instructions

may be found at http://www.emporia.edu/busaff/departmental-information/travel-procedures.html)

or may book reservations through any other source using a personal credit card or by calling the

ESU Controller’s office and using the University’s Business Travel Account (BTA) card. VISA

provides $500,000 travel accident insurance coverage when used for the purchase of air or rail

tickets. For airfare charged to personal credit cards, travelers will not be reimbursed prior to the

completion of the related travel. In addition, the out-of-state travel request must be submitted and

approved prior to travel for the traveler to be reimbursed.

When charging airfare to a personal credit card, the expense will be charged to the same fiscal year

as all other expenses related to the trip. The only way a department may have an airline ticket paid

out of the fiscal year prior to the trip is by using the University’s BTA card.

3M.0301 KCI PARKING (revised 7/04)

When flying from KCI, travelers must use economy lots. If a more expensive parking lot is

used, the traveler can claim only the cost of economy parking.

3M.04 STATE VEHICLES (revised 7/04; revised 9/08; revised 11/08; revised 7/09; revised

1/2010; revised 7/2011; revised 7/2012; revised 3/2013; revised 7/2013; revised 7/13/2016)

The University maintains a fleet of vehicles for use by University personnel as needed. The

University maintains liability insurance only. No medical insurance is carried on the driver or

passengers. Departments are billed for the usage of these vehicles on a per mile basis plus any

turnpike tolls charged on the K-Tag assigned to each vehicle.

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Employees are expected to use the state motor pool vehicles for official state business. The motor

pool consists of the following vehicles and rates:

13 Automobiles (5-6 passenger) – $0.60 per mile

4 Minivans (7 passenger) – $0.67 per mile

2 Vans, 15-passenger (12 passenger capacity) – $0.77 per mile

In an effort to avoid reservations being made and not utilized, there is a “no cancellation fee”. If a

reservation is not canceled prior to four hours after the beginning time of the reservation a “no

cancellation fee” will be added to the monthly bill in most circumstances. The fees are $15 for autos

and $20 for both minivans and 15-passenger vans. Once the four hour window has passed and the

vehicle reservation has not been canceled or picked up by the driver, the reservation will

automatically be deleted. At that point the vehicle will be available for another reservation.

State policy allows an employee to use a state-owned vehicle for commuting between the

employee’s residence and the employee’s official work station only on the evening of the work day

immediately preceding the date of travel or on the evening of the work day in which travel is

completed. Driving the vehicle home may not increase the total one-way trip mileage between the

official work station and the destination by more than 10 miles.

An employee’s commuting use of a state-owned vehicle is a taxable fringe benefit. The taxable

fringe benefit income is $1.50 per one-way trip and must be reported on a W-2. To report the

commuting use of a state-owned vehicle, complete the Statement of Personal Usage form and send

to the Controller’s Office. It is University policy to discourage the keeping of a University vehicle

overnight at an individual's place of residence. Vehicles may be picked up and returned to the motor

pool, 24 hours a day, 7 days a week.

Only the driver in whose name the vehicle is reserved will be allowed to pick up a vehicle. All state

vehicles are picked up at the east door of the Power Plant. The Power Plant personnel will require

the driver to sign a reservation form. Vehicles should be returned to the Power Plant and parked in

the spaces reserved for state vehicles on the east side of the Power Plant. Return the keys, credit

card, any turnpike or gasoline receipts, and the ending mileage to a Power Plant employee.

Each car is issued a credit card that is to be used only for expenses related to the state car to which

it is assigned. Under no circumstances is it to be used to purchase gasoline or other products for a

private vehicle. The date and time the vehicle was returned and the ending mileage should be

recorded by the Power Plant employee. If the driver uses any personal funds to pay for gasoline,

oil, or other expenses related to the state vehicle, the Physical Plant should be contacted to obtain

a Vehicle Reimbursement Claim form. The form should be completed and submitted with the

receipts.

Every individual driving a state vehicle must be a state employee and must have a valid driver’s

license. Only the driver(s) listed on the reservation may operate the vehicle. No one is allowed in

a state vehicle unless on official state business.

Employees are accountable for the state vehicle they are assigned, how it is driven, where it is

driven, and where it is parked. The driver will be personally responsible for any and all traffic or

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parking citations, tickets or fines received while operating the state vehicle. State law requires

drivers and passengers in passenger vehicles to wear seat belts.

Employees may park their personal vehicles in the University parking lots east of the Stormont

Maintenance Center. A temporary parking permit is available from Power Plant personnel and will

allow for free parking while the individual is driving a state vehicle.

Reservations for a state vehicle must be made by a department and a departmental account number

must be used for the reservation. An organization may only use a state vehicle for academic

purposes and it must be reserved with a departmental account number. Vehicles should not be

picked up prior to the reserved time.

3M.0401 ACCIDENT REPORTING REQUIREMENTS

If an accident occurs involving a privately owned or state-owned or leased motor vehicle being

used for official state business, the following action should be taken:

1. The vehicle operator or some other reliable person should immediately report the accident

to the highway patrol or other law enforcement agency.

2. Immediately notify the employee's supervisor of the accident. If the employee is unable to

do so, then the first employee having knowledge of the accident should make the

notification.

3. The supervisor will notify the vice president of the affected area and ESU Police and Safety.

4. Statements should not be made to anyone except law enforcement officers, Power Plant

personnel, or University administration.

5. Identifying information of other parties involved in the accident should be obtained.

6. The employee involved in the accident is responsible for protecting state property from theft

or further damage. If the employee is not able to do so, then the employee's immediate

supervisor or first employee having knowledge of the accident should do so.

7. Damaged vehicles shall be towed to state property to avoid storage charges.

8. Notify the Director of Administration and Facility Maintenance in University Facilities for

liability insurance purposes if damage to other property was involved.

9. All copies of information should be forwarded to the Controller’s Office. The Controller’s

Office will report to the State Department of Administration as appropriate.

A copy of the accident reporting requirements will be kept in each vehicle with the vehicle

registration and proof of insurance.

3M.0402 15-PASSENGER VAN POLICY (Approved by President 6/22/01; revised 7/19/02;

revised 7/13/2016)

1. All van usage must be in compliance with applicable municipal, state and federal

requirements.

2. Van drivers must employees of the University and be at least 21 years old.

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3. Prior to driving a van, drivers must complete a National Safety Council class on van driving

and safety.

4. No driver shall operate a van more than 10 hours in any 24 hour period.

5. The van driver must take a mandatory 30 minute rest break every 4 hours.

6. The van driver will be personally responsible for any and all traffic or parking citations,

tickets or fines received while operating a van.

7. All occupants of the van must use a seat belt at all times of operation.

8. No van will be used to transport or carry more than 12 passengers (including the driver) at

any one time.

9. No luggage may be stored on top of a van.

10. This policy is applicable to the usage of all vans, whether owned, rented or leased by the

University.

3M.0403 25-PASSENGER BUS POLICY (Approved by President 7/13/2016)

1. All bus usage must be in compliance with applicable municipal, state, and federal

requirements.

2. Drivers must have a current Class B Commercial Driver License (CDL) and a current

Medical card. A copy of the CDL license and Medical card must be on file in the

Controller’s office before a reservation for the individual is approved.

3. Bus drivers must be employees of the University and at least 21 years old.

4. No driver shall operate a bus more than 10 hours in any 24 hour period. The bus driver must

take a mandatory 30 minute rest break every 4 hours.

5. The bus driver will be personally responsible for any and all traffic or parking citations,

tickets or fines received while operating a bus.

6. No bus will be used to transport or carry more than 25 passengers (including the driver) at

any one time.

7. No luggage may be stored on top of a bus.

8. Whenever seat belts are available, all occupants of the bus must use a seat belt at all times

of operation.

9. This policy is applicable to the usage of all buses, whether owned, rented or leased by the

University.

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3M.05 RENTAL CAR AND OTHER TRAVEL SERVICES (revised 11/05; revised 9/06; revised

7/2012)

A rental car may be reserved through the State Travel Center or Enterprise for a fee or by the

individual. Upgrades and optional insurance benefits are not allowed.

All in-state business related vehicle rentals through Enterprise must be put on ESU's Business Travel

Account (BTA) card. By using the BTA card each rental will automatically be covered with

collision damage waiver insurance. When renting a vehicle, an out-of-state travel request form must

be filled out and submitted as usual.

When making out-of-state rental arrangements not on the BTA card, collision and comprehension

insurance should be purchased. These charges are reimbursable.

Because liability insurance is covered by the State, it should not be purchased in either in-state or

out-of-state travel.

Aircraft charter or bus charter reservations are not required to be made through the State Travel

Center. The traveler must contact the Controller’s Office to make arrangements as restrictions apply.

3M.06 CONFERENCE REGISTRATION (revised 4/04)

Conference registration fees are included in the total cost for travel. The conference fee may be paid

in advance.

If a department wishes to prepay a conference or seminar registration fee with a credit card, a

registration purchase order should be completed and submitted to the Controller’s Office. If the

registration is paid as money with order, submit purchase order to Accounts Payable.

3M.07 HOTEL/MOTEL RESERVATIONS (revised 4/04)

Lodging reservations may be made by the employee. For a fee, out-of-state hotel/motel reservations

may be booked through the State Travel Center. State reimbursement rates apply.

3M.08 MEALS/PER DIEM (Revised 7/2010)

Meals will be reimbursed at a per diem rate only with an overnight stay. The allowed meals are

based on the time in which the employee travels. Meal allowances on the day of departure are

reimbursed as follows:

Departure: Meals allowed:

12:01 a.m. – 6:00 a.m. Breakfast, Lunch, Dinner

6:01 a.m. – 12:00 noon Lunch, Dinner

12:01 p.m. – 6:00 p.m. Dinner

6:01 p.m. – 12:00 midnight No meals allowed

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Meal allowances on the day of return are reimbursed as follows:

Return: Meals allowed:

12:01 a.m. – 6:00 a.m. No meals allowed

6:01 a.m. – 12:00 noon Breakfast

12:01 p.m. – 6:00 p.m. Breakfast, Lunch

6:01 p.m. – 12:00 midnight Breakfast, Lunch, Dinner

When a meal is included in the event attended, a reduction is made for the provided meal whether

or not the meal is consumed.

3M.09 TRAVEL REIMBURSEMENT

After the traveler returns, a Travel Detail Voucher form must be completed, signed by the traveler,

and have the proper department approval signature (instructions may be found at

http://www.emporia.edu/busaff/departmental-information/travel-procedures.html). Attach all

original receipts and forward to Accounts Payable within 30 days.

Mileage using a personal car must be by the usually traveled, most direct route and will be

reimbursed at the University current automobile mileage rate. If a rental car is used, the traveler

must attach a memo stating the reason. The rental car receipt must be itemized.

Meal and lodging allowances will be reimbursed as stated Employee Travel Expense Reimbursement

Handbook (http://da.state.ks.us/ar/employee/travel/travbkSMART11.htm). List any meals included

in the registration fees. Make sure room rate and taxes are listed separately on receipts. Receipts are

no longer required for taxi, shuttle, turnpike tolls, KCI parking, and tips.

3N. FINANCIAL POLICIES

3N.01 PURCHASING (revised 9/22/04; revised 10/15/2010; revised 10/01/2014)

The Kansas Board of Regents (KBOR) has stated that each State University shall develop and be

guided by procurement policies and procedures that:

• Focus on the stewardship of public funds;

• Advance and support the mission of the institution;

• Promote a competitive and fair procurement environment; and

• Are open and transparent, including adherence to the Kansas Open Records Act.

KBOR encourages state universities “to engage in cooperative purchasing opportunities with other

public universities or other state agencies to achieve the lowest competitive price, including

purchasing from current State central purchasing contracts, state travel services, and products

pursuant to the Prison Made Goods Act, if it is in the best interest of the state university.”

ESU Controller/Director of Purchasing has as its primary goal to help departments conserve

financial resources while maintaining the highest possible integrity, broad based competition, and

fair and equal treatment of the business community.

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3N.0101 GENERAL PURCHASING GUIDELINES

All current ESU established contracts are in effect until renegotiated or expired, i.e., food

service, bookstore, banking, snack vending, and beverage contracts. Check the State purchasing

website for a listing of exclusive use vendors.

The purchase, lease, and/or license of computers, printers, scanners, cameras, other devices

containing internal memory or memory cards or other devices, all related equipment,

peripherals, hardware, software, and other information technology must be approved by the

ESU IT department on a purchase requisition to ensure the item is in compliance with and can

be supported by ESU’s technology architecture and information security policies and

procedures. The IT department may from time to time publish lists of pre-approved items that

can be relied upon when purchasing, leasing, and/or licensing information technology. IT

policies and procedures can be found at http://www.emporia.edu/it/about/policies.html.

All promotion and publicity of the University requires the approval of ESU Marketing and

Media Relations on a purchase requisition to ensure compliance with the required

standards/guidelines. It is ESU Marketing and Media Relations’ responsibility to establish and

maintain the required standards/guidelines for the use in promotion, publicity, and/or marketing

materials of ESU trademarks and service marks, institutional names, designs, logos, graphics,

video files, audio files, text, photographs, and other materials. Promotion or publicity of a

specific school, college, department, or organization (including Recognized Student

Organizations “RSOs”) must comply with these standards/guidelines for all promotion,

publicity, and/or marketing of the respective school, college, department, or organization. All

promotion, publicity, and/or marketing of the University shall have final approval by ESU

Marketing and Media Relations. Standards/Guidelines can be found at

https://www.emporia.edu/marketing/styleguide.

State use items such as toner cartridges, binders, and other selected office supplies must be

purchased from designated state use vendors.

Professional and consultant service contracts costing $10,000 and above shall be bid by the

University Purchasing Office unless determined to be a sole source.

The University retains the ability to use State contracts for any and all purchases. The

University should use such contracts if it provides the desired quality of goods at the lowest

possible price. A complete list of State contracts can be found at http://www.admin.ks.gov/.

Travel transactions, including registration, lodging, airfare, etc. follow established guidelines,

per the Travel Expense Reimbursement Handbook located at www.da.ks.gov/ar/.

Subscriptions, memberships, and other non-commodity items follow established guidelines.

The Business Procurement Card (BPC) can be used for purchases. Technology as well as

promotion, publicity, and/or marketing purchases must be approved prior to using the BPC.

Indication of a BPC order can be made on the PR by checking the applicable box.

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Lease of Real Property between a state educational institution and any other party for vacant

space that is less than 10,000 square feet or between a state educational institution and any other

party for a term not to exceed 24 months should be executed in accordance with K.S.A. 76-769.

See Lease/Rental of Space for additional information.

Certain departments within the Physical Plant, including grounds operations, plumbers,

electricians, motor pool, and carpenters will be responsible for purchasing within that trade or

department and maintaining an inventory of regularly purchased items to satisfy the daily needs

of the staff within the particular trade.

The University Purchasing Program does not include capital improvement, renovation, new

construction, or any other project that currently requires review by the Office of Facilities and

Procurement Management, a department within the Department of Administration.

IT projects may also require review by the Kansas Information Technology Office (KITO) as

outlined in the Kansas Statutes.

When vendors contact ESU staff about their products, state employees must comply with

applicable ethics laws, Kansas Ethics Commission opinions and guidance, ESU and KBOR

policy by not accepting gifts.

Documentation of informal bid results must be submitted to the Controller/Director of

Purchasing for reporting potential savings. The University may be required to report the

savings to the Kansas Board of Regents.

Vendors will be provided information on how and where to access information concerning

formal bids, i.e., the ESU Purchasing website, the Kansas Register, or local media.

The University reserves the right to modify these policies and procedures.

3N.0102 GUIDELINES ON DOLLAR AMOUNT OF PURCHASE

3N.0102.01 PURCHASES OF ANY DOLLAR AMOUNT

Items purchased from State of Kansas and/or ESU contracts can be purchased pursuant to

the terms of the applicable contract. Consortium agreements that have been approved

through the Purchasing Office, such as E& I, MHEC, NJPA, etc., are considered ESU

contracts. If an item is available from a State of Kansas and/or ESU contract but is

purchased from another source, a prior authorization form must then be submitted to support

the off-contract purchase. ESU requires a minimum savings of $100 for off-contract

purchases.

3N.0102.02 PURCHASES TOTALING $0 – $4,999

Goods and services that have a total purchase price of $4,999 or less, are not subject to any

bidding process. “Total purchase price” means the total of all installment payments or a

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lump sum payment. Splitting a purchase into two or more transactions in order to keep the

“total purchase price” at or below $4,999 is a violation of ESU Procurement Policies.

3N.0102.03 PURCHASES TOTALING $5,000 – $9,999

Goods and services that have a total purchase price of $5,000 to $9,999 are subject to the

informal bidding process. “Total purchase price” means the total of all installment payments

or a lump sum payment. Splitting a purchase into two or more transactions in order to keep

the “total purchase price” within the $5,000 to $9,999 range is a violation of ESU

Procurement Policies.

3N.0102.04 PURCHASES TOTALING $10,000 AND OVER

Goods and services that have a total purchase price of $10,000 and over are subject to the

formal bidding process. . “Total purchase price” means the total of all installment payments

or a lump sum payment. Splitting a purchase into two or more transactions in order to keep

the “total purchase price” at or below $9,999 is a violation of ESU Procurement Policies.

3N.0103 SIGNATURE AUTHORITY ON PURCHASES

All signature delegations must be on file with the ESU Business Office.

PURCHASES TOTALING $0 – $4,999

The Vice President, Dean, Chair, or Director can delegate signature authority for single

expenditures.

PURCHASES TOTALING $5,000 – $9,999

Requires the signature of the Vice President, Dean, Chair, or Director.

PURCHASES TOTALING $10,000 AND OVER

Requires the signature of the Dean or Vice President of that unit.

3N.0104 LEASE/RENTAL OF SPACE

All space that is to be rented must go through the contracting process. A formal bid process

must be done.

“Lease of real property” means an agreement to lease real property: (a) between the University

and any of its affiliated corporations; (b) between the University and a municipality; (c) between

the University an any other party for vacant space that is less than 10,000 square feet; or (d)

between the University and any other party for a term not to exceed 24 months. The term,

“lease of real property” also includes any agreement to lease real property from the University

and any agreement to lease real property to a University.

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Any lease of real property may be entered into by the University in accordance with policies

adopted by the Board of Regents and shall not be subject to K.S.A. 75-1005 [when division of

printing must print paperwork], 75-3737a through 75-3741b [director of purchases], 75-3842

through 75-3744 [execution and approval of contracts], and 75-37,130 through 75-37,134

[procurement of professional services]. The applicable policies of the Board of Regents are at

Board Policy Manual, Chapter II Section E.11.a.i-v; and Chapter II Section E.11.e-I-iii.

3N.0105 PURCHASES REQUIRING ESU CONTRACT

It is anticipated that the University may initiate purchasing agreements/contracts that would

specify a particular vendor for specific products and/or services for an established period of

time. For purposes of this policy, a “contract” is any agreement or promise which purports to

obligate the University to perform some responsibility or to take some specific action(s).

All University contracts must be in writing and must be in the name of Emporia State

University. Colleges, individual schools, division and departments do not have authority to

enter into contracts. As set forth in the Kansas Board of Regents policy, additional

requirements or requirements that conflict with this section may be required for contracts that

purport to sell, lease, or purchase real property, contracts between the University and other state

agencies, or contracts that require the expenditure or transfer of an amount greater than one

million dollars ($1,000,000).

The President, the Vice President for Administration and Fiscal Affairs, and the Associate Vice

President for Fiscal Affairs are the only individuals authorized to contractually bind the

University by the execution of a contract. Contracts made on behalf of the Emporia State

University Foundation shall not be binding on ESU. The President, the Vice President for

Administration and Fiscal Affairs, or the Associate Vice President for Fiscal Affairs may further

delegate authority to execute contracts (and thereby legally commit) on behalf of the University.

A list of additional parties authorized to execute contracts on behalf of the University can be

obtained from the Vice President for Administration and Fiscal Affairs.

Authorized signatories may delegate their authority at their discretion. Any such delegation

must be in writing and must state: to whom authority is being delegated; any limitations on the

delegated authority; the term during which the delegated authority shall be effective; and,

signed by the official delegating their authority. Any official delegating his/her authority is

responsible for the delegate’s exercise of the delegated authority. All persons to whom contract

authority is delegated must be a full time employee of ESU who is subordinate to the official

delegating the contract authority.

All officials are responsible for the exercise of contract authority by their subordinates, whether

the subordinate has actual or delegated contract authority.

The following contracts shall be reviewed by the University’s General Counsel prior to their

execution:

1. Contracts involving an expenditure of funds, either by or to the University, in the amount

of $5,000 or more;

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2. Any contract that may expose ESU to a greater than normal risk of liability;

3. Any contract that agrees to the laws or jurisdiction of another state; or

4. Any contract where ESU agrees to take on, limit, or waive the liability of another party

(a/k/a indemnification, waiver, or limitation of liability clauses).

3N.0106 MEMORANDUM OF UNDERSTANDING (MOU) AND MEMORANDUM OF

AGREEMENT (MOA)

As ordinarily used by ESU and its affiliated entities, both MOU’s and MOA’s are contracts

(with rare exceptions) pursuant to Kansas contract law. However, these

agreements/understandings are not typically used for the purpose of purchasing goods and

services. Instead, they are used to describe collaboration between the parties, which often

includes student internships. MOU’s and MOA’s are subject to Purchases Requiring ESU

Contract above. In addition, any agreement made for the purpose of creating a student

internship, regardless of the format of the agreement, is subject to Purchases Requiring ESU

Contract.

3N.0107 NOTICE OF APPOINTMENT (NOA)

Notices of Appointment are used by Emporia State University to confirm the employment of

both faculty and staff. Notices of Appointment are not covered by these procurement policies.

For additional information see the Procurement Policies effective 10/01/2014 at

http://www.emporia.edu/busaff.

3N.02 INVENTORY (revised 11/19/2012)

University equipment is recorded and accounted for through annual physical inspections. All

equipment with a purchase price of $5,000 or more is labeled with an identification number.

University property may be removed from campus only for conducting University business and is

not to be used to conduct private business or for profit activities.

When a piece of equipment is lost, stolen, or destroyed, ESU Police and Safety should be notified

immediately and appropriate documents completed. For additional details, see Property

Management and Inventory Control Procedures (http://www.emporia.edu/busaff/departmental-

information/property-management-and-inventory-control-procedures-.html)

3N.0201 TRANSFER OR DISPOSAL OF PROPERTY (revised 11/19/2012)

All University property must be disposed of according to guidelines established by the State

Surplus Property Program. University personnel have no authority to dispose of state property

without prior approval of the Inventory Office or the Controller of this University. This

includes disassembling an item and using it for parts.

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Any property being transferred from one department's inventory to another department’s

inventory must be approved by the Inventory Office.

Contact the University Inventory Office for proper procedures and questions at 620-341-5137.

3N.0202 TRANSFER OF GRANT PURCHASED ITEMS

State owned inventory purchased from an externally sponsored research project or other

external funding source may be transferred to a unit, where title to the property vests with the

State of Kansas. This must be accompanied by formal recommendation from the current

institution, including certification that:

1. The project investigator is moving to another academic institution and the principal

investigator’s financial support is also transferred by the granting agency without

interruption;

2. The granting agency approves the transfer to the new institution of equipment purchased

wholly by grant funds;

3. Such equipment was specialized in nature, acquired specifically for the investigator for this

particular program, and is essential to continuance of the program without undue interruption

in the work;

4. The originating institution does not need the equipment in its current related research

program; and

5. The entire cost of physical transfer of the equipment will be borne by the granting agency

or the recipient institution.

3N.03 COLLECTING FEES AND HANDLING CASH

State law requires that all tuition, fees, and other charges (e.g., workshop fees, fees collected for

performances, charges for materials/items sold) collected by any Emporia State University unit be

deposited as state funds with the University Cashier’s Office. Deposits should be delivered directly

to the Cashier’s Office and not sent through the campus mail. Receipts in small amounts may be

accumulated up to $50 but must be deposited weekly.

The State of Kansas policy requires that change funds are to be established exclusively for the

making of change when receiving amounts due. These funds are not to be used for check-cashing,

loan purposes, or to make payments of any kind. Monies may not be withheld from deposits to be

used as a change or petty cash fund. Money for a change fund must be applied for through the

Controller’s Office.

3N.0301 Sales Tax (House Bill No. 2005)

Retail sales of goods and services are subject to both state and local sales tax. Only sales to

wholesalers or educational institutions are exempt from sales tax. Exempt individuals or

organizations must furnish a tax exemption certificate at the time of the sale, if one has not been

supplied previously, or pay the sales tax. The University unit must maintain a file of the tax

exemption certificates to substantiate sales when sales tax was not collected.

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Examples of taxable sales include, but are not limited to: T-shirts, admission tickets, plants,

fruit, books and pamphlets, paper, computer disks, computer software programs, pens, pencils,

paint, brushes, other art supplies, subscriptions, printing, pictures, photographs, test materials,

test grading services, and prepared meals. The Controller's Office will provide guidance on the

taxability of specific sale items upon request.

Tuition and workshop registration fees are sales tax exempt. Registration fees for a conference

are sales tax exempt. However, any items sold at the conference must have sales tax added.

Registration fees related to providing services such as a credential service are sales tax exempt.

Transcript fees are sales tax exempt. Contact the Controller's Office if have additional

questions.

Effective July 1, 2003, a “destination-based” sourcing rule will apply. The rate of sales tax due

will be the sales tax rate in effect where the customer takes delivery/possession of the purchased

item(s). Under this new rule, the seller will continue to collect the sales tax rate in effect at the

seller’s “place of business” for over-the-counter transactions. However, if the item(s) is shipped

or delivered to the purchaser, the seller will collect the combined sales tax rate in effect at the

location where the purchaser receives the item(s). This will be the location where the seller

delivers the item(s) to the purchaser, or if the seller ships the item(s), it will be the “customer’s

shipping address”. The sales tax rate table for the various cities and counties can found on the

Kansas Department of Revenue’s website: http://www/ksrevenue.org/salesratechanges.htm.

The purchase price can either include sales tax or the sales tax can be added to the purchase

price. The formula for calculating the sales tax varies depending upon the practice followed.

The sales tax formulas are:

PURCHASE PRICE DOES NOT INCLUDE SALES TAX

Purchase Price times current tax rate of the Destination City equals Sales Tax.

Item is delivered/shipped to purchaser:

Example: Taxable sales of $35.00 (delivered/shipped to Andover, KS)

Sales tax = $35.00 x .063 = $2.21

(To find Andover’s tax rate, go to website, find Andover and you will see the tax rate is

6.3%)

Purchase Price times current tax rate equals Sales Tax.

Item is purchased over-the-counter (Emporia’s tax rate is 6.8%)

Example: Taxable sales of $35.00

Sales tax = $35.00 x .068 = $2.38

PURCHASE PRICE INCLUDES SALES TAX*

Purchase Price divided by 1 plus appropriate current tax rate equals Cost of Merchandise.

Purchase Price less Cost of Merchandise equals Sales Tax.

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Item is delivered/shipped to purchaser:

Example: Sales including tax of $50.00 (delivered/shipped to Andover, KS)

Taxable sales = $50.00/1.063 = $47.04

Sales tax = $50.00 - $47.04 = $2.96

Item is purchased over-the-counter (Emporia’s tax rate is 6.8%)

Example: Sales including tax of $50.00

Taxable sales = $50.00/1.068 = $46.82

Sales tax = $50.00 - $46.82 = $3.18

*For tax-exempt organizations, departments must compute the sales tax for the goods delivered

or shipped to the tax-exempt entity and decrease the purchase price by that amount. In the

example above, the sales tax was $2.96, thus the purchase price would be $47.04 ($50.00-2.96).

3N.0301.01 DEPOSIT SLIP PROCEDURES

When sales tax is collected on over-the-counter sales, the amount of the sales tax is to be

entered as a separate item on the deposit slip. Also on these transactions, a “T” needs to be

placed in the box reflecting the sale as taxable. When sales tax is collected on

delivered/shipped items, the purchase price and the amount of sales tax is added together and

recorded in the amount box on the deposit slip. Do not mark a “T” in the taxable sales box.

For these sales, please note the sale was delivered/shipped in the description box. For all

delivered/shipped sales, you must file a sales tax log sheet. (Sample log sheets are available

from the Controller’s office.) Please complete the sales tax log sheet and remit with the

deposit slip. The source codes will remain the same for both types of deposit. Monthly,

Accounting Services will transfer the sales tax amount on goods delivered or shipped into

the sales tax account. Accounting Services will send documentation to the departments

concerning these transfers. The Accounting Office will accumulate all collected sales tax

and transfer it monthly to the Kansas Department of Revenue.

Out-of-state sales do not require that sales tax be collected. They will be recorded the same

way as a delivered/shipped sale and will need to be marked on the sales tax log sheet as out-

of-state.

Tax exempt sales do not require that sales tax be collected but do require tracking. They will

be recorded the same way as a delivered/shipped sale and will need to be marked on the sales

tax log sheet as tax exempt.

If sales tax is not collected and it is determined later that the sale was taxable, the University

unit making the sale will be liable for the tax and any penalty assessed by the Department

of Revenue. Consult the Controller's Office on sales where the taxability is uncertain.

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3N.0302 PAYMENT CARD INDUSTRY DATA SECURITY STANDARD (approved by

President 6/15/2010; updated 10/2/2013)

Policy Objectives

Critical payment information is defined as the 16 digit payment card number, the payment card

expiration date, the payment card 3 digit security code, or the account number of a checking or

savings account. Critical payment information must be protected and the handling of this

information must follow industry standards. If these standards are not adhered to, consequences

include loss of trust with students, employees, and the community, fines, remediation costs to

handle notification, costs associated with external audits, and other penalties. Measures must

be taken to protect payment card information from unauthorized storage, access, and processing.

This policy establishes a commitment to following published standards with regards to payment

card and banking information.

Policy

All payment card processing activities and associate technologies must comply with the

Payment Card Industry Data Security Standard (PCI-DSS) in its entirety. Card processing

activities must be conducted in accordance with the Emporia State University PCI-DSS

Standards and Procedures. No activity may be conducted nor any technology employed that

might obstruct compliance with any portion of the PCI-DSS.

Responsibility

The Controller’s office has responsibility to:

• keep a current copy of the PCI-DSS in their office for reference;

• develop, implement, and maintain the Emporia State University PCI-DSS Standards and

Procedures to be used and referenced by University employees;

• educate the campus community regarding PCI-DSS and its impact.

Information Technology (IT) has responsibility to implement necessary technology-related

controls as necessary.

The Information Security Officer is responsible for assisting the Controller’s office with the

education of the campus community regarding the University’s PCI-DSS Policy.

University employees reviewing contracts related to handling University payment card data are

responsible for ensuring language for vendors, contractors, and business partners to include

language which requires a Report on Compliance (ROC).

University employees handling payment card data must review and follow the University’s PCI-

DSS Standards and Procedures.

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Scope

This policy applies to employees and representatives working for ESU that have responsibility

for handling critical payment information.

Enforcement

The President or designee is responsible for monitoring and reporting compliance with this

policy.

In all cases, information will be disclosed as required by controlling law.

Exceptions

The President or designee must approve any exceptions to this policy.

3N.04 SOLICITATION POLICY (revised by Facilities Council; approved by President 5/24/06;

revised by Facilities Council; approved by President 3/19/12)

3N.0401 CREDIT CARDS

In accordance with the policy of the Kansas Board or Regents, no solicitation of credit card

applications from Emporia State University students shall take place on campus during the week

before and the two weeks following the first day of each semester. Educational material on the

proper use of credit shall be included in the orientation programs for incoming students. During

the times when credit card solicitations are permitted on campus, the credit card issuer shall

provide to students information on the responsible use of credit cards and the risks of credit card

use.

Retail vendors located in the Memorial Union building may provide credit card applications on

the premises it leases from the Union, as consistent with its lease.

Credit card solicitation shall be limited to the Memorial Union, Welch Stadium and Trusler

Sports Complex in compliance with Memorial Union policies and regulations or Intercollegiate

Athletic Department policies and regulations as applicable or University Alumni Association

contracts with credit card vendor.

3N.0402 ON-CAMPUS SALES OR COMMERCIAL ACTIVITIES BY OUTSIDE

BUSINESSES

The display, promotion, marketing, or sale of products or services on the University campus by

individuals, partnerships, corporations or other such entities not associated with, related to or

specifically authorized by or on the behalf of the University is prohibited.

The Memorial Union is exempt from this restriction. Compliance to the Union’s policy

regarding outside solicitation by outside businesses is required.

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3N.0403 FUNDRAISING

Individuals and/or organizations who are not affiliated with or a recognized student or employee

organization are not permitted to solicit money on campus. Student or employee group

fundraising activities, (e.g., bake sales, candy bar sales, raffle tickets) will be conducted in a

centralized location in each building, to be approved by the building manager. Solicitors shall

not conduct office-to-office sales and disrupt the work of University employees.

This restriction is not intended to prohibit, restrict or discourage University/Community

Fundraising or Emporia State University Advancement fundraising programs and activities

authorized by the President.

3N.05 PROFESSIONAL FEES (revised 9/22/04)

Honorariums and similar payments for State of Kansas employees will be paid as additional salary.

State employees may be reimbursed for official travel at current rates.

3N.06 MEMBERSHIP FEES

State funds may be used to pay institutional memberships only. The University does not pay for

individual membership fees. Memberships can only be paid in the fiscal year in which they begin.

3N.07 OFFICIAL HOSPITALITY AND FOOD/BEVERAGE (9/24/04; revised 9/18/2014;

revised 9/18/2014)

Emporia State University often conducts activities where it becomes necessary to provide

hospitality. Hospitality expenditures shall be in accordance with good business practices that

include sound business justifications for, and adequate documentation of, expenditures.

Reasonableness and fiduciary responsibility must guide expenditures for hospitality relative to the

operations of the University.

1. “Official hospitality” expenditures assist an agency in fulfilling an objective or goal which bears

a valid relationship to the powers and functions of the state agency.

2. Official hospitality expenditures must be paid from funds as appropriated and designated for

official hospitality by the legislature.

3. Official hospitality expenditures may include food, lodging, transportation, official gifts and

favors, official entertainment or directly related miscellaneous expenses provided to official

guests or provided for an official function.

4. It is recommended that official hospitality expenditures have supporting documentation noting

the following information:

a. the name or description of the group and the number of official guests;

b. the nature and the objective or goal of the official function; and

c. details of the expenditures and charges.

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5. The University expending funds for official hospitality purposes should also be aware of the

rules issued by the Kansas Governmental Ethics Commission regarding acceptance of meals and

gifts by State employees and information contained in Policy Manual 3,104, Gifts and Awards

for State Employees.

6. The Controller’s office may refer expenditure requests deemed to be questionable or beyond

the authorization of this policy to the appropriate vice president for review and decision.

7. Meals may be paid from OOE accounts or restricted use funds when they meet Official

Hospitality guidelines. Meals may be paid from restricted use funds if fees or funds have been

collected for this purpose.

8. The “Detail for Official Hospitality/Food” form must be completed and attached to each request

for payment or reimbursement of such expenditures.

9. The State General Fund, General Fees Fund (Tuition) and Restricted Fees Fund have been

approved to pay for any expenditure considered to be “Official Hospitality.”

10. The Sodexo catering contract applies to all events held at ESU Facilities. Sodexo has exclusive

rights to all University catering. According to the State contract “Food may not be brought into

University facilities by any group or individuals for group consumption. Exceptions to this

policy may be granted by the Director of the Memorial Union and should be limited to such

items as wedding cakes, pre-packaged ethnic foods, and refreshments for university

administrative staff. To better meet the needs of the University, the Contractor (Sodexo) will

be expected to prepare ethnic cuisine as requested from international student groups for catered

events. Sack lunches may be brought in by members of the University community for

individual consumption.”

11. Auxiliary funds including Housing System Operation, Parking, Student Health Fees, and

required Campus Activity Fee Funds are used for the purpose of administering various student

programs. These funds may pay for food/beverages for official events or gatherings specifically

covered by their mission.

12. Food/beverages may be purchased from grant or sponsored funding only if food/beverages are

specifically allowed as an appropriate expenditure by the funding entity (granting agency or

sponsor).

13. This policy does not pertain to faculty, staff or students who are traveling for official University

business and will be reimbursed following travel policy per diem guidelines.

14. This policy does not apply to agency funds, including student organizations, in which ESU

serves a fiduciary role in managing the disbursements on behalf of an organization.

15. This policy does not pertain to expenditure of Memorial Union Corporation or Emporia State

University Foundation Funds, unless transactions are processed as reimbursements to university

funds.

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16. Allowable costs include the following:

a. Food/beverages supporting an official business setting (conference, workshop, training

session) as documented on the Official Hospitality/Food Form.

b. Food/beverages which includes a conference registration fee, banquet fee, etc. as

documented on the Official Hospitality/Food Form.

c. Examples of allowable costs:

• All-day or half-day workshops/training sessions

• Business meetings with external parties over meal hour

• ESU staff meetings over meal hour due to limited schedule availability

(Note: Business purpose is justified in that the meeting would not have occurred if staff

were not provided opportunity to eat lunch and not all staff have the ability to bring a

sack lunch.)

• Conference meals funded from registration fees

• Employee recruitment

• Student recruitment

• Student focus/retention groups (Note: Business purpose justified as food is incentive to

get students to participate.)

• ESU Campus-wide Staff Appreciation Events

17. Unallowable costs include the following:

a. Food/beverage provided in a largely social unstructured setting, such as reception, parties,

gatherings which do not serve a clear official business purpose.

b. Food/beverages provided as incidental to normal meetings (staff meetings, committee

meetings, etc.) on which the success of the meeting does not depend. Typically involving

predominantly employees, the food/beverage serve no essential business purpose.

• The costs of these events should not be borne by State funds; however, if funds exist in

Emporia State University Foundation that allows for these expenditures, expenditures can

be submitted directly to the Emporia State University Foundation for consideration of

payment.

c. Examples of unallowable costs:

• ESU department staff meetings throughout the business day (e.g., a monthly department

staff meeting that lasts 1 – 2 hours and occurs during the morning or afternoon.)

(Note: In comparison to a meeting over the meal hour, food or beverage for this type of

meeting is a “nice to have” but not a necessity in order to have a successful meeting.)

3N.08 CAPITAL FINANCING POLICY (approved by President 6/27/2014; approved by

President 10/18/2017)

Capital debt may be incurred by Emporia State University, when consistent with the University’s

strategic plan and campus master plan. All University capital debt must be in conformance with

Chapter II, Section D 12 and E of the Policy and Procedure Manual of the Kansas Board of Regents,

utilizing definitions prescribed in that Section for: Authorization; Types of Debt; Uses of Debt; Debt

Period; Pledge of Revenues; and Refunding.

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Disclosure obligations as required by KBOR, federal and state authorities, rating agencies, the

Kansas Development Finance Authority, and other interested parties are to be fulfilled as required

at least annually. In most cases, the issuance of capital/financial debt requires the collection and

dissemination of appropriate disclosure information. The University president or designee and other

officials of the University are charged with the responsibility for accuracy of all information being

disclosed. Likewise, there is an obligation to disclose all material matters which could have an

impact on the overall financial condition of the University. This responsibility remains for the life

of the issuance of the debt and an annual certification for each obligation is the norm.

The University Vice President for Administration and Finance is responsible for overall issuance

and management of capital debt. The University Controller is designated as the Bond Compliance

Officer. The University will annually prepare a debt capacity plan, consistent with instructions and

metrics issued by the Kansas Board of Regents.

3N.09 MOVING EXPENSE REIMBURSEMENT (approved by President 8/22/2014)

Moving expenses are not permitted by State Board of Regents, except as authorized by K.S.A. 76-

727. The statute is available at:

http://kansasstatutes.lesterama.org/Chapter_76/Article_7/76-727.html.

K.S.A. 76-727 states the following:

“Reimbursement for moving expense may be made to applicants for positions in the unclassified

service under the Kansas civil service act as state educational institutions other than chief

executive officers in accordance with this section if such reimbursement is from private funds

provided to the state educational institutions by the endowment associations or other affiliated

corporations of such state educational institutions.”

Moving and relocation expenses are reimbursable for in-state and out-of-state unclassified applicants

(new hires). Departments responsible for reimbursement of moving expenses must ensure that:

• The applicant is required to sign an agreement that if the applicant leaves the position of

employment within one year from the beginning date of employment, the applicant will

reimburse Emporia State University the full amount paid for moving expenses. (Form DA-

22 – Agreement for Reimbursement of Moving Expenses)

• Reimbursement for mileage will be at the state mileage rate. Actual gas receipts will be

accepted for reimbursement.

• The amount to be paid for moving expenses shall not exceed the amount of the actual

moving expenses verified by receipts.

• All reimbursements will be paid through the university’s Accounts Payable process. All

reimbursements will be reported to the Payroll Office.

• Reimbursements that have a tax consequence will be reported as fringe benefits subject to

tax withholding.

• Reimbursements that do not have a tax consequence will be reported to Payroll so the

amount can be reported in Box 12 of the W-2. This will ensure the appropriate reporting of

moving expenses.

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The following expenses are considered non-qualified moving expenses that may be reimbursed and

will be included as a taxable fringe benefit through Payroll. The move must be at least 30 miles.

• Expenses related to one pre-move trip to look for a new residence.

• Meal allowance while en route from the old residence to the new residence.

• Subsistence expenses while occupying temporary quarters for a period of 30 days.

• The excess mileage reimbursement of the standard state rate over the IRS standard mileage

rate.

The following items are also considered non-qualified moving expenses that may be reimbursed

and will be included as a taxable fringe benefit through Payroll when the new work location is less

than 50 miles further from the former residence that was the former place of work. The move must

be at least 30 miles.

• Lodging en route from the old residence to the new residence.

• Cost of moving personal effects.

• One-way mileage at the standard state rates.

• Temporary storage (defined as 30 days or less).

When the work location is at least 50 miles further from the former residence that was the former

place of work, the following moving expenses are considered qualified moving expenses that are

paid through Accounts Payable and also reported through Payroll and are not taxed.

• Cost of moving personal effects.

• Mileage (at IRS rate per Publication 521) and lodging en route while moving from the old

residence to the new residence.

• Temporary storage (defined as 30 days or less).

All requests for reimbursement will be submitted to Accounts Payable via the OnBase Invoice

processing system. The ESU Foundation reimbursement box must be checked and the ESU

Foundation fund number listed. The original receipts must be scanned into OnBase.

Additional information can be obtained from IRS Publication 521 – Moving Expenses. This

publication details the expenses that are allowed to be deducted and those expenses that are not

allowed to be deducted. All moving expenses that have been reimbursed must be reported in either

Box 1 (taxed) or Box 12 (not taxed) of the W-2.

3N.10 FUNDRAISING PRIORITY POLICY (Approved by President 05/09/2017)

Emporia State University is responsible for establishing fundraising priorities in conjunction with

Emporia State University Foundation.

The Emporia State University Foundation exists to support Emporia State University. The

Foundation is accountable for building complete, correct donor and gift records for the purposes of

relationship-building, data analysis and benchmarking, and maximizing future fundraising

opportunity. To enable success, all philanthropic gifts and grants shall be coordinated through and

made payable to Emporia State University Foundation.

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Additionally, all University fundraising initiatives will be approved by University leadership and

coordinated through the Foundation. This includes but is not limited to campaigns, one-time or

recurring fundraising drives, and fundraising letters or newsletter articles on fundraising. This does

not include sales of merchandise or ticket sales which do not have a tax-deductible component.

While every ESU Employee is empowered to build relationships which inspire philanthropy, the

approval and coordination process for any specific initiative should occur prior to making

substantive contact with prospective donors.

Departmental fundraising initiatives must be approved through the Dean/Director and appropriate

Vice President. For those considered to be major initiatives, the University President in conjunction

with university Vice Presidents will have final approval before the initiative will be considered a

fundraising priority. Major initiatives include but are not limited to capital improvements and

projects requiring an up-front or on-going (e.g., matching) commitment of university resources.

All athletic fundraising initiatives must be approved through the Director of Athletics and the

Foundation President, with the University President having final approval before the initiative will

be considered a fundraising priority. All athletic fundraising initiatives must be in compliance with

NCAA guidelines.

The Foundation will seek unrestricted dollars as an ongoing priority, as these flexible dollars can

be leveraged to increase fundraising success or can support the University’s unfunded priorities.

The Foundation serves as a resource to coordinate all fundraising for the University. This

coordination begins when fundraising appeals and lists of proposed recipients are submitted for pre-

approval. Foundation staff will assist in editing for appropriate language to assure we align with

IRS requirements. Staff will also identify any proposed recipients who should not be considered or

for whom a larger or higher-priority appeal is already in progress or proposed. If a department

requires assistance, a member of the development staff may be assigned to assist with approved

fundraising efforts, priorities and/or prospects. As needed, Foundation staff will track the success

of the appeal within and beyond the approved recipient list.

The University and the Foundation are mindful that university priorities and donor interest may not

always align. The University President and other members of the Foundation’s Gift Acceptance

Committee, under advisement of representatives of the areas potentially impacted by the proposed

gift, will review and approve or decline these opportunities on a case-by-case basis.

Approval and coordination of fundraising initiatives assists us in effectively fundraising for the

University’s highest priorities, and protects potential donors from being inappropriately solicited

for multiple initiatives. This policy maintains a professional, high-achieving fundraising program.

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3O. MEDIA RELATIONS, UNIVERSITY MARKS, AND PRINTING

3O.01 MEDIA RELATIONS (Revised as approved by President 1/23/09; revised as approved by

Associate Provost for Enrollment Management 12/02/2010)

All publicity directed to the media must be handled through the Assistant Director of Marketing and

Media Relations. Contact either the Director or Assistant Director of Marketing and Media

Relations for details.

3O.02 UNIVERSITY NAMES, LOGOS, AND MARKS (Approved by President, 5/14/07;

Revised as approved by President 1/23/09)

The University names, logos and marks are considered property of the University regardless of

registration status and are subject to University control. In order to establish a consistent and unified

graphic identity, the Director of Marketing shall create, maintain, and disseminate a controlling

Graphic Identity Standards Guide. The Graphic Identity Standards Guide must be followed for

usage of University Names, Logos and Marks. This policy provides guidance to the University on

how usage will be controlled.

1. Faculty, staff and students are encouraged to use the name of the University for official

purposes, such as for official University business, and to use University stationery for official

correspondence.

2. Faculty, staff and students may not use the University name in any advertisement, publication,

or report involving personal or unofficial activities, if the use could be construed as implying

University endorsement of any product, project, activity, or service.

3. Use of the Emporia State University names, logos or marks by any party in a manner that

implies, either directly or indirectly, endorsement of programs or products of any entity not

directly associated with, or licensed in writing by, the University is prohibited. Approval,

disapproval, or discontinuation of any use is at the discretion of the Director of Marketing.

Permission is rarely given to unaffiliated third parties to use the name Emporia State University

or the University’s symbols.

4. Faculty or unclassified staff may list their institutional affiliation in professional works they

author, edit or present without securing approval, unless the use conflicts with this policy.

University approval must be received if a conflict arises.

5. Student and alumni groups that have official University recognition, and are registered as such,

may use the University names, logos and marks as set forth in this policy in association with

their University sanctioned activities.

6. Questions regarding use of the University names, logos and marks and requests for institutional

approval required by University policy and Graphic Identity Standards will be directed to the

Director of Marketing for decision making.

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7. Request for approval to use University names, logos or marks by entities with an existing,

previous, or anticipated business relationship with the University shall be directed to the

Director of Marketing for decision making. Such requests for approval may be granted, subject

to the following parameters:

a. Usage is subject to the limitations set forth in the University Names, Logos, or Marks policy

and University Graphic Identity Standards.

b. Any usage shall be subject to written authorization and permission from the University.

c. University will be given an opportunity to review, approve or reject the intended usage.

d. A set period of usage will be defined and limited; continued usage is subject to further

University review and approval.

e. The University's names, logos or marks are not to be displayed more prominently or any

larger than other corporate marks or logos. No licensee shall alter, modify, dilute or

otherwise misuse the University intellectual property.

f. Displays of the University’s names, logos or marks shall be accompanied by the following

text: "The University's name, logo or mark is used with permission of Emporia State

University. Usage reflects a business or academic relationship and in no way constitutes an

endorsement or recommendation."

g. University reserves the right to terminate any license to use.

h. Licensee shall promptly inform University of any suspected infringement of University’s

names, logo or marks by a third party. University provides no warranties on the validity and

scope of University’s trademarks or on the appropriateness of licensure of goods.

8. The use of names, logos or marks of Emporia State University must be licensed to the individual

or entity using the names, logos or marks. Licensing questions should be directed to the

Director of Marketing. Individuals may purchase and use properly licensed goods bearing the

marks of Emporia State University as long as the use does not violate the University Names,

Logos, or Marks policy.

9. Subject to the above limited circumstances, use of the University's names, logos or marks is

prohibited. The University does not intend this policy to prohibit usage of the University's

name in connection with news items, University sponsored events, or pursuant to contractual

agreements.

10. In keeping with its status as a non-profit educational institution, Emporia State University does

not permit its name and marks to be used in connection with partisan political activities or in

any manner that violates state or federal law or jeopardizes the non-profit status of the

University.

3O.03 PRINTING (Revised as approved by President 1/23/09)

All University publications developed for use off-campus must be approved by the Director of

Marketing prior to reproduction and dissemination. Printing of University publications must be

done by the ESU Printing Service or the State Division of Printing. KSA 75-1005 prohibits using

outside services except in very rare cases. All exceptions require prior approval by the Director of

the State Division of Printing. All requests for such exceptions must be directed to the University

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Director of Marketing for decision making who will, if approved, make any required requests for

exception from the Director of the State Division of Printing.

To initiate a design or printing job, contact Printing Services.

3P. FACILITIES, PARKING AND RELATED SERVICES

3P.01 KEY ISSUANCE (revised 4/19/02; revised by Facilities Council; approved by President

3/19/12)

The following policy is to be followed by University employees in acquiring and accounting for

keys to University buildings. Issuance of keys by University Facilities (Stormont Maintenance

Facility) will follow current Grand Master/Mater/Standard/Direct to Grand Master Key Security

Guidelines on file at Stormont Maintenance Facility.

FACULTY, STAFF, AND GRADUATE ASSISTANTS: The administrative head, or designee, of

the department will prepare and submit the electronic Key Request Form for each employee he/she

gives permission to receive a key. Authorized keys can be picked up one working day after the date

of the request approval.

Each key issued will be the responsibility of the employee to whom it is assigned with the exception

of desk and file cabinet keys. Departments cannot purchase door keys, nor can keys be issued

without being assigned to a specific individual.

The employee or department will be responsible for the costs and fees indicated in the Key Security

Guidelines for each key that is lost or not returned upon termination of employment.

STUDENTS: Students will obtain door keys through a department head or a faculty or staff member

who has been assigned the keys at the key shop. It will be up to the person signing for the key to

choose some method of securing the key's return from the student or the person will be responsible

for the costs and fees indicated in the Key Security Guidelines.

3P.02 USE OF FACILITIES AFTER CLOSING HOURS (revised by Facilities Council;

approved by President 3/19/12)

At times there are legitimate reasons for faculty, staff members, and students to be in University

facilities after buildings are closed and locked. Faculty, staff, and students are expected to notify

ESU Police and Safety when they enter, work in, or leave a campus instructional building after

closing hours. They should expect to show identification cards, and students must also show

after-hour permits.

3P.0201 OBTAINING AFTER CLOSING HOURS PERMITS

After closing hours permits are not required for faculty and staff. Students must have an after

closing hours permit form signed by the department chair on file at ESU Police and Safety.

Such permits are not transferable and holders have responsibility for safety and property in their

working areas. Permits must designate the specific place and the hours the permit is valid, with

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the period of time noted on the card. All students remaining within the designated areas after

normal closing hours must notify ESU Police and Safety. The permit holder may not bring

others into the building. A faculty member bringing a student into a building becomes

responsible for the student and for the property within the area.

3P.03 CAMPUS SAFETY (revised by Facilities Council; approved by President 3/19/12)

The ESU Police and Safety officers are assigned the responsibility of protecting the institution’s

property and insuring the safety of personnel on the campus and have the same authority and

responsibilities as any other commissioned police officers. Officers will generally provide the

following services: courtesy first aid service while waiting for an ambulance; escort service when

an individual feels endangered in any way; service for minor vehicle problems on campus when

waiver of liability is signed (e.g., opening locked doors, jump starting vehicles); and delivery of

emergency messages.

Emergency blue phones are located throughout campus and when picked up, automatically ring ESU

Police and Safety.

3P.04 SCHEDULING FACILITIES (revised by Facilities Council; approved by President

3/19/12)

University facilities used for scheduled classes are assigned during the compilation of the course

schedule. The use of University grounds and facilities for all other functions will be scheduled

through the Conference & Scheduling Center (Memorial Union). The center will notify all the

departments responsible for the grounds, facility and/or rooms for access, security, cleaning,

conditions, and all other services indicated in the request.

3P.0401 RESERVING EQUIPMENT (updated 10/2/2013)

Equipment needed for classes and not available in the classroom or department should be

reserved with Information Technology.

Equipment needed for meetings, conferences, and workshops should be reserved through the

Conference Scheduling Center.

3P.05 BUILDING MANAGERS (revised by Facilities Council; approved by President 3/19/12)

Each building or building floor has a manager who is responsible for notifying the proper office or

person of any requests or complaints pertaining to the physical facilities and their upkeep. A current

list of managers is on file at the University Facilities Office (Stormont Maintenance Facility).

3P.06 NAMING FACILITIES (approved by President 7/11/97; revised and approved by

President 3/19/12)

A. Any person or group wishing to promote or request the naming of a facility are required to

submit a formal letter of recommendation to the ESU Foundation. The recommendation should

include any or all of the following information:

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1. Distinctions or accomplishments that brought prestige, honor, and resources to Emporia

State University.

2. Involvement and years of service to ESU either as a member of a campus community or as

a steward of the University.

3. Philanthropic activities pursued on behalf of or in support of the University.

4. A singular unique success (if any) that highlights the individual’s life work.

5. Identification of the facility being named and a rationale for the specific facility being named

for the honoree.

B. The letter of recommendation will be reviewed by the Facilities Naming Committee (FNC).

1. The FNC will consist of (1) vice president, and one (2) dean appointed by the University

President, annually; and individuals serving as (3) faculty president, (4) ASG president, (5)

alumni director, and (6) University Advancement CEO will serve as permanent members.

C. The FNC will forward a yes or no consensus to the President’s office.

D. With the concurrence of the President on a positive recommendation from the FNC, the

recommendation, along with the justification, will be submitted to the Kansas Board of Regents

for review and approval in accordance with the Board’s current policies and procedures.

3P.0601 NAMING OF A ROOM OR A DEFINED SPACE (approved by the President,

4/30/2014)

A. Any person or group wishing to promote or request the naming of a room or of a defined

space is required to submit a formal letter of recommendation to the ESU Foundation. A

“room” or “defined space” can include either a location within an existing or planned facility

of the University, or a location not within a facility but on the University campus, or a

combination of rooms and/or defined spaces. A room or defined space includes, but is not

necessarily limited to: a classroom; room; office; hall; a space or area either inside or outside

of a facility that can be described so that there is no confusion as to its exact location and

what it includes; or, any combination thereof. The recommendation for the naming request

should include any or all of the following information:

1. Distinctions or accomplishments that brought prestige, honor, and resources to Emporia

State University.

2. Involvement and years of service to the University either as a member of a campus

community or as a steward of the University.

3. Philanthropic activities pursued on behalf of or in support of the University.

4. A singular unique success (if any) that highlights the individual’s life work.

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5. Identification of the room or defined space being named and a rationale for the specific

room or defined space being named for the honoree.

B. The letter of recommendation will be reviewed by the University Facilities Naming

Committee (UFNC).

1. The UFNC will consist of (1) vice president, and one (2) dean appointed by the

University President, annually; and individuals serving as (3) president of the faculty,

(4) president of the Associated Student Government, (5) Alumni Association Executive

Director, and (6) University Foundation President will serve as permanent members.

C. The UFNC will forward their recommendation to the University President.

D. With the concurrence of the University President on the recommendation from the UFNC,

the request for naming a room or a defined space will be approved. In the event the Kansas

Board of Regents develops a policy requiring their approval to name a room or a defined

space, then the letter of recommendation, along with the justification and a statement of the

University President’s concurrence in the UFNC’s recommendation, will be submitted to the

Kansas Board of Regents for review and approval in accordance with the Board’s then

current policies and procedures.

3P.07 PARKING

Parking on campus is available to faculty and staff via a parking permit. This permit will allow

parking in specified parking lots/spaces.

Visitor permits are required Monday through Friday, 7:30 a.m. to 4:30 p.m., and may be obtained

at the Visitor Information Booth. Permits are color coded and are valid in specified lots.

For information on conference parking or to request conference parking permits, contact the

Conference Scheduling Center.

Parking violations include infractions such as parking without a permit, parking in unauthorized

places, and illegal parking (i.e., spaces for persons with disabilities, fire lanes) will result in a ticket

and fine. A petition for review may be completed at the ESU Police and Safety Office.

3P.08 FOOD

The dining service operation in the Memorial Union is the sole vendor for all food served on

campus. Meals and/or refreshments served on campus must be contracted through Dining Services.

3P.09 ANIMALS AND PETS (approved by President 8/25/09)

Animals and pets are prohibited in campus buildings.

Exceptions:

• Certified trained assistance animals working for disabled persons.

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• Research animals used for academic research and/or studies. All research and/or studies

using animals must submit to the Animal Care and Use Committee an application for review

and approval of the proposed activities for these animals.

• Certified trained therapy animals and/or those in certified training programs used for

academic research, therapy and/or studies. All research, therapy and/or studies using

animals must submit to the Animal Care and Use Committee an application for review and

approval of the proposed activities for these animals.

• Performance animals used for academic performances, plays and specific events.

Departments using animals must submit to the Animal Care and Use Committee an

application for review and approval of the proposed activities for these animals. Approval

by the department’s Dean and Director of Facilities is required.

Exempted animals must meet housekeeping and safety protocols. Animals must remain under the

direct control of the handler at all times when outside of a cage or compartment. Whenever the

animal is loose inside a room, a sign must be posted outside the room indicating that an animal is

present. The handler will notify the Building Services Supervisor in the building where the animal

will be used. The handler will have cleaning materials to immediately clean up accidents inside and

outside the building. The handler will immediately notify the Building Services Supervisor of any

accident so that the area can be sanitized.

3P.10 SIGN/BANNER/CHALKING POLICY (passed by Facilities Council; approved by

President 3/19/12)

Temporary placement (over 4 hours) of signs, banners (indoors and outdoors) and sidewalk chalking

(outdoors only) on the campus is restricted only for the promotion of campus events, student body

elections, and academic activities. An ESU Sign, Banner & Chalking Request Form must be

completed, signed and submitted to the Director of Facilities a minimum of 15 calendar days prior

to the requested placement. A form may be obtained by contacting the University Facilities Office

(Stormont Maintenance). The Director of Facilities will review the request and reply back to the

identified contact person.

Chalking or painting buildings, structures, fences, etc. is strictly prohibited.

3Q. INCLEMENT WEATHER AND EMERGENCIES

3Q.01 INCLEMENT WEATHER POLICY FOR UNIVERSITY EMPLOYEES (approved by

Administrative Team 11/04/03; revised, approved by President 1/19/2010)

This policy is established in order to provide a procedure for the notification of administrative

personnel, faculty, staff, and students of the closing of the university for severe weather conditions.

Generally, the university does not close because of snow or other inclement weather, and employees

are expected to be at work during their regular times. However, severe weather may delay or

prevent employees’ travel to work or may necessitate them leaving work early. Certain serious

weather situations may be beyond the scope of the following provisions and the ESU Emergency

Operations Plan (EOP) may be triggered due to an emergency declaration of the University

President or designee. In those cases, the EOP should be referred to for additional information and

direction.

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3Q.0101 ISSUE A DECLARATION OF INCLEMENT WEATHER AND CLOSE THE

UNIVERSITY

The Governor may issue a Declaration of Inclement Weather for the entire state. Normally, the

Governor may issue a Declaration of Inclement Weather for one or more geographic areas of

the state.

The Governor has delegated to the President of Emporia State University the responsibility and

exclusive authority to make a Declaration of Inclement Weather for ESU because of severe

weather conditions. The President has the responsibility and authority to maintain essential

services and to provide for the protection of resident students and University property when a

Declaration is issued. It is important to remember that a declaration of a weather emergency

is a separate issue from the suspension of classes. There may be instances when classes are

suspended but an inclement weather emergency is not declared.

3Q.0102 NOTIFICATION (updated 2/09; updated 6/2010; updated 10/2/2013)

Should a weather emergency be declared during the day time, employees will be notified via

calling trees from the President’s office, the Academic Affairs vice president’s office, the

Administration and Fiscal Affairs vice president’s office, the Student Affairs vice president’s

office, and the Human Resources office. At that time, the period for early departure will be

communicated.

If any emergency declaration is announced before the normal work day, the information will

be announced on the local radio station KVOE 1400 AM and the Topeka television station

WIBW. Employees who will be late or unable to get to work are expected to give their

departments timely notice.

3Q.0103 INCLEMENT WEATHER EMERGENCY PERSONNEL

Employees who have been designated as Inclement Weather Emergency Personnel will report

to work or remain at work during declarations of inclement weather. Non-exempt Inclement

Weather Emergency Personnel who perform essential services shall be eligible for

compensatory time in addition to pay for hours worked during the Declaration. Employees who

do not perform inclement weather emergency services and who do not work during the

Declaration will receive administrative leave based on their regular work schedule. Services

requiring coverage during inclement weather emergencies include: police and safety, power

plant operation, food service for the students living in the Residence Halls, clearing of

walkways, streets, and parking lots, and other services as deemed necessary by the President.

The Director of Facilities will designate Inclement Weather Emergency Personnel within the

Physical Plant, Building Services and Policy and Safety. The Director of Residential Life and

the Director of the Memorial Union will designate Inclement Weather Emergency Personnel

for the residential living and food service areas.

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3Q.0104 LOST TIME

Employees who do not report to work or who elect to return home after reporting to work due

to weather conditions when there is no official closing can select one of the following options

for handling the lost time:

• Charge accrued vacation time (exempt employees may charge only in 4 or 8 hour

increments)

• Charge accrued compensatory time, if applicable

• Charge their discretionary holiday (may not be used for less than a full day)

• Charge leave without pay (non-exempt employees only)

• Make up the absent-from-duty hours within the same work week. Non-exempt employees

must make up lost time on an hour-for-hour basis. Plans for make-up time must be worked

out with the approval of the supervisor in advance. Time not made up within the specified

period will be charged to accrued vacation leave or to leave without pay.

• Employees who report late to work one hour or less because of inclement weather will not

be charged for that time. Employees reporting to work more than one hour late must use one

of the options available for handling all lost time.

• Employees on authorized leave, holidays, or sick days will not be affected by these

emergency procedures.

NOTE: This policy does not apply to the University Holiday Closing scheduled during the Winter

Holiday Break.

3Q.02 CANCELING CLASSES IN THE EVENT OF INCLEMENT WEATHER

3Q.0201 REGULAR DAYTIME ON-CAMPUS CLASSES (Revised as approved by

President 1/23/09)

The President, or, in his/her absence, his/her designee is authorized to cancel on-campus classes.

Notification of such cancellation and notification of the resumption of classes will come from

the office of the President. The Director of Public Relations will issue appropriate news

releases and the campus switchboard and ESU Police and Safety office will be notified.

Instructors should attempt to communicate with commuting students, especially those out of the

area covered by local radio stations. Instructors are urged to contact a nucleus of students in

appropriate locations who could, in turn, notify other students in their area.

3Q.0202 ON-CAMPUS NIGHT AND WEEKEND CLASSES

The policy on canceling regular daytime on-campus classes applies to on-campus night and

weekend classes.

3Q.0203 OFF-CAMPUS CLASSES (revised 11/23/2010)

If it is not possible for the instructor to travel to the location of the class, or if weather

conditions make travel hazardous at that location, the individual instructor may make the

decision to cancel the class. The instructor must notify the department chair and Distance

Education. The instructor should also contact a nucleus of students who would notify other

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students in their area in accordance with a prearranged plan. In case Distance Education cannot

be reached, the instructor should also notify the campus switchboard and ESU Police and

Safety.

3Q.03 ACCIDENTS, INJURIES, AND MEDICAL INCIDENTS (revised, approved by

President 1/19/2010)

To request emergency response personnel, ambulance, fire department, and/or police assistance, call

911. Advise the 911 operator the nature of the emergency, your name, location, and phone number.

The operator may ask additional situation specific questions in order to ensure that appropriate

emergency response personnel are dispatched. Stay on the line, the operator will return to obtain

additional information and verify that responders are in route. If the emergency requires a police

response only, and the situation will not require assistance from outside law enforcement agencies,

the operator will transfer the call to ESU Police and Safety.

1. Medical

When someone on campus becomes seriously ill or has suffered a serious injury, individuals

in the area are advised to call 911 immediately. Once emergency response personnel have been

dispatched, call ESU Police and Safety at 5337 to notify them of the situation and action taken.

ESU Police and Safety officers have first-aid training and are available 24 hours per day.

Officers will transport persons needing X-ray or other minor treatment to the hospital.

Decisions to transport in an ESU patrol car will be made at the discretion of ESU Police and

Safety Officers. Officers will not transport an unconscious person or someone exhibiting

symptoms associated with a serious or possibly life threatening illness or injury. In these cases,

ESU Police and Safety will summon Lyon County Emergency Medical Services.

Services of the Student Health Center are only available to students due to the Center being

supported solely by student fees.

2. Suspicious Behavior and Possible Criminal Activity

The campus community is urged to be aware and to report any suspicious behavior or possible

criminal activity to ESU Police and Safety immediately. If you witness an act which is

potentially criminal in nature, stay calm, be observant, and obtain as complete a description of

the individuals and activities as possible. Clear, concise accurate information relayed to

emergency responders in a timely manner may have a significant impact on the overall

resolution of an incident.

3. Other Unsafe Conditions

If you encounter unsafe conditions that may pose a threat to the safety or well being of others,

report the situation to Police and Safety at 5337.

4. Emergency Operations Plans

Crisis and emergency situations should be handled in accordance with the ESU Emergency

Operations Plan as set forth in the University Policy Manual.

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All employees of ESU are covered with workman's compensation insurance for any job-related

injury. Such injuries must be reported to Human Resources immediately on the ESU standard

accidental injury report form. This form is to be completed by the injured person if possible,

otherwise by the immediate supervisor. Failure to report an injury within 10 days of the accident

may result in benefits being denied. Further information may be obtained by contacting Human

Resources.

In the creation of this policy, Emporia State University acknowledges the consultation of policies

from Wichita State University 10/08/09.

3Q.04 TIMELY WARNINGS (approved by President, 10/28/08; updated 2/06/09; revised,

approved by President 1/19/2010; updated 6/22/2010; updated 10/2/2013)

Police and Safety and other law enforcement attempt to identify crime patterns and trends in and

near the University community, which pose a safety threat to the University community. In the

event a situation arises, on or off campus that constitutes an ongoing or continuing threat to the

University community a timely warning will be issued to the University community. This

determination is made jointly by ESU Police and Safety, the Office of the Provost/Vice President

for Academic Affairs; and the office of the Vice President for Student Affairs in consultation with

the University General Counsel.

The warnings are posted on the University web site. If the situation warrants, the notice will be sent

through the University email system and other appropriate communication mechanisms in

conformity with University communication protocols. Certain situations may trigger the University

Emergency Operations Plan, which should be referred to in those situations for additional

information and direction.

3Q.05 EMERGENCY RESPONSE (approved by President 8/12/03; updated 2/06/04; updated

7/02/04; updated 12/14/04; updated 10/27/05; updated 06/06; updated 8/06; updated 6/07;

revised, approved by President 10/28/08; updated 2/09; revised, updated 1/19/2010; updated

10/2/2013)

Responsibility for Emporia State University emergency response and recovery at Emporia State

University has been delegated to the University, subject to the laws of the State of Kansas and the

policies, procedures, rules and regulations of the Kansas Board of Regents. Emporia State

University developed and maintains an Emergency Operations Plan (EOP), which is a university-

wide plan, intended to establish an “all hazards approach” to handling emergencies. This plan

enables the University to handle emergencies of various kinds and of various magnitudes in a

structured, yet flexible manner, following the organizational model of the National Incident

Management System (NIMS). The plan addresses FEMA’s five phases of emergency management.

The EOP establishes a command structure for the University and defines three levels of emergency;

minor, major, and severe, each calling for a different level of response and a different range of

resources.

The University shall have an Executive Policy Group made up of the President, the Provost and Vice

President for Academic Affairs, the Vice President for Student Affairs, the Vice President for

Administration and Fiscal Affairs, General Counsel, and the Executive Director of Marketing and

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Media Relations. Only the President, or designee, shall have the authority to declare an emergency.

The Executive Policy Group shall approve overall priorities and strategies, approve public

information reports and instructions, and act as liaison with governmental and external

organizations.

Emergency situations and specific University protocols for handling said emergencies are set forth

in the EOP. The University President approves modifications to the EOP.

3Q.06 EMERGENCY MASS EXIT EVACUATION OF NON-RESIDENCE HALL

BUILDINGS (approved by President Glennen and other administrators; revised, approved

by President 1/19/2010)

The following procedure and the University’s Emergency Operations Plan (EOP) will be utilized

to promote the safety and well-being of all University personnel (students, faculty, staff, and

visitors) in classroom and non-classroom settings.

3Q.0601 CLASSROOM SETTINGS

Faculty and disabled individuals will be responsible for the following preplanning actions

during an emergency mass exit evacuation:

Teaching Faculty

1. Review aloud the evacuation route posted in the classroom. Preferably, this should be

accomplished during the first 2 weeks of classes.

2. Ask class members, who are in need of assistance due to disability, to identify themselves.

In private, determine the nature of their disability and the assistance they may require.

3. Ask disabled individuals to identify assistants. In the event the disabled individual has not

provided for assistants, request class volunteers.

4. If requested by a disabled individual, provide help in locating a Safe Room.

5. If the faculty member is disabled, he/she should preplan his/her own evacuation strategy in

cooperation with student assistants within the same time frame.

6. Notify the Director of Student Accessibility and Support Services in the event of a noted lack

of cooperation by disabled students in complying with their section of this plan.

7. Assistance in developing an emergency mass exit evacuation procedure for disabled persons

can be obtained from the disabled individuals in question, the Director of Student

Accessibility and Support Services, ESU Police and Safety, and Student Health Center.

Disabled Individuals (Those with severe auditory, visual, mobility or other impairments which

place them at risk during an emergency mass exit evacuation.)

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1. Identify himself/herself to each of his/her teaching faculty members, indicating the nature

of his/her disability and the magnitude of assistance required. The responsibility to initiate

evacuation related discussions rests solely with each at risk disabled student.

2. Disabled individuals are responsible for knowing how to evacuate themselves and for being

capable and willing to communicate such information to teaching faculty and assistants.

Disabled students who need assistance in planning their evacuation should contact the

Director of Student Accessibility and Support Services.

3. Find the necessary assistants to help in an emergency mass exit evacuation. If unable to find

assistants, request the help of the faculty member to identify willing assistants.

4. Personally instruct all assistants in the correct method of rendering assistance both in any

training sessions and during an actual emergency.

5. Able bodied persons who assist disabled persons during emergency mass exit evacuations

may be protected against liability under the Kansas Tort Claims Act and Good Samaritan

Act as long as reasonable care is taken.

Procedures

1. When disabled persons (students or faculty) are in the classroom, the following preparations

will be made:

a. A decision must be made regarding which of the following 2 methods of emergency

mass exit evacuation will be planned for and used.

1) The preferred method is to be immediately helped out of the building to safety by

assistants.

a) Mobility impaired persons in wheelchairs on ground level floors can evacuate

along with other persons.

b) Mobility impaired persons in electric wheelchairs on non-ground level floors

must be removed from their wheelchairs and evacuated leaving the wheelchair

behind.

c) Mobility impaired persons in manual wheelchairs on non-ground level floors have

the option of either being removed from their wheelchairs and evacuated leaving

the wheelchair behind, or being evacuated while remaining in the wheelchair.

Should the latter option be chosen, at least four strong assistants will be necessary

to carry the wheelchair with the person in it up or down the stairs and over

obstacles.

d) Visually impaired persons should have a sighted assistant guide them to safety.

e) Hearing impaired persons should be told individually of the emergency and how

to respond as soon as the emergency is identified. It should not be assumed that

hearing impaired persons can hear the fire alarm or that they will know what to

do by watching others.

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2) The less preferred method of emergency mass exit evacuation for disabled persons

is the following:

a) Have the disabled person/s be assisted to a Safe Room by an assistant. A Safe

Room is simply any room or office with a door and telephone that is far removed

from the source of the fire or critical area.

b) Procedures relating to the actions of the disabled person, assistant, ESU Police

and Safety, telephone operator and City Fire Department following entry into a

Safe Room.

c) General faculty and disabled persons action responsibilities in an actual

emergency.

d) Procedures for non-classroom settings.

e) Procedures for Conferences and Non-Credit functions, Office Areas and

Memorial Union.

NOTE: Elevators must never be used in an actual Emergency Mass Exit Evacuation.

3Q.0601.01 SAFE ROOM

Safe Room actions by disabled persons, assistants, ESU Police and Safety, and City Fire

Department.

A. The disabled person and assistant should enter the Safe Room and dial 911 for the local

city emergency operator. The disabled person or assistant will tell the operator that a

disabled student needs emergency evacuation. The operator will then transmit this

information to the emergency first responders and ESU Police and Safety’s dispatcher.

The caller will give the disabled person's name, the assistant's name, that he/she needs

emergency evacuation, the nature of the disability, the name of the building and the room

number. The building, name, room number and emergency call instructions are posted

at each campus telephone in all academic buildings.

B. The assistant or caller, will advise the operator that the assistant is leaving the Safe Room

immediately and will proceed directly out of the building. The assistant will notify an

emergency first responder on the scene, that he/she is clear of the building and give the

same information to the emergency first responder regarding the disabled person/s, that

was relayed by telephone.

C. In the unusual event that the assistant determines that his/her personal safety would be

jeopardized by leaving the Safe Room, the assistant or caller will advise the emergency

operator that he/she is remaining in the Safe Room.

D. If the telephone is not working, the assistant should proceed immediately to another

telephone (leaving the disabled person alone in the Safe Room) and make the call

elsewhere, or tell the emergency personnel the required information as soon as they

arrive on the scene.

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3Q.0601.02 FACULTY AND DISABLED STUDENT RESPONSIBILITIES IN AN

EMERGENCY

Faculty and disabled students will be responsible for the following preplanning actions

during an emergency mass exit evacuation:

A. Faculty must supervise any actual emergency mass exit evacuation and immediately

evacuate the building.

B. In all cases the faculty's prime responsibility is to supervise the majority of students

during an emergency mass exit evacuation.

C. Any person evidencing confusion, disorientation or hysteria must be assigned assistants

and escorted to safety.

D. Immediate response is important at all times.

E. Classroom windows and doors must be closed. Doors must not be locked because

disabled persons may need to use the classroom as a Safe Room and to promote easy

access by emergency personnel.

F. Faculty will be requested to provide verbal feedback following an actual emergency mass

exit evacuation by the Impact Assessment Group, who will in turn share the information

with Executive Policy Group, Emergency Responders Groups, and others on an as-

needed basis.

3Q.0602 NON-CLASSROOM SETTINGS

A. All persons should learn the primary and alternate emergency mass exit evacuation routes

on their first day of employment and subsequently at each change of work site.

B. Disabled persons must make arrangements with assistants for safe emergency mass exit

evacuation, within the first week of activity at each work site. Disabled persons should

inform their supervisor of their evacuation plans.

C. Upon notifications of the need for an emergency mass exit evacuation all personnel will

immediately exit the building using the appropriate escape route.

D. In no situation will elevators be used by disabled or other persons.

E. Office windows and doors must be closed. Doors must not be locked because disabled

persons may need to use offices as Safe Rooms.

F. Verbal feedback regarding an actual emergency mass exit evacuation should be provided to

the Impact Assessment Group, who in turn will share the information with the Executive

Policy Group, Emergency Responders Group, and others on an as-needed basis.

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3Q.0603 CONFERENCES AND NON-CREDIT FUNCTIONS, OFFICES AND

MEMORIAL UNION

Conferences

A. Emergency mass exit evacuation routes are posted in all rooms throughout the academic

areas adjacent to the exit.

B. The sponsor of any event scheduled in the academic facilities shall familiarize themselves

with the emergency mass exit evacuation route posted prior to the start of the function, and

be responsible for the orderly evacuation of the attendees, should an emergency occur. The

sponsor of the event shall identify and describe the procedures for evacuation at the

beginning of the conference and at any change of venue or room.

C. The sponsor of any function shall be responsible for requesting and identifying any disabled

person/s prior to the conference and those who will be present, and determine in cooperation

with that person, the magnitude of assistance required in the event an emergency mass exit

evacuation is required.

Office Areas

A. Emergency mass exit evacuation plans are posted in all office areas adjacent to the exit.

B. The office supervisors will be responsible for assuring that the office personnel are familiar

with the emergency mass exit routes for their areas.

Memorial Union

Refer to the Memorial Union’s Policy Manual in reference to evacuations and emergency

procedures.

3Q.07 TORNADO SHELTERS (revised 3/02; revised 6/07; revised, approved by President

1/19/2010; updated 10/2/2013)

It is the policy of Emporia State University that all classes and activities on campus will be officially

suspended when the City of Emporia is included in an officially declared tornado warning. Faculty,

staff, students, and visitors shall be instructed to seek appropriate shelter for the duration of the

warning. The ESU Emergency Operations Plan (EOP) should be referred to for additional

information and direction.

An officially declared tornado warning is defined as notification that the City of Emporia (or all of

Lyon County) is included in the warning area as confirmed by the National Weather service via a

weather alert radio, AM/FM radio, Facilities, or the University Police and Safety.

The first indication of a tornado warning is frequently made by radio or civil preparedness sirens.

Persons who are not able to confirm whether the Emporia area is included in the tornado warning

by one of the means outlined above should proceed immediately to shelter upon hearing the sirens.

The University would prefer faculty, staff, and students disrupt current activities than take any

chances.

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Buildings will be posted with signs to notify persons arriving on campus where to take shelter.

University Public Relations will issue public statements indicating classes and events have been

suspended during periods of time the City of Emporia is included in the tornado warning area.

Areas designated as tornado shelters.

Memorial Union: Basement hallways away from windows.

King Hall: Lower floor area, rooms west of the hallway, basement area located under the stage.

Stay away from windows.

Roosevelt Hall: Use the north/south hallway area away from windows.

HPERA: Basement hallways away from windows. DO NOT USE THE GYM!

White Library: Downstairs from the lobby to the lower area away from windows.

Science Hall: Lower hallway area (north/south hallway) away from windows.

Cremer Hall: Lower hallway area (north/south hallway) away from windows.

Butcher Education Center: Tunnel area basement hallway, south end, room 001 (Main office

has key) away from windows.

Visser Hall: Lower hallway area (north/south hallway) away from windows.

Plumb Hall: Lower hallway area away from windows.

Morse Hall: Lower hallway in South; hallway connecting Central and North; hallway in

Northeast. DO NOT USE hallways with adjacent glass expanses.

Twin Towers: Lower hallways in all buildings as well as work and utility areas.

Stormont Maintenance Center: Bay #9, east of shops away from windows.

ESU Police: Police & Safety building hallway away from windows.

Art Annex, Compound, Portable Units, Welch Stadium: Physical Education Building basement

hallways away from windows.

Ross Reservation Trailer and Classrooms: Use above ground tornado shelter.

Anderson Library: Use basement hallway area away from windows.

Earl Center: Use lower hallway area and south stairwell basement landing away from windows.

Beach Hall: Lower hallways away from windows.

Student Recreation Center: Restrooms away from windows.

Guidelines:

• During storm season be alert for storm warning sirens.

• When sirens sound, proceed immediately to the designated tornado shelter.

• When you evacuate to these areas, kneel and cover your head with your arms.

• Do not emerge until the all clear is given.

• If caught outdoors find a ditch or depression in the ground and lie down.

• If you are in your automobile and can determine the path of the tornado, drive away at right

angles to the storm.

• In the event a tornado strikes the ESU campus, report to ESU Police and Safety or your

administrator that you are either safe or in need of assistance.

3Q.08 CHEMICAL SAFETY AND ENVIRONMENTAL CONCERNS (revised, approved by

President 1/19/2010)

For policy and procedures in dealing with the proper and safe handling of chemicals and other

environmental concerns, contact ESU’s Chemical Safety Officer to determine the best way to deal

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with the spill and minimize its impact on personnel and the environment. If the Safety Officer

cannot be reached, contact ESU Police and Safety.

Reference University’s Emergency Operations Plan (EOP) for guidelines to address emergency and

crisis situations for chemical accidents and spills.

Contact the Chemical Safety Officer prior to disposing of chemicals that are no longer of use, out

of date, in a container beginning to corrode, or with a label indicating a possible health risk. Never

use a dumpster for disposing anything that could be potentially hazardous.

3Q.09 CAMPUS FIRE AND LIFE SAFETY (Approved by President 1/19/2010)

It is the policy of Emporia State University to provide and maintain safe conditions and to follow

the operating practices that safeguard all students, employees, and visitors. The intention of the Fire

and Life Safety Policy is to provide a safe environment for the University community through

compliance with the State of Kansas Fire and Life Safety Codes as adopted by the Kansas State Fire

Marshall’s Office and as amended. The goals of the policy are to encourage safe working and living

practices throughout the University to reduce the risk of injury to all persons and property on the

ESU campus.

A. Fire and Life Safety Policy Operation

1. Compliance with the Fire and Life Safety Codes is the responsibility of all faculty, staff,

students, and visitors using University facilities. Local enforcement of compliance with the

Codes is the responsibility of administrators, department heads, and supervisors in the areas

and units in their jurisdiction. ESU Facilities is the primary department overseeing

compliance with the Codes. The Kansas State Fire Marshall’s Office will annually inspect

ESU buildings and will report to ESU Facilities its findings. ESU Facilities will act to

comply with the Fire Marshall’s findings.

2. ESU Facilities shall have the authority to shut down an operation, cause events to be

discontinued, or buildings evacuated when, in their opinion a severe danger to life, for

injury, or loss of property may result if such action is not taken. The responsible authorities

will be notified of the action taken, or impending action as soon as possible.

3. Designated personnel of ESU Facilities will conduct inspections throughout the year with

the goal to maintain and improve safety for building occupants and to reduce the number of

violations identified by the Kansas State Fire Marshall’s Office.

a. Building Services personnel will conduct monthly inspections of emergency light and

sign units, and return their reports to ESU Facilities. Building Services personnel are

also designated to conduct monthly and annual inspections of portable fire extinguishers,

and to mark on the extinguisher tag that the inspection has occurred.

b. ESU Facilities will schedule and conduct inspections and maintain records for automatic

fire doors, will schedule annual inspection of building sprinkler and standpipe systems,

and will schedule annual inspection of fire alarm systems.

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c. ESU Facilities will assist faculty to maintain compliance with applicable fire codes by

periodic inspections of all ESU buildings for potential code violations. If the violation

cannot be corrected immediately, Facilities will contact the affected Department for

compliance assistance.

d. The Kansas State Fire Marshall’s Office conducts annual code compliance inspections

and issues written citations for violations of the codes. Other State employees and

contractors to the State inspect University facilities for a wide variety of reasons and

provide documentation on their findings, which may include Fire and Life Safety Codes

violations. ESU employees who currently have responsibilities for the construction,

remodeling, cleaning, inspecting, and patrolling of campus facilities should report Fire

and Life Safety Code violations which they may discover in the course of their duties.

Any faculty, staff, student, or visitor should report any situation they feel is in violation

of the Codes or is unsafe.

B. General Violations

1. Combustible storage in mechanical/electrical rooms.

2. Flammable storage in communication or mechanical closets and under or within stairwells.

3. Flammable liquids not stored in approved cabinets or containers.

4. Stairwells and corridors blocked open, including laboratory corridor doors. These doors

must be closed unless held open by magnetic holding devices connected to the Central Fire

Alarm.

C. Exit Path Violations

Exit or egress paths must be kept open and clear at all times. Exit paths are all corridors and

stairwells that serve the occupants of a building. The following are not permitted in exit paths

even temporarily:

• Pressurized cylinders

• Flammable or combustible liquids

• Work stations, shop equipment and/or non-secured furniture, trash containers, and filing

cabinets

• Biohazardous materials, radioactive materials, chemical agents, or chemical waste materials

• Any arrangement judged to create a physical hazard to responding emergency personnel or

building occupants.

D. Stairwell Violations

No items or any kind are to be stored, even temporarily, in protected stairwells including:

• Chairs, desks, furniture, or other secured or non-secured obstacles

• Equipment, vending machines, computers, or other devices

• Boxes, cartons, trash cans, postal boxes, and other containers

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E. Fire Guidelines

The following guidelines are intended to guide ESU campus faculty, staff, and students in

appropriate action in the event of a fire anywhere on campus. Not all fires on campus will

require calling the Emporia Fire Department to respond. Consult the University’s Emergency

Operations Plan (EOP) for emergency guidelines.

Any time the fire alarm system is activated in an ESU building, immediately vacate the

building. Do not attempt to use the elevators as they will be inoperable once the alarm system

has activated. Activate the fire alarm system and alert others as you leave. After vacating the

area, call 911 and ESU Police and Safety at 5337 as soon as possible. ESU Police and Safety

will respond to investigate. Do not re-enter the building until given approval by ESU Police and

Safety, or the Emporia Fire Department.

Critical telephone numbers:

ESU Police and Safety 620-341-5337

Emporia Fire Department 911

ESU Facilities 620-341-5331

F. Small Fires Outdoors

Occasionally an accidental fire will be started outdoors in dry vegetation, generally due to

careless discard of smoking materials. If the small fire cannot be easily stamped out by foot go

to the nearest campus building, find a fire extinguisher, and use it to extinguish the fire by

directing the extinguishing agent at the base of the fire. If the fire is rapidly growing in size due

to high winds or excess combustible material call 911 and request the Emporia Fire Department

respond to the location, and then call 620-341-5337 and report the fire to ESU Police and

Safety.

If a fire is discovered in a trash dumpster immediately call 911 and report the fire to the

Emporia Fire Department, and then call ESU Police and Safety at 620-341-5337. Do not

attempt to extinguish the fire. If there is no danger to you pull the dumpster away from any

adjacent structures to minimize damage.

G. Small Fires Indoors

A small localized fire indoors, for example in a trash can, may be safely extinguished with a fire

extinguisher. Spray the extinguisher at the base of the fire, or into the trash can. Once the fire

is out immediately call ESU Police and Safety at 620-341-5337 and report the fire.

If smoke is smelled in a building but no obvious source is apparent call ESU Police and Safety

immediately and report the smell. Police and Safety will respond to assist in locating the

source.

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H. Uncontrollable Indoor Fires

If a fire is discovered in an ESU building, or smoke is seen and the source is not apparent,

immediately leave the building and pull the alarm as you exit if it has not already activated. In

addition to sounding the alarm in the building, pulling the alarm will automatically report to

ESU Police and Safety.

Emporia State University acknowledges the consultation of policies from Kansas State University

in the creation of this policy, 10/22/09.

3Q.10 WORKPLACE/CAMPUS VIOLENCE (Approved by President, 1/19/2010; updated

6/22/2010; updated 10/2/2013)

Emporia State University is committed to providing employees, students and visitors with a safe and

secure learning and work environment free from threats, threatening behavior, acts of violence or

any related conduct and to preventing, deterring and responding appropriately to workplace

violence. The University supports the State of Kansas Workplace Violence Policy, which applies

to all faculty, staff and student employees of the University.

(http://www.da.ks.gov/ps/dapers/violence.htm)

Actions which constitute threats, threatening behavior, acts of violence, or any related conduct

which obstructs or interferes with another’s work performance or the University’s ability to carry

out its mission will not be tolerated. Any person who makes threats, exhibits threatening behavior,

or engages in violent acts on University-owned or controlled property or events may be removed

from the premises pending the outcome of an investigation.

Threats, threatening behavior, or other acts of violence occurring off University-owned or controlled

property or events but directed at University employees, students or members of the public while

conducting official University business or activities, is a violation of this policy. Off-site threats

include, but are not limited to, threats made via the telephone, fax, electronic or conventional mail,

or any other communication medium.

Threat Assessment

The University is committed to identify, investigate, assess, manage and attempt to resolve identified

concerns and/or prevent and avoid any workplace violence, to the extent reasonably and practically

possible. The University Workplace Behavior Mitigation Team (WBMT) will investigate potential

violations of this policy that involve employees and will recommend actions to immediately manage

and alleviate any determined threat. The Consultation Assessment Referral Education (CARE)

Team will investigate potential violations of this policy that involves only students. When incidents

involve a combination of faculty, staff, students or visitors, the CARE team will work in conjunction

with the WBMT to manage and alleviate any determined threat. Investigations and reports

pertaining to any threats will be kept confidential to the reasonable extent possible under law, but

consistent with the need to conduct necessary investigations and take corrective action.

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Reporting

Notwithstanding anything contained herein, imminent threats or situations of immediate concern

should be directed to University Police and Safety or local, state or federal law enforcement, or dial

911 immediately.

Employees are responsible for notifying the Director of Human Resources of any threats which they

have witnessed, received, or have been told that another person has witnessed or received.

Employees should also report any behavior they have witnessed which they regard as threatening

or violent when that behavior is job related or might be carried out on state-owned or controlled

property or in connection with University employment. Such reports may be anonymous.

Emporia State University also encourages employees to bring their disputes or differences with other

employees to the attention of their supervisors or the Office of Human Resources before the situation

escalates into potential violence or behaviors contemplated by this policy.

The University’s WBMT includes representatives from:

• Human Resources (Chair)

• Vice President for Student Affairs

• Student Wellness

• General Counsel

• Others as needed and requested by Chair

The CARE Team includes representatives from:

• Dean of Students (Chair)

• Director of Student Wellness

• Director of Student Accessibility and Support Services

• Director of Residential Life

• Assistant Director of Student Success

• Other as needed and requested by Chair

The WBMT and CARE team may consult with appropriate University officials, including but not

limited to, University General Counsel, Vice Presidents, faculty members and supervisors,

concerning reports and/or violations of this policy regardless of team membership. Allegations of

retaliation and/or discrimination will be referred to the Affirmative Action Officer for handling.

Fraudulent or false information or reports will be referred to the immediate supervisor of the

individual filing the false report.

The WBMT and CARE team will create and implement procedures for receiving and handling

reports in conformity with University policies and applicable law.

Emergency Operation Plan

The University will, as appropriate, consider declaration of an emergency situation, thereby

activating its crisis response mechanisms provided by the Emergency Operations Plan and

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applicable policies until such time as the end of the emergency is formally declared and

communicated. Recovery from emergency situations will be handled in conformity with such

applicable provisions.

Protective Orders

Faculty, staff or students who receive a protective or restraining order which lists University-owned

or controlled premises as a protected area are required to provide University Police and Safety with

a copy of such order.

Consequences for Policy Violation

Violations or retaliation for reporting violations of this policy will lead to disciplinary action that

may include suspension or expulsion, dismissal, bar from access, arrest and prosecution. In addition,

if the source of such inappropriate behavior is a member of the public, the response may also include

barring the person(s) from state-owned or leased premises, termination of business relationships with

that individual, and/or prosecution of the person(s) involved. Retaliation against any individual for

reporting a concern in good faith or assisting in an investigation will not be tolerated. This policy

also prohibits the filing of false claims or information, which may be grounds for disciplinary action

up to and including suspension or expulsion from the University and/or termination from

employment, subject to all applicable policies. Applicable University policies will be followed in

application of these provisions.

Training

Training and supplementary materials on this policy and recognizing potentially threatening

behaviors and preventing workplace violence coordinated by the CARE Team and WBMT and will

be available to the campus community.

3R. ALCOHOL, TOBACCO, AND CONTROLLED SUBSTANCE POLICIES

3R.01 ALCOHOL POLICY (Approved by President 12/05/01; approved by President 12/4/03;

approved by President 8/7/07; approved by President 8/29/13)

1. Upon approval of the President, Emporia State University permits the service or consumption

of alcoholic liquor on campus subject to the following guidelines. For purposes of this policy,

alcoholic liquor includes all beverage alcohol, unless otherwise specified herein. The form to

request permission to serve/consume alcohol is available in the ESU Memorial Union

Conference and Scheduling Office, and must be completed in order to initiate the request for

approval process. A 30 day lead time is required.

2. The sale of alcoholic beverages is prohibited. For organizations or individuals desiring to serve

alcohol, (1) events must be by invitation only; (2) those served must be at least 21 years of age;

and (3) alcohol must be included in the price of the ticket for the event. The sponsor of the

event is responsible for obtaining the permits and/or licenses necessary for that event from

appropriate governmental agencies. Call ESU Conferences and Scheduling for information on

obtaining applicable licenses and appropriate forms. Service or consumption of alcohol is

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intended to be limited to specific events, i.e., luncheons, dinners, or receptions which honor

individuals and which occur in connection with official University programs, or special

permission of the President.

3. Promotional materials and/or invitations must state the actual times the bar will be open. The

bar will close at least 30 minutes prior to the scheduled conclusion of the event.

4. The sponsor of any event involving alcoholic liquor shall implement precautionary measures

such as checking ID or refusing to serve to reasonably assure that alcoholic liquor is not

accessible or served to persons under the legal drinking age or persons who appear intoxicated.

5. ESU follows all Kansas, federal, and local laws regarding the service and consumption of

alcohol. Event sponsors as well as the individual consumers are to adhere to the law. Sponsors,

and not ESU, will be responsible for determining and fulfilling all federal, state, and local

requirements for their event.

6. Event sponsors are responsible for the purchase of beverage alcohol to be served.

7. Non-alcoholic beverages and food shall be available in the same place as the beverage alcohol

and featured as prominently as the alcohol.

8. Consumption of alcohol is permitted only in the following non-classroom areas and outside

grounds immediately adjacent thereto.

A. Plumb Hall (1

and 2

floor lobbies and Presidential Office Suite only)

B. Visser Hall Atrium

C. King Hall (Bruder Theatre lobby and Gilson Room only)

D. Beach Hall Rotunda and Shepherd Music Center Rotunda

E. Cremer Hall Lobby (Koch Lounge and Roe R. Cross Room)

F. Sauder Alumni Center

G. Anderson Library

H. Hutchinson Family Pavilion

I. Memorial Union

9. Related Policies for the Memorial Union

A. The Memorial Union food service staff must provide bartending service.

B. All non-University events at which alcohol is served:

1. Will be assessed a $100 charge.

2. Will be required to pay for security staff for the duration of the event with the number

of security personnel to be determined by the Memorial Union Assistant Director for

Operations and/or the Chief of ESU Police.

3. Will pay a refundable deposit of $250.00 to cover the costs of any damages or clean-up

beyond that of normal use.

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C. The Memorial Union Corporation reserves the right to intervene, control, prohibit, or stop

any event or activity it deems unlawful or hazardous to the health, safety, or security of its

students, patrons, or clients, or may cause damage to the building or premises.

D. Organizations may not use the Memorial Union building for the promotion of alcoholic or

cereal malt liquor.

10. Consumption of alcohol is permitted in conformity with the Home Game Athletic Fundraising

Events policy, in non-classroom areas on grounds properly approved and designated by the

President.

11. Related Policies for Sauder Alumni Center/Hutchinson Family Pavilion

A. For organizations or individuals desiring to serve alcohol in the Center, (1) events must be

by invitation only; (2) those served must be at least 21 years of age; and (3) if alcohol is

included in any manner in the price of the ticket for a reception, or dinner, the sponsor of the

event is responsible for obtaining the temporary permits necessary for that event from the

appropriate governmental agencies.

B. Alcohol may be consumed during events in the Hutchinson Family Pavilion Skybox in

conformity with University rules and all applicable laws. Alcoholic beverages possession

and consumption is restricted to the Skybox area and such beverages are not permitted to be

consumed or possessed in other areas of the Hutchinson Family Pavilion.

12. Other areas approved by the President.

13. The President may authorize the sale of alcoholic beverages at an event on campus if all event

sponsors: (a) are a recognized university organization, school or college, or the ESU

Foundation, Inc., or the Alumni Association of Emporia State University; (b) comply with all

applicable federal, state, and local laws; and, (c) the specific plan prepared by the sponsors for

conducting the event at which alcoholic beverages will be sold is approved in writing by the

President.

NOTE: All applications for temporary alcoholic liquor license shall be made 30 days prior to

date of event.

This policy shall be reviewed annually by the alcohol advisory committee.

3R.0101 HOME GAME ATHLETIC FUNDRAISING EVENTS (approved by the

President 8/7/07; revised 8/9/2017)

Alcohol will not be consumed or possessed near the athletic home game premises except as set

forth in this section.

1. Certain fundraising events benefitting Emporia State University programs may be conducted

in conjunction with home football games and concurrent with traditional tailgating activities

in non-classroom outdoor areas designated and approved by the President. No authority is

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granted under this section for individual organizations to serve beer or cereal malt beverages

as part of tailgate fundraisers.

2. 3.2% beer or cereal malt beverages in their original non-glass containers, not to exceed 12

oz. may be possessed and consumed during such activities, only within designated areas.

Drinking games of any sort are prohibited. Consumption must cease no later than the end

of the game and all beer and cereal malt beverages must be removed from campus within 1

hour after the end of the home game.

3. Sale of beer or cereal malt beverages is prohibited. Non-alcoholic beverages and food must

be available anywhere that beer or cereal malt beverages are consumed.

4. Participants consuming or possessing beer or cereal malt beverages at such events must be

of the legal drinking age (21 years of age) and must have valid identification in their

possession. Individuals are responsible for their conduct and that of their guests.

5. Participants must comply with all applicable laws governing the consumption of alcoholic

beverages. The legal drinking age will be enforced. Failure to abide by applicable laws or

this policy will result in the loss of the privileges provided by this policy, and potential

citations for violations of all applicable laws..

6. Areas designated for fundraiser tailgate activities shall be marked prior to the event.

Alcoholic beverages will not be possessed or consumed outside of the designated areas,

within Welch Stadium, or Zola Witten Track. This policy does not abrogate Alcohol Policy

sections applicable to the Hutchinson Family Pavilion.

This policy section shall be reviewed annually by the alcohol advisory committee.

NOTE: All applications for temporary alcoholic liquor license shall be made 30 days prior to date

of event.

3R.02 TOBACCO USE FREE AND SMOKE FREE CAMPUS POLICY (approved by

President 7/01/94; revision approved by President 2/9/98; revision approved by President

8/12/02; revision approved by President 3/18/05; revision approved by President 10/01/2010;

FSB 17001 approved by President 10/16/17 effective 1/01/18)

Emporia State University is a tobacco use free campus. The intention of this policy is to support the

goal of creating a safe, healthy, respectful learning and working environment for students, faculty,

staff, guests, and visitors.

Emporia State University prohibits the use of tobacco on campus. All forms of tobacco use are

prohibited everywhere on the ESU campus. This includes, but is not limited to, all university

buildings, facilities, grounds, athletic complexes, parking lots, and any other property leased to or

managed by the university. Tobacco use in university vehicles is prohibited, regardless of location.

Tobacco use is prohibited in any vehicle on campus. The following exceptions, which require prior

approval, may exist:

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Potential exceptions to this policy are limited to the following:

1. Tobacco use in research: Tobacco use may be allowed on campus property for a medical,

scientific, or research program, provided that tobacco use is an integral part of such program

and the appropriate campus research oversight body has approved the inclusion of tobacco

in the program pursuant to the applicable procedures for such medical, scientific, or research

program.

2. Written permission to use tobacco may be authorized for educational, theatrical, or religious

ceremonial purposes by either the provost or president of the university.

3. The president of the university may grant written permission to use tobacco in exceptional

circumstances.

Furthermore, the sale, advertising, and distribution of tobacco products and tobacco related items

in all university facilities, university owned or operated residence halls, or all university owned or

leased grounds is prohibited.

This policy applies to anyone on the ESU campus including students, faculty, staff, guests, visitors,

consultants, vendors, patients, volunteers, and contractor employees.

For purposes of this policy, tobacco is defined as any product derived from, smoked, or containing

products of tobacco. This includes, but is not limited to cigarettes (cloves, bidis, kreteks), crewing

tobacco (spit, spitless, smokeless, chew, snuff, and snus), cigars and cigarillos, hookah and kookah-

smoked products, pipes, blunts, smokeless tobacco, and similar products. Electronic cigarettes or

e-cigarettes are prohibited. This policy also prohibits the use of any products simulating the

previously mentioned products.

Emporia State University is a smoke-free campus. Smoking is defined as lighting, burning, or use

of tobacco in addition to any other material mentioned previously in this policy.

For purposes of this policy, the Emporia State University campus is contained within the legal

property boundaries of all property owned, leased to, or managed by the university in Emporia,

Kansas; this policy does not address tobacco use elsewhere. More information including campus

maps can be found at http://www.emporia.edu/campus-map/.

3R.03 DRUG FREE WORKPLACE ACT POLICY (Revised and approved by President

06/30/2010)

According to the requirements of the federal Drug-Free Workplace Act of 1988:

It is the policy of Emporia State University that the unlawful manufacture, distribution, dispensing,

possession or use of controlled substances is prohibited in buildings, facilities, or grounds controlled

by the University (hereafter referred to as workplace). Any officer or employees of the University,

including faculty, other unclassified staff, university support staff, and student employees, found to

be illegally manufacturing, distributing, dispensing, possessing or using controlled substances at the

workplace of the University regardless of the site of the workplace, shall be subject to disciplinary

action in accordance with applicable policies of the State of Kansas, the Board of Regents, and

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Emporia State University. Officers and employees are reminded that illegal manufacture,

distribution, dispensing, possession or use of controlled substances may also subject individuals to

criminal prosecution.

As a condition of employment, all employees of Emporia State University shall abide by the terms

of this policy statement and will notify the University of any criminal drug statute conviction for a

violation occurring in the workplace no later than 5 days after such conviction. The University will,

in turn, notify, as appropriate, the applicable federal agency of the conviction within 10 days of its

receipt of notification of the conviction. For purposes of this policy, conviction means a finding of

guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the federal or state criminal drug statutes.

The term controlled substances as used in this policy means those substances included in Schedules

I through V of section 202 of the Controlled Substances Act and as further defined by regulation 21

CFR 1300.11 through 1300.15 (a listing of controlled substances is maintained in Human

Resources). The term does not include the use of a controlled substance pursuant to a valid

prescription or other uses authorized by law.

In accordance with University policy and applicable law, violations of this policy may result in an

employment action up to and including termination.

3R.0301 DRUG SCREENING PROGRAM FOR SAFETY SENSITIVE POSITIONS

(Updated 8/2011)

In an effort to ensure a drug-free work force, the State has initiated a drug screening program

for safety-sensitive positions. These positions include state law enforcement officers who are

authorized to carry firearms, and state corrections officers. Only the final candidate for a

designated safety-sensitive position will be required to take a drug-screening test. Drug

screens may be conducted only for employees in safety-sensitive positions, if a reasonable

suspicion exists of illegal drug use which may affect safety or work performance.

Results of the drug screening are confidential and are revealed only to those persons authorized

by the Director of Personnel Services in Topeka. If an applicant or employee has reason to

believe appropriate procedures were not followed, the result may be appealed in writing to the

Director of Personnel Services in Topeka.

Employees will be given time off with pay to be tested. If an applicant or employee refuses to

take a drug test, it is considered the same as receiving a confirmed positive test. A final

applicant whose drug screening test result is confirmed as positive will not be offered

employment. Employees may not be subject to disciplinary action solely on the basis of a first

confirmed positive result, but will be required to seek a HealthQuest Employee Assistance

Program referral.

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3S. HIV/AIDS POLICY AND GUIDELINES

3S.01 POLICY AND GUIDELINES (FSB 95009 approved by President 5/9/96; FSB 02008

approved by President 4/30/03)

The purposes of this policy and guidelines are to prevent the further spread of the Human

Immunodeficiency Virus (HIV), to reduce fears and dispel myths, to protect the rights of persons

with Acquired Immune Deficiency Syndrome (AIDS) or HIV infection, and to create and informed

and supportive University community. Emporia State University will implement programs that

increase HIV/AIDS awareness and provide education intended to prevent further spread of HIV.

3S.0101 GENERAL POLICY (updated 6/2010)

The Student Health Center will develop, implement, and maintain comprehensive HIV/AIDS

education programs for students and employees. Educational programs will include, though will

not be limited to, information on availability of confidential or anonymous HIV counseling and

testing services in the community. ESU departments such as Human Resources, Student Health

Center, Counseling Center, and Student Accessibility and Support Services may be consulted

to provide advocacy for students/employees on a case-by-case basis.

3S.0102 GUIDELINES

The following guidelines are based on 1996 epidemiological data indicating that students or

employees with AIDS or a positive HIV antibody test do not pose a health risk to other students

and employees in a academic setting.

1. Students and employees with HIV/AIDS will be afforded normal classroom attendance and

employment, and participation in cocurricular and extracurricular activities in an unrestricted

manner.

2. The University will act in compliance with the Americans with Disabilities Act and other

state and federal laws which prohibit discrimination on the basis of disability and require

accommodations for persons with disabilities in appropriate circumstances.

3. Confidentiality of medical conditions and records will be maintained in accordance with

existing University procedures and requirements. In accordance with the Kansas Department

of Health & Environment HIV policy, HIV status records are maintained separately from

other medical records and not released without the patient’s consent under any circumstance.

4. Students and employees with AIDS or a seropositive HIV antibody test will be give

assistance, upon request, in obtaining appropriate medical care, education, and

accommodations.

5. Consideration of the existence of AIDS or a seropositive HIV antibody test will not be part

of the admission decision for prospective students or as a part of the hiring process for

prospective employees. Programs or policies will not be implemented to require screening

of enrolled students and current employees for AIDS or an HIV antibody test.

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6. Those who are known to be immunologically deficient, or an immediate family member of

an immunologically deficient person, can be excused from institutional requirements for

certain vaccines (e.g., measles, polio, and rubella). In such an instance, the University

Student Health Center will work with the Kansas Department of Health and Environment

when making such a decision.

7. The University will take appropriate steps to promote the safety of individuals participating

in classroom laboratory experiments, community health care settings, learning or working

situations involving blood, blood products, and body fluids, extracurricular or cocurricular

activities.

8. Refusal to work with a person with HIV does not excuse an employee or student from

fulfilling assigned or expected responsibilities. If an employee or a student has concerns

about the presence of a person with HIV, that employee or student will be counseled to help

allay those concerns or fears. Counseling services will be provided on campus, or referral

will be made to appropriate community agencies, for those persons with continuing fears or

concerns about the disease.

9. The University Student Health Center will be familiar with sources of testing for HIV and

will be prepared to offer pre- and/or post-test counseling to any student who requests it and

will refer any employee requesting counseling to appropriate community agencies.

10. The Student Health Center will establish communication links with county and state health

agencies and AIDS information centers in order to obtain current medical and referral

information.

11. Harassment, threats, intimidation or emotional or physical abuse of members of the

University community are not acceptable behavior for Emporia State University students,

faculty or staff and will be dealt with according to the same procedures set forth in the

University's Sexual and Racial Harassment Policies.

3T. LEGISLATIVE APPEARANCE

Legislative committees often request faculty and administrators to provide expert testimony on

proposed legislation that may or may not affect the Regents and higher education. Faculty and

administrators should make every effort to accommodate such requests, and shall notify the

executive officer of the Board of Regents and the President of the University of the invitation so they

will be aware of such appearances. Notification shall be made prior to the appearance.

3U. OPINIONS FROM THE ATTORNEY GENERAL (BOR)

Any institution or employee seeking an opinion from the Attorney General must do so by making

a request through the office of the General Counsel of the Board.

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3V. POLITICAL ACTIVITY

3V.01 USE OF CAMPUS FACILITIES FOR POLITICAL MEETINGS (approved by BOR

3/16/64; 1/21/77; 10/17/80)

State facilities are not available for fund raising events for candidates or political parties.

Facilities of institutions under the Board of Regents may be made available for the purpose of

holding political meetings, provided there is no interference with regularly scheduled functions,

there is not otherwise available a reasonable facility in the community, students are permitted to hear

the speakers without charge, and sponsors pay in advance the regular fees for use of the facilities.

Political office holders and candidates shall not be introduced or recognized on campus unless they

are participating in the campus event which they are attending. The distribution of political handbills

shall be prohibited in those areas devoted primarily to instruction or study or at the immediate sites

and times of enclosed public events.

Regents institutions shall have the authority to develop additional policies and guidelines that are

not in conflict with this policy. Such policies and guidelines shall be reviewed by the Policy and

Procedures Committee and filed with the President and Chief Executive Officer of the Board.

3V.02 POLITICAL INVOLVEMENT (approved by BOR 12/19/66; amended 5/19/72; 2/15/85)

In the interest of the fullest participation in public affairs, personnel are free to express opinions

speaking or writing as an individual in signed advertisements, pamphlets, and related material in

support of or opposition to parties and causes. There will be the commensurate responsibility of

making plain that each person so doing is acting for himself/herself and not in behalf of an

institution supported by tax funds drawn from citizens of varying political and economic views.

All personnel are eligible to accept any public or political party position which does not involve any

conflict of interest and does not require substantial time away from assigned duties or in other

respects infringe upon them. Such eligibility covers membership on a city commission, school

board, planning group, and county, state, and national party committees and like organizations, by

either appointment or election. The filing of a declaration of intent to become a candidate does not

affect the status or appointment of an employee; provided, however, such person at all times while

a candidate shall properly and fully perform all of his/her assigned duties; provided further however,

that should such person while he/she is a candidate for office fail to perform all of his/her assigned

duties such person will not receive any salary or benefits from the date of filing for office.

3V.0201 UNCLASSIFIED (approved by BOR 12/19/66; amended 5/19/72; 2/15/85)

Leave without salary or other benefits will be granted to those elected or appointed to public

office requiring full time or lengthy sustained periods away from assigned duties, such as

Congress, the state legislature, and state and county offices or appointments to office falling

within this category; effective, as to a person elected or appointed to Congress or the state

legislature from the date such person takes the oath of office and continuing until the

adjournment of Congress or the adjournment sine die of each session of the state legislature;

effective, as to other state and county offices, during the entire time a person serves as such

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officer. Leave without salary or other benefits shall not be required for any person serving in

the State Legislature for service on any committee during a period when the Legislature is not

in regular or special session, provided that such person shall decline to accept all legislative

compensation for such service, but shall be entitled to such mileage and other expense

allowances as provided by statute and paid by the Legislature.

3V.0202 UNIVERSITY SUPPORT STAFF (KSA 75-2953)

Any officer or employee in a University Support Staff service shall resign from the service prior

to taking the oath of office for a state elective office.

3V.03 STUDENT GOVERNANCE (passed by Facilities Council; approved by President 3/19/12)

Students who are registered candidates for student offices, may solicit support for their candidacy

in the 30 day period immediately preceding student elections.

3V.04 CONTACTING LEGISLATORS

The use of ESU letterhead, envelopes, and franking is not permitted when contacting legislators to

influence their opinions.

3W. MAIL AND POSTAGE (approved Administrative Team 9/13/04)

ESU operates a Mail Center for the purpose of receiving and distributing official University mail

in conformance with the Federal Private Express Statutes Vol. 39 Federal Register, pp. 33211-13,

Section 310.3(b). The ESU Mail Center is available to University offices and bona fide faculty or

student organizations for (1) posting outgoing mail, (2) receiving items from the U.S. Post Office

and (3) distributing inter-office mail. Unauthorized materials such as political, labor unions,

religious or personal mail cannot be distributed through the Mail Center. In order to be metered, all

University related mail must contain the University return address. University envelopes cannot be

used for personal mail.

The services of the Mail Center are for official University business only. Receipt of personal mail

and items not for official University purposes is strongly discouraged. University staff, faculty,

departments and organizations must observe U.S. Postal regulations in distribution of items by the

Mail Center. Failure to do so can result in revocation of privileges through the Mail Center.

3X. CELLULAR PHONE POLICY (excerpt from Governor’s Executive Order 03-08; revised

with Governor’s Executive Order 03-20 approved 9/27/03)

Cellular phones may be provided to employees to improve customer service and to enhance business

efficiencies. The phones are not a personal benefit and shall not be a primary mode of

communication, unless they are the most cost-effective means to conduct state business.

State employees may carry personal cellular phones with them while on state time or while operating

state equipment, but excessive use of a personal cellular phone for personal business during duty

hours is not allowed.

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Employees are responsible for operating state-owned vehicles and potentially hazardous equipment

in a safe and prudent manner, and therefore, employees should refrain from using cellular phones

while operating such vehicles and equipment.

More than minimal personal use of a state-provided cellular phone without written authorization by

the employee’s agency head is not allowed. When personal calls/minutes cause the monthly plan

minutes to be exceeded, reimbursement for those minutes must be made to the state. Additionally,

all long distance and roaming charges incurred for personal calls (even if under the plan limit) must

be reimbursed to the state. All reimbursements are to be made within 15 days of receipt and

reconciliation of the monthly statement.

When authorized in writing by the agency head or designee, the cost of using a personal cellular

phone for official business may be reimbursed to the employee. Any reimbursement will be for

reasonable costs in excess of the base plan plus any additional fees such as roaming fees or other

fees and taxes incurred as a direct result of the business use. In no instance will the employee be

reimbursed more than the monthly cost to the employee.

Employees are not permitted to receive a monthly allowance from a state agency for the use of a

cellular phone.

Employees violating any provision of this policy may be subject to possible disciplinary action

pursuant to K.S.A. 75-2949, including but not limited to, K.S.A. 75-2949(e)(a)(3) “careless,

negligent or improper use of state property,” or K.S.A. 75-2949f(1) “refusal to accept a reasonable

and proper assignment from an authorized supervisor.”

3Y. FLAG POLICY (approved by President 10/30/00)

In the event of death of a current Emporia State University student, staff member, or faculty

member, the Emporia State University flag will be flown at half staff on the day of the funeral or

memorial service. Individuals having knowledge of a student or employee death should present that

information to the President's office. The flags will only be lowered upon order from the President's

office.

3Z. POLICY ON WEAPONS POSSESSION (approved by Administrative Team 2006; revised

08/08, approved by President 8/21/08 as Interim Policy; FSB 08001 approved by President 10/22/08;

revised by President’s Weapons Policy Task Force 05/16, approved by President 07/05/17)

3Z.01 INTRODUCTION

To the extent allowed by law, the Emporia State University campus, facilities, and programs are

Beginning on July 1, 2017, the concealed-carrying of a handgun as described in this policy is

permitted on campus. Otherwise, the Emporia State University campus, facilities, and programs are

weapons-free in conformity with Kansas Board of Regents Policy on Weapons Possession. Each

entrance to campus buildings and facilities will be posted in accordance with applicable statutes and

regulations. Other areas approved by the President may be posted as allowed by law. Nothing in

this policy will be read to prohibit possession of weapons on campus as necessary for the conduct

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of Board approved academic programs or university approved activities or practices. The General

Counsel of ESU must be notified of the use of a weapon during the conduct of any such program,

activity, or practice, and that office will subsequently notify the Board of Regents. Law enforcement

officers and active military personnel are exempted from this policy while acting within the scope

of their employment, as are weapons stored securely at the University Office of Police and Safety

pursuant to University procedures.

For the purpose of this policy, “weapons” means:

1. Any object or device which will, is designed to, or may be readily converted to expel bullet,

shot or shell by the action of an explosive or other propellant;

2. any handgun, pistol, revolver, rifle, shotgun or other firearm of any nature, including concealed

weapons licensed pursuant to the Personal and Family Protection Act, and amendments thereto;

3. any BB gun, pellet gun, air/C0

gun, stun gun, blow gun, or devices designed to shoot electric

darts (e.g., a Taser);

propellant charge of more than four ounces, or (E) missile having an explosive or incendiary

charge of more than ¼ ounce;

5. any incendiary or explosive material, liquid, solid or mixture equipped with a fuse, wick or

other detonating device;

6. any tear gas bomb or smoke bomb; however, personal self-defense items containing mace or

pepper spray shall not be deemed to be a weapon for the purpose of this policy;

7. any knife, commonly referred to as a switch-blade, which has a blade that opens automatically

by hand pressure applied to a button, spring or other device in the handle of the knife, or any

knife having a blade that opens or falls or is ejected into position by the force of gravity or by

an outward, downward or centrifugal thrust or movement;

8. any straight-blade knife of four inches or more such as a dagger, dirk, dangerous knife or

stiletto; except that an ordinary pocket knife or culinary knife designed for and used solely in

the preparation or service of food shall not be construed to be a weapon for the purposes of this

policy;

9. any martial arts weapon such as nunchucks or throwing stars;

10. any longbow, crossbow and arrows or other projectile that could cause serious harm to any

person; or

11. any other dangerous or deadly weapon or instrument of like character.

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3Z.02 CARRYING AND STORAGE OF HANDGUNS

1. Purpose

The purpose of this section is to describe how handguns may be carried and stored on the

campus of Emporia State University in as safe a manner as possible pursuant to Kansas law

[The Private and Family Protection Act, K.S.A. 75-7c01 et seq.]

2. Geographic Applicability

This policy is applicable only within the geographic limits of the campus of Emporia State

University and within locations owned or leased by the University that are not part of the

University campus, provided that such locations are located within the State of Kansas.

3. Campus Gun Free Locations with Adequate Security Measures

Each location within the geographic applicability of this policy designated as gun free with

permanent “adequate security measures,” as defined by Kansas law, will be identified in this

policy. There are no University locations that have been designated as gun free with permanent

adequate security measures. The University may from time to time designate a specific location

as temporarily gun free and use temporary adequate security measures as defined and required

by law. Appropriate notice will be given and appropriate signage used whenever this temporary

designation is to be made, including notice to the Kansas Board of Regents Governance

Committee for any necessary approvals.

4. Prohibitions

Open carry of firearms by any means is prohibited. The carrying of any rifle, shotgun, or other

long gun by any means is prohibited. The carrying of any firearm, concealed or otherwise, is

prohibited in any location or under any circumstances prohibited by applicable federal or state

law.

5. Restrictions to the Carrying of a Concealed Firearm Pursuant to Kansas Law

Kansas law states that the only type of firearm that an individual can carry while concealed is

a handgun. The following restrictions apply to the concealed carrying of a handgun pursuant

to Kansas law and the violation of any of the following restrictions is a crime under Kansas law:

a. An individual in possession of a concealed handgun must be at least 21 yeas of age [K.S.A

21-6302(a)(4)];

b. a handgun cannot be carried by an individual under the influence of alcohol or drugs, or

both, to such a degree as to render the individual incapable of safely operating the handgun

[K.S.A. 21-6332];

c. a handgun cannot be carried by an individual who is both addicted to and an unlawful user

of a controlled substance {K.S.A. 21-6301(a)(10)];

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d. a handgun cannot be carried by an individual who is or has been a mentally ill person subject

to involuntary commitment [K.S.A. 21-6301(a)(13)];

e. a handgun cannot be carried by an individual with an alcohol or substance abuse problem

subject to involuntary commitment [K.S.A. 21-6301(a)(13)];

f. a handgun cannot be carried by an individual who has been convicted of a felony crime

[K.S.A. 21-6304];

g. an automatic handgun cannot be carried [K.S.A 21-6301(a)(5)];

h. a cartridge which can be fired by a handgun and which has a plastic-coated bullet with a core

of less than 60% lead by weight is illegal [K.S.A. 21-6301(a)(6)];

i. Suppressors and silencers cannot be used with a handgun [K.S.A. 21-6301(a)(4)];

j. handguns cannot be fired in the corporate limits of a city or at a dwelling, or at a structure

or vehicle in which people are present, except in self-defense [K.S.A. 21-6308, 6308a].

6. Concealed Carry Defined

Individuals who carry a handgun on campus must carry it concealed on or about their person

at all times. With respect to this policy, concealed means completely hidden from view and

does not reveal the weapon in any way, shape, or form, except when using the handgun in self-

defense or when transferring the handgun to safe storage. “About the person” means that an

individual may carry a handgun if it can be carried securely in a suitable carrier, such as a

backpack, purse, handbag, or other personal carrier designed and intended for the carrying of

an individual’s personal items. Moreover, the carrier must at all times remain within the

exclusive and uninterrupted control of the individual. This includes wearing the carrier with

one or more straps consistent with the carrier’s design, carrying or holding the carrier, or setting

the carrier next to or within the immediate reach of the individual.

7. Carrying Safety

Holsters are required. Every handgun carried by an individual, whether on their person or in

a carrier, must be secured in a holster that completely covers the trigger and the entire trigger

guard area and that secures an external hammer in an un-cocked position through the use of a

strap or by other means. Handguns with an external safety must be carried with the safety in

the “on” position. The holster must have sufficient tension or grip on the handgun to retain it

in the holster even when subjected to unexpected jostling. Semiautomatic handguns must be

carried without a chambered round of ammunition. Revolvers must be carried with the hammer

resting on an empty cylinder.

8. Handgun Storage

Handgun storage at Emporia State University is prohibited, except in the following two

circumstances: (1) in an individual’s privately-owned or leased motor vehicle when the vehicle

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is locked (if unattended) and the handgun is secured in a location within the vehicle that is not

visible from outside the vehicle; or (2) in an individual’s on-campus residential unit when the

handgun is secured in a holster and in an approved storage device (see below). Handgun

storage by any other means than specifically permitted in this policy is prohibited.

9. University Approved Storage Device

The University does not provide approved handgun storage devices to any person under any

circumstances. Each individual who stores a handgun in an on-campus residence must provide

their own approved storage device. A University approved storage device has each of these

characteristics: (1) it is of sufficient size to fully enclose the handgun while secured in an

approved holster; (2) it is constructed of sturdy materials that are non-flammable; (3) it has a

combination, digital, or other secure locking device that can only be unlocked by the individual

using the storage device, but devices secured exclusively with a key lock are prohibited; and,

(4) the device is constructed specifically for the storage of a handgun and/or ammunition. All

ammunition stored in an on-campus residence must be stored in an approved storage device.

10. Prohibited Storage

It is prohibited for any person to store a handgun on campus: (1) in any University classroom,

lab, office, or facility; (2) in a residence hall, except in the residential unit of the individual who

is at least 21 years of age, who legally owns the handgun, and when the handgun is secured in

an approved storage device; (3) in a motor vehicle that is unlocked and unattended or when the

handgun is visible from outside the vehicle; (4) in any other location and under any

circumstances except as specifically permitted by this policy and by state or federal law; and,

(5) all handguns must be stored unloaded, which means the magazine, cylinder, barrel or any

other means of internal ammunition storage in preparation for firing the handgun must contain

no ammunition while being stored on campus.

11. Reporting Investigation, and Determination

All reports of suspected violation of the conceal carry policy are made to ESU Police and Safety

by picking up any Emergency Campus Phone or by calling 620-341-5337 (5337 if called on

campus).

a. ESU Police & Safety will conduct an initial investigation to determine whether the report

describes a criminal matter and/or a policy violation. Police & Safety is solely responsible

for deciding the extent of investigation necessary to make this determination.

b. At any time beginning with receipt of a report, ESU Police & Safety has the authority

through this policy to disarm and/or temporarily confiscate a firearm and issue a restriction

to not carry a concealed firearm on campus pending results of the weapons policy violation

determination. The decision whether to confiscate and/or issue a restriction prohibiting

conceal carry will be made by Policy & Safety when there is probable cause to believe that

a Weapons Policy violation has occurred or continued possession and carrying by the alleged

policy violator will create imminent danger to self or others. This authority does not

supersede or alter the authority of Police & Safety to confiscate a firearm during a criminal

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investigation. A confiscated firearm will be stored and handled by Police and Safety

according to their policies.

c. At any time after a report of suspected Weapons Policy violation has been made to Police

& Safety and continuing through the date the final determination has been made in the

matter, the President may take any temporary action as determined necessary by the

President to ensure the safety of the University and of its students and personnel. Such

temporary action may include, but is not necessarily limited to: prohibiting an alleged policy

violator from carrying a concealed firearm anywhere within the geographic limits of this

policy; if a student is the alleged policy violator, temporary suspension from one or more

classes in which the student is enrolled, or a change in the student’s class schedule, or the

placement of restrictions or conditions on the student in order to continue with normal class

attendance and participation; if an employee (faculty or staff) is the alleged policy violator,

temporary administrative leave with or without pay, or the placement of restrictions or

conditions on the employee in order to continue with the employee’s normal employment.

d. When ESU Police & Safety has finished its initial investigation:

i. When the conclusion is that no crime has been committed and the Weapons Policy

has not been violated, no further action will be taken and the matter is closed.

ii. When the conclusion is that a crime has been committed, but the Weapons Policy has

not been violated, the incident will be handled as a criminal matter only.

iii. When the conclusion is that both a crime may have been committed and the Weapons

Policy may have been violated, the matter will continue to be handled by the police

as a criminal matter, but the policy violation incident report and any findings will be

submitted to the appropriate University official for handling pursuant to the Weapons

Policy. Police & Safety will have no further involvement in the policy investigation,

except as requested.

iv. When the conclusion is that a crime has not been committed, but that the Weapons

Policy may have been violated, the incident report will be turned over to the

appropriate University official for handling pursuant to the Weapons Policy. Police

& Safety will have no further involvement in the policy investigation, except as

requested.

e. When Police & Safety has concluded that the Weapons Policy may have been violated, the

incident report, findings, and any other appropriate information from the initial investigation

will be submitted to the appropriate University official as described below. In those cases

that include a criminal investigation, Police & Safety will release criminal investigative

materials in accordance with standard law enforcement protocol.

i. President or designee, if the alleged violator is a direct report to the President.

ii. Vice President for Student Affairs or designee, if the alleged violator is a student.

iii. Provost and Vice President for Academic Affairs or designee, if the alleged violator

is a member of the faculty in any tenured or non-tenured faculty classification.

iv. Executive Director of Intercollegiate Athletics or designee, if the alleged violator is

a coach.

v. Vice President for Administrative and Finance or designee, if the alleged violator is

an unclassified non-faculty or non-coach employee, a University Support Staff

employee, or any other University employee (not including student employees).

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vi. ESU Police & Safety, if the alleged violator is a visitor to the University campus or

is any person not described above.

f. Once the investigation materials have been received from Police & Safety, the process to be

followed for determining whether the policy has been violated is:

i. Student. The matter will be handled through the Student Code of conduct as a

student conduct issue.

ii. Faculty. The faculty member may, at the faculty member’s sole discretion, select

either an informal resolution or a formal resolution, except that the Provost may

require a formal resolution in any case when the Provost believes an informal

resolution is inappropriate. An informal resolution will be handled by the Provost

and the faculty member working together to make all findings and conclusions. The

informal resolution would be appropriate only when the alleged policy violation and

any anticipated sanction would not interfere with the faculty member’s academic

career. The formal resolution process for any faculty member, tenured or non-

tenured, would be handled as follows: The Provost will appoint one or more

investigators as necessary to determine whether and how the policy was violated.

The investigator(s) will prepare a written report describing the investigation

methods, findings, and containing a recommendation to the Provost about potential

sanctions. Based on this written report, the Provost will make appropriate findings

and set any sanctions on a case by case basis. When the final determination of the

Provost calls for the termination of a tenured faculty member, this decision is subject

to review pursuant to University Policy 1B.0906 Procedure for Faculty Review Prior

to Dismissal for Cause of Tenured Faculty. The final determination of the Provost

in all other faculty cases is subject to review pursuant to University Policy 1E.01

Grievance Policy.

iii. Coaches. The matter will be handled through UPM 1C.0105 Administrative

Athletic.

iv. Unclassified Non-Faculty or Non-Coach Employee. The matter will be handled

through UPM 1C.01 Appointment, Evaluation, Retention, and Termination.

v. University Support Staff. The matter will be handled through UPM 2F. Disciplinary

Action and Grievance Procedures; UPM 2H. Termination of Employment; or, UPM

21 AFSCME Local Union Agreement, whichever is applicable to the employee in

question.

vi. Direct Report to the President. The President will appoint one or more investigators

as necessary to determine whether and how the policy was violated. The

investigator(s) will prepare a written report describing the investigation methods,

findings, and containing a recommendation to the President about potential

sanctions. Based on this written report, the President will make appropriate findings

and set any sanctions on a case by case basis. The President’s decision is final.

vii. Visitor or Other Person. Police & Safety will complete the investigation and act as

an advisor to the President to assist in determination of the appropriate sanction, if

any. The President’s decision is final.

12. Sanctions

The determination of which sanction(s), if any, that will be imposed following a determination

that the Weapons Policy has been violated will be handled on a case by case basis.

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Notwithstanding the type and nature of sanctions that may be described in University policies,

the appropriate sanction for violation of the Weapons Policy can be anything determined

pursuant to the applicable policy as appropriate, including expulsion or termination from the

University. The guiding theme when determining the appropriate sanction is to ensure that the

Weapons Policy violation will not be repeated and that the safety of University students and

personnel is assured.

13. Knowingly Making a False Report

Each report of a suspected policy violation must be made in good faith. The conclusion after

an investigation of a report that there has been no policy violation does not mean, by itself, that

the report was not made in good faith. Knowingly making a false report of a policy violation

is prohibited and will be investigated through the same process as described within this policy

for the investigation of a suspected policy violation, with appropriate sanctions being assessed

upon confirmation that a false report was made.

14. Training

All University students and personnel who are regularly within the geographic applicability of

this policy are required to receive training concerning this policy. Training will include learning

where this policy applies, how a handgun is carried and stored pursuant to this policy, how to

report a suspected violation of this policy, how reports are investigated, the potential sanctions

upon confirmation of violation of this policy, and other topics relevant to this policy. The

University will not conduct any training for students or personnel in the use of firearms, firearm

safety, firearm cleaning and maintenance, firearm ownership or transfer or ownership, or any

other topic not necessary for understanding and complying with this policy. The General

Counsel’s Office is responsible for ensuring that appropriate training in this policy is conducted.

3AA. REPORTING SEXUAL ABUSE (approved by President 1/23/2012)

University faculty and staff are required to report incidents of child sexual abuse, as defined by

K.S.A. 21-5501 et seq., they witness on campus or during University sponsored events to University

Police and Safety, or other appropriate law enforcement. Retaliation for lawfully reporting crimes

is prohibited.

3AB. Ticket Sales (approved by President 4/13/2011)

Tickets for athletic and other events are available through the ESU Ticket Office. If exact event

ticket seat location is unavailable, ESU reserves the right to replace it with similar quality seating

for the same event. If comparable seating is unavailable, the purchaser will be contacted with

alternatives. Lesser quality seating will only be charged at the appropriate lower price. Rows,

sections or aisle seating is not guaranteed for orders placed for general seating (not specific sections

or rows) and is provided on a first come, first served basis.

All sales are final. The University does not provide refunds or replacement tickets even if an event

is modified or postponed, or if tickets are destroyed or damaged, after ticket purchase. Refunds or

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credits may be available from the event sponsor, if an event is canceled, less postage and handling.

Tickets may be exchanged in limited circumstances, subject to certain guidelines.

The University reserves the right to set tiered pricing, event specific pricing and specified discounts.

Attendance at events is subject to all University policies, including but not limited to, no smoking,

no weapons, alcoholic beverage restrictions, food and beverage restrictions, and non-solicitation.

ESU is committed to working with patrons on a case-by-case basis to adequately accommodate

individual needs.

3AB.01 Accessible Seating

Patrons should request accessible seating at the time of ticket purchase.

Whenever possible, patrons with disabilities or accessibility needs will have the same choice of

admission prices and quality of locations which is otherwise available to the general public

purchasing tickets at that time. Individuals with disabilities will be afforded an equal opportunity

to purchase tickets during the same times, at the same stages of ticket sales, through the same

manner of distribution and under the same terms and conditions as other patrons. Pricing for

accessible seating and companion seats will be consistent with prices for other tickets in the same

seating section for the same event or series of events.

Accessible seating is wheelchair spaces and other companion seats as defined in this policy. For

each wheelchair ticket purchased by an individual with a disability or such person’s agent on their

behalf, the University will make a contiguous companion seat and three (3) additional contiguous

companion seats in the same row available for purchase, provided that at the time of sale, there are

three such seats available and the event is one for which patrons generally are allowed to purchase

four or more tickets. If such seats are unavailable and patrons generally are allowed to purchase at

least four (4) tickets, such companion tickets will be made available to the accessible seating patron

by offering tickets for sale for seats as close as possible to the accessible seating.

If ticket sales are limited to more or less than four (4) for all patrons, this limitation may be applied

to accessible seating including the wheelchair seat. If group sales are available, if they must be split,

the University will divide the tickets so that the wheelchair seating is not isolated from the group.

Although the University is not required to release accessible seating tickets to individuals who do

not have a disability, tickets for accessible seating may be released for sale to other patrons when

all non-accessible tickets have been sold. When series-of-events tickets are released, they will only

be released for the current series and will be designated as accessible seating as soon as they are

again available for purchase.

Individuals with disabilities who hold tickets for accessible seating may transfer their tickets to third

parties under the same terms and conditions as other patrons holding the same type of tickets.

The University does not require proof of disability prior to ticket sale. However, the Ticket Office

may inquire whether the individual has a mobility disability requiring accessible seating. The

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University may investigate the potential misuse of accessible seating where there is good cause to

believe that such seating has been purchased fraudulently.

Upon inquiry, the Ticket Office will provide information of accessible seating available for purchase

to individuals with disabilities, their companions and third parties purchasing tickets on their behalf,

identify the features of the available accessible seating to permit the individual to determine if the

seating meets their needs, and provide materials that identify accessible seating and information if

the materials are publicly available.

3AC. CAMPUS GOVERNANCE (revised 10/18/2013; FSB 14008 approved by President

4/15/2015; approved by COCG 10/11/2016; FSB 15017 approved by President 11/18/2016)

Emporia State University believes the policies and guidelines regarding shared governance

developed by the American Association of University Professor, in its 1966 Statement on

Government of Colleges and Universities, are reasonable and prudent. Therefore, the University

operates by them insofar as they are compatible with all applicable laws, statutes, and regulations.

Procedures for the formation of policy at Emporia State University are based upon the structure of

shared governance. In addition to the administrative organization, formal structure has been

established to ensure that faculty, staff, students, and members of the administration have means

whereby they can become involved in educational planning, curriculum development, improvement

of instruction, establishment and maintenance of academic and professional standards, and the

promotion of students' interests.

Policy-making bodies include the Faculty Senate and its appointed committees, the Student Senate

and its appointed committees, University Support Staff Senate, Unclassified Commission, the

administrative boards, administrative councils, academic councils, standing committees, and task

forces. All of these may make policy-making recommendations to the President. The President is

ultimately responsible for all policy decisions.

3AC.01 FACULTY SENATE

The Faculty Senate provides the means for faculty and administrators to engage in cooperative

action and formulate policy that affects the primary functions of the University. It also provides an

open forum for faculty to request information or express themselves on any matter of common

concern. The faculty of the University elects its membership and its officers.

Election to the Senate is by department or unit as provided for in the Senate constitution. The Vice

President for Academic Affairs, the immediate past president of the faculty, and the president of the

Associated Student Government are ex officio, non-voting members. The Faculty Senate appoints

its standing committees and is empowered to act for the faculty.

Actions of the Faculty Senate may be in the form of committee reports (FSCR), resolutions (FSR),

or bills (FSB). Committee reports are the formal reports of the four standing committees (academic

affairs, faculty affairs, committee on campus governance, and executive committee) or of

committees appointed by the standing committees. Resolutions are expressions of opinion addressed

to the President of the University or other members of the campus community, and stand without

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endorsement. Bills are statements of policy, and when signed by the President, become University

policy. Items of business submitted from a source other than 1 of its committees must be in writing

and signed by at least 2 senators or 5 members of the faculty or it may be from the President or Vice

President for Academic Affairs of the University.

The complete text of the constitution and bylaws of the Faculty Senate may be found on its

homepage http://www.emporia.edu/facsen/contable.htm.

3AC.02 ASSOCIATED STUDENT GOVERNMENT

Associated Student Government (ASG) serves as the official voice of the student body at Emporia

State University whether that voice be to other students, faculty, administrators or to the Board of

Regents. ASG accomplishes this through a Student Senate.

3AC.0201 STUDENT SENATE (updated 2/09)

The Student Senate serves as the legislative agency for the Associated Student Government.

The students of the University elect the president and vice president of the Associated Student

Government, and the vice president serves as presiding officer of the Student Senate. Senators

are elected by academic schools and colleges, new students, and those students who have not

declared an academic major. The senate appoints its own standing committees, recognizes

organizations and provides for the regulation of student groups. The senate considers student

fee increases as well as allocates monies from the student activity fee to organizations and

activities. The Assistant Vice President for Student Affairs; Assistant Director Memorial

Union, Student Organizations and Judicial Affairs; and other members of the University

community serve in an advisory capacity to the Student Senate.

The complete text of the constitution of the Associated Student Government may be found on

its homepage http://www.emporia.edu/asg/const.html.

3AC.03 UNIVERSITY SUPPORT STAFF SENATE (approved by COCG 10/11/2016)

The University Support Staff Senate was developed to assist USS staff members in becoming an

integral part of the University community. The University Support Staff Senate shall provide a

forum and a means of representation for USS employees to take an active role and have a voice in

the life of the University. Active role is defined as communicating with selected representatives

which will ultimately result in a conducive working environment for USS employees and a positive

learning environment for students.

3AC.04 UNCLASSIFIED COMMISSION (approved by President 10/18/2013)

Unclassified Commission serves as the legislative voice for the unclassified professional employees

whose appointment falls within the scope of Article II Section 1 of the Unclassified Professional

Commission Constitution and Bylaws. Unclassified Commission provides a forum for unclassified

non-faculty employees to express themselves on any matter of common concern, and particularly

on matters that pertain directly to unclassified professional service, and to recommend refinements

in University Policy to the President.

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3AD. BOARDS, COUNCILS, AND COMMITTEES (FSB 84017; FSB 14008 approved by

President 4/15/2015)

If the Faculty Senate recommends membership to any of these bodies (i.e., councils, advisory

committees, boards, review committees, task forces), written annual activity reports of the body are

given to the Senate Executive Committee.

3AD.01 COUNCILS

All standing bodies organized to directly assist a dean, vice president, or President in determining

policy or procedures in the administration of certain University-wide academic programs are titled

councils.

3AD.02 ADVISORY COMMITTEES

All standing bodies organized and charged with the responsibility to advise heads of service units

are titled advisory committees.

3AD.03 BOARDS

All standing bodies that allocate monies and determine how those monies are spent are titled boards.

3AD.04 REVIEW COMMITTEES

All standing bodies organized to review specific disputes, requests, grievances or concerns are

designated review committees.

3AD.0401 FEDERALLY MANDATED UNIVERSITY-WIDE COMMITTEES

SUBJECT TO SENATE REVIEW (FSB 01007 approved by President 12/7/01)

Because of federal or state regulations which require the existence of University committees to

approve and monitor all research projects or other University activities that involve the use of

radioactive materials/radiation producing devices, the care and use of animals, and the use and

involvement of human subjects, we hereby recommend and approve establishment of three

University committees which review these three areas and approve or disapprove all projects

according to federal or state guidelines. The three committees include the Radiation Safety

Committee, the Animal Care and Use Committee, and the Institutional Board for Treatment of

Human Subjects.

The above three committees will not be subject to being dissolved under the normal provisions

of the Sunset Bill (FSB 85007) because governmental regulations require the committees to be

formed and functioning. However, the three committees will each be reviewed once every

fourth year by the Senate Committee on Campus Governance to make sure the committee is

organized and meeting on a regular basis according to guidelines established for the committee.

The committees will also be expected to keep minutes and send copies of these minutes to the

Faculty Senate Office and to the current chair of the Committee on Campus Governance.

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3AD.05 TASK FORCES

Any group organized to perform a 1 time, short-term task is titled a task force. The duties of a task

force shall not duplicate those of an existing university-wide committee.

3AD.06 UNIVERSITY RECOGNITION OF FACULTY ORGANIZATIONS (FSB 01013

approved by President 4/17/02)

A. Definition

Faculty organization is an organization whose officers are Emporia State University faculty

members, staff or students, the majority of whom are faculty members, and whose mission is the

advancement of academic excellence, such as scholarly activities, professional service, or promotion

of academic standards and rights.

B. Recognition Process

Faculty organizations can seek University recognition through a resolution of the Faculty Senate.

Any faculty organization wishing to seek University recognition must submit a letter of application

to the Faculty Senate office. This letter of application must contain the organization's constitution.

The organization's constitution must include the following information:

1. a clear statement of the organization's mission;

2. a list of all by-laws, policies, and other regulations, including membership requirements;

3. a list of officers and their duties, including the method of selection and removal; and

4. the following paragraph must be included in all constitutions:

No person shall, on the grounds of race, creed, color, national origin, religion, age, sex,

sexual orientation, handicap, Vietnam Era Veteran status, or other such factors that cannot

be considered lawfully, be excluded from participation in, be denied the benefits of or be

subjected to discrimination under any program or activity within this organization.

Once a letter of application is received, it will be forwarded to the Faculty Affairs Committee. The

Faculty Affairs Committee will review the application. A representative of the faculty organization

may be present at the Faculty Affairs Committee meeting when the organization's recognition is

being considered. If deemed that the faculty organization meets the definition of a faculty

organization and its constitution contains the above-mentioned information, the Faculty Affairs

Committee will bring a bill before the Faculty Senate. If the Faculty Senate votes in the affirmative

of the bill, the faculty organization will be granted University recognition after approval of the bill

by the President of the University.

If the Faculty Affairs Committee does not recommend University recognition of the faculty

organization, the Faculty Affairs Committee will send a letter to the organization outlining its

reasons for not recommending the organization. The organization may appeal, in writing within 10

class days of the notification of the action taken, to the Faculty Senate Executive Committee. This

appeal must include the grounds for the appeal.

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C. Benefits to University Recognized Faculty Organizations

Recognized faculty organizations will be granted the same access as academic departments to

University property and facilities.

D. Maintaining University Recognition

Each year University recognized faculty organizations must submit a list of its officers to the Faculty

Senate office. If the list of officers is not forwarded to the Faculty Senate office, the organization

will be considered inactive and will be notified in writing that it is in jeopardy of losing its

recognition. Once the faculty organization has been notified of its inactive status, it has 30 class days

to respond to the notification and provide names of its officers. If no response is received to the

inactive status notification in the allotted time period, the faculty organization will lose its

University recognition.

When an organization changes its constitution, the newly adopted constitution must be submitted

to the Faculty Affairs Committee to establish if the new constitution meets the guidelines as stated

in section B. If it is determined that the newly adopted constitution meets the guidelines, the

organization will retain its standing as a University recognized faculty organization. If it does not

meet the guidelines as stated in section B, the Faculty Affairs Committee will make

recommendations to the organization to bring the constitution into compliance. If an organization

does not agree with the recommendations of the Faculty Affairs Committee, it may appeal to the

Faculty Senate Executive Committee.

E. Disciplinary Action

If a University recognized faculty organization engages in activities that violate the conditions of

recognition, the policies and procedures of Emporia State University, or state laws, it may have

disciplinary action brought against it by the Faculty Senate. The Faculty Affairs Committee shall

recommend to the Faculty Senate what, if any, penalties shall be assessed. Any penalty may be

appealed to the Faculty Senate Executive Committee. This appeal must be in writing, stating the

grounds for the appeal, and must be made within 10 class days of the notification of the disciplinary

action taken.

3AD.07 POLICY ON CAMPUS-WIDE COMMITTEES (FSB 85007 approved by the President

1/27/86; FSB 14009 approved by President 4/15/2015; FSB 15005 approved by Interim President

11/13/2015; FSB 15010 approved by President 3/15/2016)

The principle of University shared governance requires establishment of numerous committees, task

forces, boards, councils, and related bodies. Such bodies are important to the University but should

be abolished when their functions have been served. To this end this bill establishes the procedures

to be used to review the function of these bodies and to abolish those which are no longer needed.

Campus-wide committees that are comprised entirely of faculty-staff within an individual school,

college, or department are not considered campus-wide committees. All other groups shall be

considered campus-wide administrative and faculty committees, task forces, boards, councils, and

related bodies, with the exception of the 4 standing committees of the Faculty Senate, President’s

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Cabinet, President’s Council, and Provost’s Council. Task Forces are organized for a short term to

deal with one specific purpose and therefore are not subject to COCG review.

Section I: Establishment of New Committees

Applications to form a Campus-Wide Committee should be submitted to the Chair of the Committee

on Campus Governance, to be submitted to the Committee for approval by majority vote.

This application must include the following:

1. A constitution with a clear statement of the committee’s mission;

2. By-laws, policies, and other regulations, including membership requirements;

3. A list of officers and their duties, including the method of selection and removal; and

4. The following paragraph must be included in all constitutions:

No person shall, on the grounds of race, creed, color, national origin, religion, age,

sex, sexual orientation, disability, Veteran status, or other such factors that cannot

be considered lawfully, be excluded from participation in, be denied the benefits of

or be subjected to discrimination under any program or activity within this

organization.

Upon approval the application documents will be submitted to the University President’s office and

to the Faculty Senate office by the Chair of the Committee on Campus Governance.

Changes to items 1 and 2 above shall be sent to the Chair of the Committee on Campus Governance

by January 31 of each year for approval by majority vole. Notifications of new officers for each

year shall be submitted to the Chair of the Committee on Campus Governance by May 1 of each

year. The Committee on Campus Governance will forward these changes to the University

President’s office and to the Faculty Senate office.

Section II: Committee Lifetime

It is hereby established as operating policy of the University that the lifetime of any committee shall

not exceed 4 years. Except for Federally, State, or Board of Regents mandated University-wide

committees, a committee’s lifetime will automatically cease to exist on June 30, of the 4

year after

its establishment. Continuation may be recommended by the Committee on Campus Governance

after it has reviewed the committee's functions and its effectiveness at the end of the 4-year cycle.

The Committee on Campus Governance's recommendations shall in all cases be made to the

President of the University, who shall take appropriate action and report such action to the

Committee on Campus Governance Chair.

Section III: Review of Committees

The executive secretary, chair, and all members of committees up for review will be notified in

writing by February 28 of the year they are to be reviewed. Included in the notification will be a

copy of the full procedures for review. The formal review process will take place by the last day of

April, with the Committee on Campus Governance's recommendation going to the President and to

the committee no later than May 1. The committees will also be expected to keep minutes and send

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approved copies to the Faculty Senate office and to the current chair of the Committee on Campus

Governance by January 31 of each year.

Section IV: Committee Discontinuance

The executive secretary, chair, and all members of committees recommended for abolition will be

notified in writing by May 1 of the year they have been reviewed and recommended for

discontinuance. The responsibility to show why a committee should be recommended for

continuation lies solely with the committee itself or any other interested party or parties. A formal

public open hearing will be held for committees that have been recommended for discontinuance

within 2 weeks of the recommendation being submitted to the President.

Section V: Appeal of Committee on Campus Governance's Recommendations

In cases where the committee or any other interested party disagrees with the recommendation of

the Committee on Campus Governance, they may appeal directly to the President. If the President

at that time decides in favor of the appellant, the Committee on Campus Governance must be

notified in writing by the President's Office of that decision.

3AE. CONSTITUTION AND BYLAWS OF FACULTY SENATE

3AE.01 CONSTITUTION (FSB 82007; FSR 85003; FSR 85012; FSB 87007; FSB 87008; FSR

93009; FSB 93016; FSB 96006; FSB 97006; FSB 99006; FSB 00006; FSB 02009 passed by

Faculty Senate 4/15/03; approved by Faculty vote; approved by President 5/13/03; FSR

03015 approved by President 5/18/04; FSB 03014 passed by Faculty Senate 4/6/04;

approved by President 5/19/04; FSB 03017 passed by Faculty Senate 4/20/04; approved by

President 5/19/04; FSB 07001 passed by Faculty Senate 10/16/07; approved by President

11/29/07; FSB 08010 passed by Faculty Senate 4/21/09; approved by President 4/24/09; FSB

11006 passed by Faculty Senate 3/06/12; approved by President 3/30/12; updated 10/2/2013;

FSB 14008 approved by President 4/15/2015; FSB 14020 approved by President 5/15/2015;

approved by COCG 1/30/2018)

The constitution of the Faculty Senate of Emporia State University was adopted by the Faculty

Senate on January 17, 1984, approved by the faculty through a written ballot on February 21, 1984,

and approved by the President of the University on March 5, 1984.

PREAMBLE

1. The Faculty Senate of Emporia State University is hereby established to provide the means

whereby faculty and administration can engage in cooperative action in the formulation of

policy affecting the primary functions of the University. Within the limits established by law

and by the regulations and policies of the Kansas State Board of Regents, the faculty reserves

to itself the responsibility and the authority for governing itself and the University in a manner

conducive to the proper functioning of the University.

2. To fulfill the responsibility of faculty governance, the faculty hereby delegates its authority to

the Faculty Senate, but it retains the right of referendum.

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Article 1. The Voting Faculty

1. All persons holding the rank of professor, associate professor, assistant professor, or instructor

who are full time faculty members of University Libraries and Archives, the School of Library

and Information Management, the School of Business, the Teachers College, and the College

of Liberal Arts and Sciences who spend at least quarter-time during the academic year in

teaching, academic research, or supervision of student teachers shall be considered voting

members of the faculty of Emporia State University. Any voting faculty member in the year

previous to his or her sabbatical or leave shall not lose his or her right to vote by reason of his

or her absence. Voting rights apply to referendums and election of Second Vice President.

2. The faculty shall elect from the voting members of the faculty the Second Vice President of the

Faculty in accordance with the rules set forth in the Constitution of the Faculty Senate and

Article III of the Bylaws. The Second Vice President may not hold an administrative position

above the rank of department chair.

3. At the conclusion of the President of the Faculty's term, the President of the Faculty shall

assume the position of immediate past President of the Faculty. The First Vice President shall

become the new President of the Faculty and the Second Vice President shall become the First

Vice President of the Faculty.

4. The First Vice President, the President, and the immediate Past President shall serve as Faculty

Senate Officers. The President of the Faculty shall serve as the presiding officer of the Faculty

Senate. The First Vice President shall serve as the Secretary of the Faculty Senate. The

immediate Past President of the Faculty shall serve as the parliamentarian of the Faculty Senate.

5. The Second Vice President is required to attend Senate meetings and Faculty Senate Executive

Meetings as a non-voting member while preparing to assume his or her 4-year obligation. In

the event that the President of the Faculty or the First Vice President of the Faculty is unable

to complete his or her term, it may be necessary for the Second Vice President to undertake an

active leadership role in accordance with Article II Section 3 of the Constitution.

Article II. The Faculty Senate

Section 1. Function

The Faculty Senate of Emporia State University is designated as the official and only body to

represent the faculty of the University. The Faculty Senate is empowered to act for the faculty in all

matters that come within the realm of faculty concern.

Section 2. Membership

1. Voting membership of the Faculty Senate shall be constituted as follows:

a. The President of the Faculty, who shall vote only to break ties.

b. Senators who shall be elected from the voting faculty of the School of Library and

Information Management, University Libraries and Archives, and each department within

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the School of Business, the Teachers College, and the College of Liberal Arts and Sciences,

according to the formula of one senator for each ten equivalent full-time faculty positions

or majority part thereof (greater than 5), with each department guaranteed at least one

senator. Equivalent full-time faculty positions shall be determined by the Committee on

Campus Governance using each department’s official University budgeted full-time faculty

equivalents (FTE) or actual full-time unclassified positions, whichever is greater, during the

fall semester of each year. The number of senators to represent each department or area shall

be reported to the Faculty Senate by the Committee on Campus Governance no later than the

first meeting held during the month of February. Any adjustment in representation shall be

made prior to spring elections with terms of office beginning on June first.

c. In addition, one senator shall be elected from the full- time unclassified staff of each of the

following areas: Student Affairs, Academic Affairs, and Fiscal Affairs (which shall include

Intercollegiate Athletics, University Advancement and any unclassified personnel otherwise

unmentioned).

2. Non-voting membership of the Faculty Senate shall consist of the Provost and Vice President

for Academic Affairs of the University, the First Vice President for the Faculty Senate, the

Second Vice President of the Faculty, the immediate Past President of the Faculty, and the

President of the Associated Student Government.

3. Only voting members of the Faculty Senate as defined under Article I of the Constitution of the

Faculty Senate not holding administrative positions above the title of department chair are

eligible to chair a standing committee of the Faculty Senate. Any chair of a Faculty Senate

standing committee who is promoted to an administrative position shall immediately relinquish

his or her position as chair of that committee.

4. Election of the appropriate number of senators shall occur as follows:

a. For University Libraries and Archives, the School of Library and Information Management,

the School of Business, the Teachers College, and the College of Liberal Arts and Sciences,

senators shall be elected by the respective faculty of each department/area.

b. For Academic Affairs, Student Affairs, and Fiscal Affairs, senators shall be elected by the

respective full-time unclassified staff and faculty of each area.

5. In case of reorganization of academic departments or administrative areas, the terms of office

of all senators previously elected by the old department(s)/area(s) shall be terminated. The

Committee on Campus Governance shall determine the correct number of new senators, and

will notify the new department(s)/area(s) of this number within 30 days of the actual

reorganization. Within 30 days of this notification, elections will be held in the new

departments/areas. The newly elected senators will assume office, with full Faculty Senate

privileges, at the first meeting of the Faculty Senate following their elections.

6. In the event that an elected senator from one department/area is transferred to a different

department/area, the senator's te rm shall be immed ia te ly te rminated. New elections shall be held

within 30 days in the affected department/area, and the newly elected senator will assume

office, with full Faculty Senate privileges, at the first Faculty Senate meeting following election.

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Section 3. Terms of Office

1. All terms of office shall begin on June first.

2. Senators:

a. Faculty senators elected as representatives under Section 2 above shall serve a term of two

years, with the objective of any reorganization that one half of their number will be subject

to election each year as to be specified in the bylaws.

b. No senator elected under Section 2.1.b. and c. shall serve more than two terms consecutively.

Service of less than one year as a replacement shall not constitute a term.

3. Officers:

a. The term of the President, First Vice President and Second Vice President shall be one year

each.

b. In the event the President is unable to complete a term of office, the First Vice President

shall become President, the Second Vice President shall become First Vice President and a

new Second Vice President shall be elected by the faculty. Should the First Vice President

succeed to his or her predecessor's term for more than six months, he or she shall serve as

President only to the completion of the predecessor's term, at which time the First Vice

President in office shall succeed to the position of President. Otherwise, the First Vice

President shall serve the partial term as well as his or her own full term as President.

c. If the First Vice President is unable to continue in office, or has succeeded to the presidency,

the Second Vice President shall succeed him or her and a special election shall be held to

fulfill the remaining terms of the Second Vice President. A Senatorial position made vacant

by such a special election shall be filled in its conventional manner.

Section 4. Responsibilities of the Faculty Senate

1. Within the scope set forth in the preamble of this constitution, the Faculty Senate's primary

function shall be the initiation of new policies, as well as the review and amendment of existing

policies, that implement the academic mission of the University. In addition, the Faculty Senate

shall retain the privilege of reviewing and making recommendations concerning all existing

policies, and all proposals from non-Faculty Senate sources for new policies, that affect faculty

welfare and the overall mission and/or major objectives of the University.

2. Faculty Senate-approved bills shall be considered official policy of the University upon

receiving the approval of the President of the University and, when necessary, the Board of

Regents.

a. In the event the President of the University takes no action on a Faculty Senate-approved bill

within 30 calendar days after receiving official written notice of the Faculty Senate's

approval of the bill, that bill shall be considered university policy. Action is defined as the

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President's approval or disapproval of the Faculty Senate-approved bill, or the Faculty

Senate's approval of a request from the President of the University for an extension of time,

not to exceed an additional 30 calendar days.

b. In the event of a Presidential disapproval of a Faculty Senate-approved bill, the Faculty

Senate may express its views on the issue at hand by considering an appropriate resolution.

(see Bylaws, Article IV, Sec. 8c)

3. Any disagreement about what is or is not a matter within the realm of faculty governance shall

be resolved by the cooperative action of the President of the University and the Executive

Committee of the Faculty Senate, except that any such resolution is subject to review of the full

Faculty Senate.

Section 5. Official Actions of the Senate

1. The Faculty Senate shall express its views officially by the means of bills and resolutions. The

Faculty Senate reserves the right to express its views by other means, as it deems appropriate.

2. Actions of the Faculty Senate may occur from the review of committee reports (FSCR),

resolutions (FSR), or bills (FSB). Committee reports are the formal reports of the four standing

committees (academic affairs, faculty affairs, committee on campus governance, and executive

committee) or of committees appointed by a standing committee. Resolutions are expressions

of opinion addressed to the President of the University, other members of the campus

community, or external agencies. Bills are statements of policy, and when signed by the

President, become University policy.

3. Any item of business (i.e., bills, committee reports, resolutions and amendments) that originates

in the Faculty Senate or one of its committees, or is submitted to the Faculty Senate from

another source, must be placed on the agenda of the Faculty Senate and introduced as business

within 45 calendar days. Items of business submitted from another source (not the Faculty

Senate) must be submitted by:

(a) a petition bearing the signatures of at least two senators or five members of the faculty, or

(b) a written request from the President of the University, or

University.

4. The Faculty Senate reserves the right to review the actions of any of its committees or task

forces and to affirm or change those actions through Faculty Senate bills or resolutions.

Section 6. Minutes

1. The Faculty Senate and each of its committees or task forces shall keep official minutes of their

respective actions. All minutes shall specify the dates and places of meetings, the members

present, the important details of all actions taken, and the nature of all issues raised and

discussed.

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2. The Faculty Senate web site will contain minutes from all meetings of the full Senate and the

Senate Executive Committee. Hard copies of minutes will be kept on file in the office of the

Faculty Senate. Copies will be made available on request to any member of the faculty at a cost

consistent with accepted copy rates available within the University.

3. A permanent file of all Faculty Senate minutes shall be kept in the Emporia State University

Archives. The First Vice President shall be responsible for submission of minutes to the

University archivist.

Section 7. Internal Structure of the Faculty Senate

1. To facilitate the action of the Faculty Senate, that body shall be divided into the following

standing committees: the Executive Committee, the Academic Affairs Committee, the Faculty

Affairs Committee, and the Committee on Campus Governance. The Executive Committee may

appoint such task forces as it may deem necessary or desirable for the proper conduct of Faculty

Senate business. Other committees may appoint sub-committees as deemed necessary.

2. The Provost and Vice President for Academic Affairs of the University, First Vice President of

the Faculty, the Second Vice President of the Faculty, the immediate Past President of the

Faculty, and the President of the Associated Student Government shall not sit as voting

members of the Academic Affairs Committee, the Faculty Affairs Committee, or the Committee

on Campus Governance. With the exception of the Executive Committee, as stipulated below,

the president of the Faculty shall appoint each voting senator to at least one standing committee.

3. The Executive Committee

a. Shall be composed of the President of the Faculty, First Vice President of the Faculty,

Second Vice President of the Faculty, chairs of the three standing committees of the Faculty

Senate, and the immediate past President of the Faculty. The Provost and Vice President for

Academic Affairs of the University shall serve ex officio as a non-voting member of the

Executive Committee. The President of the Faculty shall serve as chair of the Executive

Committee.

b. Decisions resulting in a tie vote must be reconsidered. A majority of voting-members must

be present when voting on an issue.

4. The Executive Committee shall be responsible for the following:

a. Referring items of business to an appropriate committee, to a task force, or to the Faculty

Senate as a whole.

b. Establishing the agenda of Faculty Senate meetings.

c. Developing and maintaining effective communication among the members of the Faculty

Senate, Faculty Senate committees, faculty, administration, support services, student body,

alumni association, community, and faculty governing bodies of institutions represented by

the Kansas Board of Regents.

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d. Evaluating annually the activities and actions of the Faculty Senate through on-going review

of the Faculty Senate Constitution and Bylaws.

e. Addressing other functions as the President of the Faculty or the Faculty Senate deems

appropriate and this constitution otherwise assigns.

f. Implementing administrator evaluations as specified in Faculty Senate legislation.

5. The Academic Affairs Committee and the Faculty Affairs Committee shall be responsible for

matters assigned to them by the Faculty Senate or its Executive Committee. In addition, these

two committees shall have the prerogative to discuss those matters they deem appropriate and

make recommendations in the form of bills, resolutions or committee reports to the Faculty

Senate.

6. The Committee on Campus Governance shall be responsible for the following:

a. Recommending to the Executive Committee potential members for task forces as the

Executive Committee designates, or University policy stipulates that the Faculty Senate be

involved in staffing.

b. Reviewing the actions of University task forces, committees, councils, and boards, as

stipulated by policy and referring to the Faculty Senate any action that may be of concern

to the Senate.

c. Reviewing all proposals from the Associated Student Government and its agencies on

campus in those cases where such proposals affect the implementation of the mission of the

University.

d. Undertaking any additional functions as assigned by the President of the Faculty or by the

Faculty Senate.

e. Monitoring terms of office based on initial dates of election or appointments of Senators.

f. Conducting the election of the Second Vice President of the Faculty. In order to facilitate

an election, the committee shall obtain and verify a list of voting faculty from the office of

the Provost and Vice President for Academic Affairs. COCG will distribute candidate

biographies and construct a ballot. The committee may secure outside technical assistance

to run an electronic ballot in order to get a timely efficient result instead of paper or other

secure balloting.

7. Only those members of non-Faculty Senate task forces, committees, councils, or boards who

have been specifically and individually designated by the Faculty Senate for membership on

such groups shall be recognized by the faculty as official Faculty Senate representatives. Such

representatives shall be responsible to the Executive Committee and, through it, the Faculty

Senate for the activities as members of such groups.

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8. All bills and resolutions originating in Academic Affairs, Faculty Affairs, or the Committee on

Campus Governance shall be submitted in writing to the Executive Committee prior to being

presented on the Faculty Senate floor.

Section 8. Meetings

1. All meetings of the Faculty Senate and its committees and task forces are open. Any member

of the University community may have floor privileges in the Faculty Senate meeting or

committees but may not vote.

2. The Faculty Senate shall meet at least three times each fall and spring semester. The Faculty

shall meet at least twice each year at the request of the President of the Faculty or President of

the University.

Article III. Rules and Procedures for Ratification, Amendments, and Bylaws

Section 1. Ratification

Ratification and adoption of this constitution shall be accomplished upon the approval of two-thirds

majority of the members of the faculty voting in an election conducted by mail. Following its

approval by the faculty, this constitution shall be submitted to the President of the University and

shall enter into force upon receiving the President's approval.

Section 2. Amendments

1. This constitution may be amended by a two-thirds vote of the members of the faculty voting in

an election conducted by paper or electronic ballot by the Faculty Senate Office. Any

amendment to the Constitution must be submitted to the Faculty Senate in the form of a bill and

be approved by majority vote of the Faculty Senate’s total voting-eligible membership before

being sent to the faculty. An amendment so approved by the faculty shall be sent to the

President of the University and shall become part of this constitution upon the President's

approval.

2. The changes specified below (a, b, c, d) do not require a vote of the general faculty and may be

amended by a three-fourths vote on a bill passed by the Faculty Senate.

a. All of Article II, Section 7, "Internal Structure of the Faculty Senate," except that the

Executive Committee must retain its stated responsibilities.

b. The time of election and beginning date of terms of office.

c. A name change of a department/area specified in Article II, Section 2, "Membership," should

those names (only) be officially changed unless the name change results in a change in the

number of individuals or organizational structure represented in the department/area.

d. Grammatical and spelling corrections and corrections of errors in fact.

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Section 3. Bylaws

Bylaws that the Faculty Senate deems necessary or desirable may be adopted by a majority vote of

the Faculty Senate’s total voting-eligible membership.

Article IV. Enactment of the Constitution

The Faculty Senate existing at the time of acceptance of this constitution is authorized to take such

steps as may be necessary to implement this constitution.

3AE.02 BYLAWS (FSB 88011, FSR 93014, FSB 93015, FSB 96005, FSB 97006, FSB 00007

passed by Faculty Senate 11/21/00; approved by Faculty vote12/7/00; approved by the

President 12/21/00; FSB 03018 passed by Faculty Senate 04/20/04; approved by the

President 05/04/04; FSB 08002 passed by Faculty Senate 11/04/08; approved by the

President 11/05/08; FSB 08006 passed by Faculty Senate 2/3/09; approved by the President

2/4/09; FSB 08011 passed by Faculty Senate 4/21/09; approved by the President 4/24/09;

FSB 11007 passed by Faculty Senate 3/6/12; approved by the President 3/13/12; FSB 12007

passed by Faculty Senate 03/05/13; approved by the President 3/12/13; updated 10/2/2013;

FSB 14007 approved by President 4/17/2015; FSB 14012 approved by President 4/17/2015;

FSB 14020 approved by President 5/15/2015; FSB 16012 approved by President 5/9/2017)

The bylaws of the Emporia State University Faculty Senate were adopted by the Faculty Senate on

February 19, 1985, as FSB 84014 and approved by the President of the University on March 3, 1985.

Article I. Membership and Elections

Section 1

1. The Student Affairs area shall be composed of full-time unclassified staff in the Office of the

Vice President for Student Affairs. It shall also include those programs that report to the Vice

President for Student Affairs.

2. The Academic Affairs area shall be composed of full-time unclassified staff in the Office of the

Provost and Vice President for Academic Affairs. It shall also include those programs that

report to the Provost and Vice President for Academic Affairs.

3. The Fiscal Affairs area shall be composed of full-time unclassified staff in the Office of the

Vice President of Administration and Fiscal Affairs and those programs that report to the Vice

President for Administration and Fiscal Affairs. For the purpose of Faculty Senate business,

Intercollegiate Athletics, University Advancement, and any full-time unclassified personnel

otherwise unmentioned shall be considered part of Fiscal Affairs.

4. All senatorial elections shall occur prior to the second Tuesday of March according to the

following schedule:

a. The respective faculty of the University Libraries and Archives, the School of Library and

Information Management, the School of Business, The Teachers College, and the College

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of Liberal Arts and Sciences shall elect senators odd or even numbered years as given in

Section 1.4.f.

b. Full-time unclassified staff of the areas of Student Affairs, Academic Affairs, and Fiscal

Affairs shall elect 1 senator per area in odd or even numbered years as given in Section 1.4.f.

c. Units electing 2 senators shall elect 1 senator in even numbered years and 1 senator in odd

numbered years.

d. Units electing 3 senators shall elect 1 senator in even numbered years, 1 senator in odd

numbered years, and 1 senator in odd or even numbered years as given in Section 1.4.f.

e. Units electing 4 senators shall elect 2 senators in even numbered years and 2 senators in odd

numbered years.

f. Election Schedule

Even Numbered Years Odd Numbered Years

• Communication & Theatre

• Elementary Education, Early

Childhood & Special Education

• English, Modern Languages, &

Journalism

• Instructional Design & Technology

•Music

• Nursing

• Physical Sciences

• School of Library & Information

Management

• Social Sciences

• Student Affairs

• School of Business

•Art

• Biology

• Counselor Education

• Health, Physical Education, &

Recreation

• Mathematics, Computer Science, &

Economics

• Psychology

• School Leadership, Middle &

Secondary Teacher Education

• Sociology, Anthropology, & Crime

and Delinquency Studies

• University Libraries & Archives

• Academic Affairs

• Fiscal Affairs

Section 2

Each year, the First Vice President shall, prior to the second Tuesday in February, verify that all

current senators’ terms align with the election schedule found in Section 1.4.f. If any senator’s

term, expiring the following June, is out of alignment with the election schedule, the First Vice

President shall inform the senator that their unit must hold an election for a one-year term prior to

the second Tuesday of March. The senator elected to this one-year term will serve the term during

the following academic year, during which an election must be held to elect a senator to a full term

aligned with the election schedule.

At the first Faculty Senate meeting each April, senators whose terms expire the following June first

shall certify to the First Vice President that an election has been held by the faculty/unclassified

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staff of their respective department or area for the purpose of electing their successor, and provide

to the First Vice President the name of the senator-elect.

Section 3

The number of senators elected by each department or area shall be determined by the Committee

on Campus Governance using the following formula. One senator shall be elected for each ten

equivalent full-time faculty positions or majority part thereof (greater than five), with each

department guaranteed at least one senator. Equivalent full-time faculty positions shall be

determined by the Committee on Campus Governance using each department’s official University

budgeted full-time faculty equivalents (FTE) or actual full-time unclassified positions, whichever

is greater, during the fall semester of each year. The number of senators to represent each

department or area shall be reported to the Faculty Senate by the Committee on Campus

Governance no later than the first meeting held during the month of February.

Section 4

The office of a senator shall be declared by the First Vice President to be vacant when any of the

following conditions are met:

a. Whenever the senator of the senator’s substitute is not present at 4 regularly scheduled

meetings of the Faculty Senate, to include Faculty Senate and Faculty Senate committee

meetings, during 1 academic year;

b. Upon the resignation from the University by the faculty/staff members serving as senator;

c. Upon receipt by the First Vice President of the senator’s letter of resignation from the

Faculty Senate;

d. If a senator is elected Second Vice President of the Faculty.

Within 10 class days following the declaration that the office of a senator is vacant the First Vice

President shall notify the head of the department or area represented by the senator that the office

is vacant. The area must then elect a replacement for the remainder of the senator's term.

Section 5

A senator who is unable to attend any regular meeting of the Faculty Senate or any of its standing

committees of which the senator is a member may appoint a temporary substitute to serve, subject

to the following procedures: (a) a temporary substitute must be a member of the department or area

which is represented by the senator; (b) a temporary substitute or absentee senator must notify the

First Vice President or appropriate committee secretary of the identity of the temporary substitute

prior to the convening of the meeting. The substitute shall have the rights and privileges exercised

by the senator for whom the substitution is made.

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Section 6

A temporary substitute to the Executive Committee for a committee chairperson must be a member

of the same committee as the committee chairperson and has the same responsibilities as the

chairperson.

Section 7

Senators who shall be absent from Faculty Senate and Faculty Senate committee meetings for a

period of one semester or less shall have the right to appoint a substitute senator under the

provisions of Section 5. A senator who shall be absent from Faculty Senate and Faculty Senate

committee meetings for a period greater than one semester does not have the privilege of naming

a substitute senator, and the unit the senator represents must elect a replacement for the remainder

of the senator's term.

Section 8

Election of standing committee chairs for the coming academic year (excluding the Executive

Committee) usually occurs at the last regularly scheduled meeting of the Faculty Senate in May.

Article II. Meetings

Section 1

The regular meetings of the Faculty Senate are to be held on the first and third Tuesdays of each

month during the academic year. The time of the meetings should be set for 3:30 - 5:00 p.m.

Section 2

Faculty Senate committees should meet on the second and fourth Tuesdays of each month during

the academic year from 3:30 - 5:00 p.m. and at other times when deemed necessary.

Section 3

The first meeting in May shall be known as the Annual Meeting at which time the annual reports

are received from standing committees and other special committees appointed during the year.

Section 4

Special meetings of the Faculty Senate shall be called by the President of the Faculty with at least

a seven-day advance notice. The seven-day advance notice may be waived by affirmative vote of

the Executive Committee. No business shall be transacted except that identified in the notice of the

special meeting.

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Section 5

A quorum of the Faculty Senate is the majority of the total voting-eligible membership of the Senate.

Section 6

1. With the exception of routine operating procedures and motions involving parliamentary

procedures, meetings of the Faculty Senate shall include three types of formal actions: (a) an

action by the Faculty Senate which would add to, delete from, or change the existing official

policy of the University shall be entitled Faculty Senate Bill (FSB); (b) an action by the

Faculty Senate which does not change the official policy of the University but reflects the

concern or position of the Faculty Senate shall be entitled Faculty Senate Resolution (FSR);

and (3) acceptance of an official written report to the Faculty Senate from any committee or

council established by the Faculty Senate entitled Faculty Senate Committee Report (FSCR).

2. All formal actions of the Faculty Senate shall be numbered consecutively.

Section 7

During the summer session when the Faculty Senate does not regularly meet, the officers of the

Faculty Senate may address issues of concern to the faculty and represent the interests of the faculty

if the President of the Faculty, First Vice President, the Second Vice President, and Immediate Past

President concur to meet. A consensus must be achieved for decisions or positions considered

during this period, which are then subject to review by the Faculty Senate at its first meeting of the

academic year.

Article III. Election of Second Vice President of the Faculty

1. A nominating committee shall select nominees for the election of the Second Vice President.

It is expected that the nominating committee will propose at least two nominees. The

nominating committee shall be selected at the first Faculty Senate meeting in September of the

calendar year immediately prior to the calendar year of the election.

2. The nominating committee shall be composed of the current First Vice President of the Faculty

and current Second Vice President of the Faculty and one faculty senator from each of the

following designations: 1) University Libraries & Archives or the School of Library and

Information Management, 2) the School of Business, 3) The Teachers College, 4) the College

of Liberal Arts and Sciences, and 5) one faculty senator chosen at large. For designations 1,

2, 3 and 4 the respective senators shall caucus and select a committee member. An at-large

member shall be chosen by the First Vice President of the Faculty with the concurrence of the

Faculty Senate Executive Committee.

3. The current Second Vice President of the Faculty shall serve as the chair of the nominating

committee and shall convene meetings of this committee.

4. The nominating committee will convene to construct a recommended ballot of candidates for

the position of the Second Vice President of the Faculty. The recommendation will be

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developed by a consensus of the committee. No member of the nominating committee may

be a nominee in an upcoming election for Second Vice President of the Faculty.

5. Recommendations from the nominating committee shall be presented at the Spring Faculty

Meeting of the year of the election, at which nominations from the floor shall also be invited.

Nominations from the floor must be seconded and nominees must either accept their

nomination, to be placed on the ballot, or decline their nomination.

6. Elections shall be conducted using written or secure e-mail procedures and shall provide for

a minimum of two working days for faculty to cast ballots.

7. The Committee on Campus Governance, charged with conducting the election of the Second

Vice President of the Faculty, is also charged with organizing and hosting a candidate open

forum to be held during the early part of Spring semester of the election year. Procedures

adopted for election campaigning shall be clearly communicated to all nominees and the

faculty as a whole.

8. The election for Second Vice President shall be held following the candidate open forum, near

the first of March. The election vote shall be confirmed by a committee consisting of 1 faculty

senator from each school or college.

9. The nominee receiving the most votes shall be declared elected, except that if no nominee

receives at least 40 percent of the ballots cast, a run-off election between the two nominees

receiving the largest number of votes shall be held immediately.

10. In the event of a tie vote, the Committee on Campus Governance Chair shall flip a coin to

determine the winner. This action shall take place in person with the President of the Faculty,

the First Vice President of the Faculty, and the candidates who are tied as witnesses.

11. The numerical results of the election shall be made available to the candidates upon request

to the Committee on Campus Governance Chair.

Article IV. Rules of Procedure

Section 1

Any bill (FSB) offered on the floor of the Faculty Senate by any of the four regular committees of

the Faculty Senate shall, upon first reading, be subject to discussion and debate but no vote shall

be taken nor shall any amendment be allowed. A bill is not considered on "first reading" until a

motion is made and seconded that the bill be accepted for adoption.

Section 2

Any bill (FSB) offered on the floor of the Faculty Senate by any senator or group of senators shall,

following an explanation of the content and the intent of the bill, and the offering and answering

of questions from the floor, be referred by the presiding officer to the appropriate senate standing

committee. The appropriate committee shall deliberate on the bill and may choose to advance the

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original bill to the Faculty Senate floor or may let the bill die in committee. If advanced, it shall be

considered on first reading.

Section 3

No bill (FSB) shall proceed to more than one reading at any single meeting of the Faculty Senate,

and no more than one meeting of the Faculty Senate may be held in any twenty-four hour day. A

proposed bill should be presented for second reading at the next regularly scheduled meeting

following its first reading in the Faculty Senate.

Section 4

Adoption of a motion to lay on the table a bill (FSB) which is on second reading shall cause the bill

to be on second reading when it is returned to the floor. Adoption of a motion to refer back to

committee a bill (FSB) which is on first or second reading shall cause the bill to be on first reading

when it is returned to the floor.

Section 5

Upon second reading, any bill (FSB) shall be subject to debate, open to amendment, and subject

to vote for final disposition.

Section 6

Amendments to a bill (FSB) should be circulated in writing to the senators prior to their

consideration in a Faculty Senate meeting. Such amendments may be sent to the Executive

Committee for circulation.

Section 7

Upon approval of a bill, the President of the Faculty shall transmit the official written notice of the

Faculty Senate recommendation to the President or Acting President of the University.

Section 8

a. When the President of the University informs the Faculty President that he or she has officially

approved a bill (FSB) passed by the Faculty Senate, the Faculty President shall report the

approval at the next regular meeting of the Faculty Senate. This announcement shall conclude

deliberations on the bill.

b. When the President of the University informs the Faculty President that he or she has given

conditional approval to a bill (FSB) passed by the Faculty Senate, the University President

shall provide a written explanation that includes reasons for the conditional approval, and may

provide recommendations to help the Faculty Senate decide how to proceed. When the

President of the University’s conditional approval has been based on advice of legal counsel,

the President’s explanation shall include a written explanation of the advice given by legal

counsel, with citations to specific laws and regulations when applicable. Legal counsel may

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also provide guidance on modifications to the bill to conform to laws and regulations. The

Faculty President shall refer the bill and the University President’s written explanation to the

committee of origin. The committee shall, at its next meeting, give due consideration to the

conditions of approval and prepare to return the bill to the Faculty Senate with its

recommendations. If the Committee accepts the recommendations of the University President,

in whole or in part, then the Faculty Senate should be given the bill as amended by the

committee. The Faculty Senate shall make the bill the first order of business at the next

regularly scheduled meeting, and the bill shall be on second reading.

c. If the Committee does not accept the recommendation(s) of the President of the University, the

appropriate Faculty Senate committee may recommend that the original bill be “amended after

adoption”.

d. When the President of the University informs the President of the Faculty that a bill passed by

the Faculty Senate has not been approved, the University President shall provide written

explanation that includes reasons for non-approval, and may provide recommendations to help

the Faculty Senate decide how to proceed. When the President of the University’s action has

been based on advice of legal counsel, the President’s explanation shall include a written

explanation of the advice given by legal counsel, with citations to specific laws and regulations

when applicable. Legal counsel may also provide guidance on modifications to the bill to

conform to laws and regulations. The text of the University President’s written explanation

shall be distributed to the Senators at or before the next regularly scheduled meeting of the

Faculty Senate. No later than two regularly scheduled Faculty Senate meetings after the

President's written explanation is distributed, as the first item of old business, the President of

the Faculty or any Senator may place a motion before the Faculty Senate saying, "Resolved

that Faculty Senate Bill number ______ be approved notwithstanding the University

President's disapproval." An affirmative vote cast by a majority of the total voting-eligible

membership of the Faculty Senate shall be required for passage of the motion. A record of the

number of yea, nay, and abstaining votes and the number of senators absent shall be made part

of the Faculty Senate record, and the same conveyed to the President of the University.

Section 9

If action on a bill being considered in the Faculty Senate at the end of the academic year is not

resolved by the last meeting of the year, it may be reintroduced as a new bill in the following

academic year. Bills that have not been signed by the President by the close of the spring semester

remain viable bills and must be acted on by the President consistent with Article II, Sec. 4, #2 of

the Constitution. If a bill is not approved by the President, the Faculty Senate will consider

recommendations or further actions at the first Senate meeting of the fall semester.

Section 10

The Senate may, by majority vote, call up for consideration at its next session any matter of

business before any of its committees.

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Section 11

In contrast to the procedure outlined above for the handling of bills (FSB) to establish policy,

resolutions (FSR) may be received by the Faculty Senate without referral to committees, and may

be introduced, debated, amended, and voted upon in a single meeting. Resolutions should be

written so they may be properly reviewed. The President of the Faculty may waive this procedure

if it is deemed necessary. Resolutions do not require the signature of the President of ESU.

Section 12

With the exception of a vote on a bill vetoed by the President of the University, the vote on any bill,

resolution, or amendment shall be by a show of hands, or a division of the house, unless one-fifth

of the membership present and voting shall request a roll call vote.

Section 13

Annual Standing Committee reports must be submitted for acceptance to the Faculty Senate at the

last regularly scheduled meeting of the academic year.

Section 14

1. It is the responsibility of the presiding officer of a Senate meeting or committee to initiate time-

limits for discussion and speaking privileges if it is felt appropriate. Time-limits may also be

established by the Faculty Senate in accordance with the procedures outlined in Robert's Rules

of Order.

2. Any member of the Faculty Senate who wishes to comment on an issue shall be recognized.

No member of the Faculty Senate may comment more than once on an issue (exception would

be to respond to a specific question or to clarify a comment in response to a question or

comment from a member) until all other members who desire to comment have been given the

opportunity. After all members desiring to comment have been provided an opportunity

members may then be recognized again to provide additional comments.

3. Individuals from the University Community may enjoy floor privileges at a Faculty Senate

meeting or a Faculty Senate committee or task force meeting. Guests wishing to address the

Faculty Senate or one of its committees shall present themselves to the presiding officer of the

Faculty Senate or Committee prior to the time the meeting is called to order. The presiding

officer shall determine when the guest shall speak as well as set time limits for comments.

Non-members of the Faculty Senate will not be recognized until after all Faculty Senate

members desiring to comment have been given the opportunity. Non-members must receive

recognition from the presiding officer of the Faculty Senate and comments should be directly

related to the issue being discussed or in response to a question from a Faculty Senate member.

4. In some situations a non-member may request to distribute materials or address the Faculty

Senate or a committee. Requests should be submitted in writing to the presiding officer of the

meeting prior to a scheduled meeting; requests should identify the purpose and anticipated time

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desired. Approval of requests may be granted by a motion and majority vote of voting-eligible

members present at the meeting of the Faculty Senate or of a respective committee.

5. All guests who address the Faculty Senate or its committees must do so in a respectful and civil

manner. The presiding officer has the right to suspend or deny floor privileges to those who

violate these rules. This right, however, should only be exercised in extreme cases and must

not be used to stifle debate or to prevent freedom of expression. The University's Affirmation

of Values Statement provides the basis for these procedures.

Section 15

The President of the Faculty, with approval by the Executive Committee, may appoint an individual

to handle the responsibilities of maintaining the Faculty Senate webpage subject to review by the

Executive Committee.

Section 16

The Faculty Senate may, by simple majority vote of total voting-eligible memberships, amend

Faculty Senate bylaws. The Faculty Senate may, by ¾ majority vote of total voting-eligible

membership, temporarily suspend any of the bylaws. The Faculty Senate may not suspend its

bylaws for the purpose of votes by secret ballot.

Section 17

For the conduction of campus-wide votes involving Faculty Senate business, US mail, campus mail

and electronic mail shall all be considered official.

Section 18

Robert's Rules of Order shall govern any matter not resolved by these Bylaws and rules of

procedure. The version of Robert’s Rules of Order that shall be used is the one authorized by the

Robert’s family and maintained and updated by the Robert’s Rules Association, which is available

online at robertsrules.com.

3AF. MODIFICATIONS TO REGULAR AND INTERIM POLICIES AND

PROCEDURES (FSB 09013 passed by Faculty Senate 4/6/2010; approved by President

4/19/2010)

3AF.01 REGULAR POLICIES AND PROCEDURES (FSB 12004 passed by Faculty Senate

12/4/2012; approved by President 12/11/2012)

Policies and procedures of ESU’s University Policy Manual and University Procedures Manual

can be established either by: (1) approval of the President without a bill having been passed by the

Faculty Senate, or by (2) the process involving a bill that is passed by the Faculty Senate and then

approved by the President, which exemplifies the concept of shared governance. Policies and

procedures established the first way can be modified by approval of the President either with or

without a subsequent bill having been passed by the Faculty Senate. Policies and procedures

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established the second way, however, shall be modified only by means of a subsequent bill passed

by the Senate and approved by the President. The second method of modifications of policies and

procedures shall begin in the Faculty Senate Executive Committee. Minor changes to policies and

procedures may originate in the office of the Provost/Vice President for Academic Affairs. Minor

changes are limited to the following:

• change in the name of a department/area;

• change in an individual’s job title;

• grammatical and spelling corrections.

The office of the Provost/Vice President for Academic Affairs shall present a list of all proposed

minor changes and their locations in the University Policy Manual to the President of the Faculty,

who will submit them to the Committee on Campus Governance for approval.

3AF.02 INTERIM POLICIES AND PROCEDURES

If an emergency or mandate from the Kansas Governor, Legislature, or Board of Regents causes

the need for a totally new policy and/or procedure to be established quickly, then the President can

do so either as a regular policy and/or procedure (which do not require a Faculty Senate bill), or

as an interim policy and/or procedure (on which a subsequent Faculty Senate bill is expected.)

If the need is for quick modification of an existing policy and/or procedure that is not based wholly

or in part on previous Faculty Senate bill(s), then the President can establish either a regular

modification (which does not require a Faculty Senate bill), or an interim modification (on which

a subsequent Faculty Senate bill is expected). If the need is for quick modification of an existing

policy and/or procedure that is based wholly or in part on a previous Faculty Senate bill, then the

President shall establish only an interim modification.

After an interim policy, procedure, and/or modification has been established by the President, the

Faculty Senate shall, except as set forth below, have the following 2 full academic semesters (not

counting summer) to submit a bill to the President that will change the status of the policy,

procedure, and/or modification from interim to regular. If no such bill is forthcoming from the

Faculty Senate within the 2 semesters, then the interim policy, procedure, and/or modification shall

automatically become regular.

If the Kansas Governor, Legislature, or Board of Regents stipulates that a regular policy, procedure,

and/or modification must be established by a deadline date that occurs before the end of the 2

semester period, and if the President has by that date not yet approved a Senate bill on the matter,

then the interim policy, procedure, and/or modification shall automatically become regular on the

deadline date. Subsequently, as with any policy or procedure in the University Policy Manual and

University Procedures Manual, the Faculty Senate may submit a modification for approval by the

President.

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CHAPTER 4: ACADEMIC POLICIES

4A. ACADEMIC ADVISING

Students and faculty share responsibilities for academic advising. Academic advising involves good

course schedule planning and at the same time balances the student's course load with goals and

capabilities, outside work, and other responsibilities. Special attention is given to students

experiencing problems handling or maintaining interest in their academic work. Advisors are

frequently general counselors. This may involve assisting a student who has personal, financial,

family, work-related, housing, or other concerns to find help in resolving the problem. Advisors

must be knowledgeable of the various campus support services and the help available.

4A.01 BOARD OF REGENTS ADVISING REQUIREMENTS (approved by BOR 5/99

revised by BOR 5/16/2013)

Effective academic advising is central to the educational mission of the Board of Regents. To ensure

that all students have access to high quality advising, each state university shall establish an

Academic Advising System, which shall provide the following:

Goal Setting: Each Academic Advising System should help students to set both short-term

and long-term educational goals.

Information: Each Academic Advising System should be able to accurately inform

students of graduation requirements of their department. It should be

sensitive to the importance of strategic course selections so as to minimize

the number of semesters required for graduation. Additionally, the System

should be able to inform students of career opportunities in their field of

study.

Transitions: Each Academic Advising System should inform students on how to change

colleges and/or departments. Furthermore, the System should provide

information to explain the process students follow to enroll in the curriculum

and to drop or add courses during the semester.

Accessibility: Each Academic Advising System should have reasonable hours and methods

of availability for students. Additionally, students should be able to set up

appointments within the System for an adequate amount of time to make

curricular selections and career choices.

Referral to Each Academic Advising System should be able to refer students to various

Campus campus resources including, but not limited to: University counseling

Resources: services, student activities, and career and employment services.

Each Academic Advising System shall provide information to students to inform them of their

responsibilities in the Academic Advising process.

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Each Academic Advising System shall be responsible for the necessary training of academic advisors

to assist them in meeting the responsibilities of this policy.

4A.02 FRESHMAN AND UNDECLARED STUDENT ADVISEMENT

The Student Advising Center (SAC) provides academic advising and assistance to all freshmen and

undeclared students (regardless of classification) to make a satisfactory transition to college life.

Advisors in SAC provide referrals to other offices and support services as deemed appropriate for

assisting students to realize their personal and educational goals.

Early each semester, SAC advisees are invited via mail to make an appointment for an initial

interview with the advisor from the student's intended major. These sessions allow the advisor and

advisee an opportunity to discuss issues related to the advisee’s past academic performance

aspirations for a major and degree, to develop and review short-term and long-term goals, to discuss

career opportunities, to discuss transition information, to make referrals to other resources, and to

identify other factors which influence academic achievement. If an advisee shows signs of academic

difficulty during the semester or if concerns have been expressed by an instructor, the student is

asked to see the SAC advisor.

These students are advised in SAC until three conditions are met: 1) attainment of 30 semester hours

of credit, 2) satisfactory academic progress (a minimum 2.00 grade point average), and 3) selection

of a major. When these three conditions are met, the student is transferred to a permanent advisor

in the student’s major.

4A.03 ADVISEMENT OF OTHER UNDERGRADUATE STUDENTS

All undergraduate students with declared majors, with the exception of those advised in the Student

Advising Center, are assigned advisors in their major departments. Students wanting to change

advisors must contact the new department office to initiate the process. Students must work with

their advisors to arrange and approve class schedules for the following semester. It is advisable for

students to make appointments with their advisors.

4A.04 GRADUATE STUDENT ADVISEMENT (updated 9/2010)

New graduate degree-seeking students are assigned advisors by their major department. Degree-

seeking students must contact their advisor to arrange and approve their class schedule for the

following semester. Non-degree seeking graduate students can enroll without an advisor's signature.

Non-degree graduate students can consult with the Dean of the Graduate School if they have

questions concerning enrollment.

4A.05 INTERNATIONAL STUDENT ADVISEMENT

The Office of International Education (OIE) is responsible for the initial counseling and advising of

international students, the processing of all undergraduate and graduate international student

admissions correspondence, reviewing and evaluating foreign credentials, and coordinating an

orientation and enrollment program for international students. Once the international student has

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completed all Intensive English Program requirements, the student is assigned an academic advisor

in the same manner as any other student.

International Education also issues government exchange and immigration forms. Students must

changes of address, student status, and employment. All requests for extensions of stay, work

permits, immigration certificates and money exchange letters must be submitted through this office.

4B. ACADEMIC LOAD (FSB 75002; FSB 92003 approved by President 1/12/93)

4B.01 UNDERGRADUATE LOAD (FSB 15021 approved by President 6/9/2016)

A normal load for undergraduate students is 15 to 16 hours of credit each semester. A load

exceeding 18 hours must be approved by the student's advisor and the head of the academic unit for

the student’s major.

The overload for summer varies with the duration of the courses. The normal load allowed without

overload permission is 1 credit hour for each week of attendance (e.g., 5 credit hours is a normal

load if the course, or courses, is over a 5 week period).

4B.02 GRADUATE LOAD

The maximum load for a graduate student during the fall and spring semesters is 16 hours per

semester. Overloads may be approved under exceptional circumstances during the fall and spring

semesters. A department under the supervision of its respective school/college may establish

additional restrictions upon credit hours earned during an enrollment period.

The normal load for summer session is 1 hour of graduate credit per week enrolled. The maximum

load for summer is 1.5 hours of graduate credit for each week of attendance. The minimum load

required for students with a summer assistantship is 3 hours. Students may earn no more than 12

hours of credit during the period between the end of spring semester and the beginning of fall

semester. The student may also earn no more than 9 hours in any six week period. Overloads

beyond these maximum limits must be approved by the advisor and the head of the department.

(These limits do not include thesis, research project, or dissertation credits.)

Graduate students using the resources of the University (e.g., instructors, libraries, laboratories,

computers) are expected to be enrolled in courses for credit and must be enrolled in at least 1

semester credit hour during the term in which the degree is granted or the requirements are met.

4B.0201 THESIS AND RESEARCH CREDIT

There are no limitations on the number of thesis and investigative credit hours for which a

student may enroll. However, only 6 hours and 5 hours of thesis credit may apply toward

master's and specialist degrees respectively, and no more than 12 hours of combined thesis and

investigation credit may apply toward a single graduate degree.

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4B.03 FULL-TIME STATUS (updated 9/2010; updated 3/21/2013; passed by Graduate Council

2/19/2015; approved by Provost 2/20/2015 )

A minimum load of 10 hours for undergraduate students is considered a full load for tuition and fees.

A minimum load of 12 hours for undergraduate students and 9 hours for graduate students is

considered a full load for financial aid.

The minimum course load for graduate assistants is 6 hours during regular terms and 4 hours for a

5-week summer term. Courses which count toward the 6 credit hour enrollment requirement for

graduate assistants must consist of graduate level courses. Once the 6 credit hour requirement has

been fulfilled, the student may take additional courses (either graduate or undergraduate). A waiver

of the minimum enrollment requirement may be granted by the graduate school with the approval

of the department and graduate dean. (passed by Graduate Council 2/20/03; approved by Vice

President for Academic Affairs 4/28/03; passed by Graduate Council 1/17/2013; approved by

Interim Provost 1/29/2013)

4B.04 CONCURRENT UNDERGRADUATE STUDENTS

Students who are enrolled in high school and wish to take courses as a part-time student may not

normally enroll in more than 9 credit hours in 1 semester or summer session. The application of all

credit earned while enrolled as a concurrent undergraduate student toward fulfilling degree

requirements will be determined after the student has been admitted to the University and becomes

a candidate for a particular degree. Persons wishing to enroll as concurrent undergraduate students

may obtain a concurrent undergraduate student application form from the ESU Admissions Office.

Financial aid is not available for concurrent students.

4B.05 SENIORS EARNING GRADUATE CREDIT (updated 9/2010; approved by Graduate

Council 11/15/2012)

College seniors at Emporia State University, or other 4 year institutions, may earn graduate credit

at ESU during the term in which the undergraduate degree is received and the term immediately

preceding the final term by accomplishing the following:

1) Completing a formal application for graduate study and submitting an official transcript.

2) Seniors taking courses for graduate credit must have a minimum overall GPA of 2.5.

3) Obtaining approval of the advisor, course instructor, and Dean of the Graduate School prior to

the end of the drop-add period. The Senior Request for Graduate Credit card may be obtained

in the Graduate School.

4) Not needing or using the courses to meet undergraduate degree requirements.

5) Providing assurance that the total enrollment will not exceed 17 hours per semester or 10 hours

per summer term and that no more than 12 semester hours of graduate credit is to be

accumulated in this way.

Only those courses numbered 500-799 will be considered for graduate credit before the

undergraduate degree has been awarded.

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4C. ACADEMIC REQUIREMENTS AND REGULATIONS

4C.01 GRADUATION REQUIREMENTS

4C.0101 UNDERGRADUATE (FSB 14006 approved by President 2/18/2015; FSB 15020

approved by President 6/9/2016)

A minimum of 120 hours of credit in courses numbered 100 and above are required to graduate,

60 of which must be taken from a 4-year college or university. Of the 120 hours, at least 45

hours of course work must be numbered 300 or above. Thirty of the final 45 hours and 6 of the

final 12 hours must be taken from ESU. At least 48 hours of general education credits are

required. A cumulative grade point average of at least 2.00 must be achieved on all work taken

and at least a 2.00 GPA must be achieved for all credits taken at ESU. Completion of the

University competency examination requirement appropriate to the specific degree program

is required.

4C.0101.01 TIME LIMIT POLICY (FSB 87002 approved by President 11/12/87; FSB

11003 approved by President 11/07/2011)

The following policy applies to all degree requirements including general education,

university-wide graduation, and major or program requirements, which apply to students

who seek an undergraduate degree.

Students who have made application for a degree and have a degree analysis on file in the

Registration office have 10 years from the date of filing the degree analysis to complete the

remaining degree requirements identified on that degree analysis unless the requirements of

external agencies make that impossible. Schools, colleges, and departments may establish

a different time limit by creating a time limit policy that applies to a specific program or

major requirements and that policy is included in the undergraduate catalog.

Students who have not made an application for a degree and who do not have a degree

analysis on file in the Registration office may complete the degree requirements that were

in effect at ESU at the time of their first enrollment in any accredited college or university.

However this policy will not apply and students will be expected to complete degree

requirements currently in effect if either of the following conditions exist:

1. Different requirements are imposed by external agencies (e.g., accrediting bodies,

Board of Regents, State Department of Education)

2. The student has not shown reasonable continuity in his/her education. To show

reasonable continuity, a student must have completed no fewer than 25 semester

hours of credit in the immediate past 5 calendar years.

In special cases the determination of which general education or university-wide degree

requirements are to be met will be made by the Director of General Education.

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4C.0102 GRADUATE

4C.0102.01 MASTER’S DEGREE (updated 9/2010)

All requirements for the degree must be completed within a period of 7 years from the first

enrollment date. In the case of compelling circumstances, the department offering the degree

may consider a petition for a 1 year extension of all requirements. The Graduate Council

may consider a petition, with departmental approval, to validate course work in the 9th or

10th year, dating from the first enrollment. Validation may be accomplished by examination

or additional approved work. No transfer work can be validated. No work over 10 years old

can be used to satisfy the requirements for graduate degrees.

A graduate degree plan must be signed by the advisor and filed with the Graduate School by

the end of the first semester of graduate study. The student must be admitted to degree

candidacy by the major department. The student must complete the required number of

semester hours of graduate level course work set by their department. A minimum of 60%

of credit hours must be earned in courses numbered 700 and above. Satisfactory grades must

be maintained as defined in the section titled Grades.

4C.0102.01.01 THESIS (updated 9/2010)

A thesis is required for certain degrees and is an option in others. A candidate may

obtain a thesis guide booklet from the Graduate School or by accessing the Graduate

Publications link on the graduate web page. Exceptions to the rules governing the typing

of theses may be permitted, but only with the written consent of the Dean of the Graduate

School and the chair of the candidate's committee.

An original copy of the thesis with departmental signatures is due in the Graduate School

for review and possible revision no later than 3 weeks prior to the close of the semester.

Finalized corrected copies with payment are due in the Graduate School 1 week prior to

the close of the semester.

4C.0102.02 SPECIALIST IN EDUCATION DEGREE (Revised, passed by Graduate

Council, 1/21/2010; approved by Provost 1/24/2010; updated 9/2010)

To obtain a Specialist in Education degree, the student must have a master’s degree from a

regionally accredited institution with a GPA of 3.5 on the most recent master’s degree. The

student must take the Graduate Essay Examination of The Teachers College unless the

master’s degree was awarded by Emporia State University. The residency requirement

consists of 1 full semester as a regularly enrolled full-time student or 1 summer session for

at least 5 weeks on campus.

All requirements for the degree must be completed within a period of 7 years from the first

enrollment date. In the case of compelling circumstances, the department offering the degree

may consider a petition for a 1 year extension of all requirements. The Graduate Council

may consider a petition, with departmental approval, to validate course work in the 9th or

10th year, dating from the first enrollment. Validation may be accomplished by examination

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or additional approved work. No transfer work can be validated. No work over 10 years old

can be used to satisfy the requirements for graduate degrees.

A specialist degree plan must be signed by the advisor and filed with the Graduate School

by the end of the first semester of graduate study. The student must complete the required

number of semester hours of graduate level course work set by the department. If equivalent

courses were completed at the undergraduate level, graduate courses must be taken to fulfill

the graduate hour requirements. One academic year of supervised experience (internship)

is required before the student may be recommended for full approval as a school

psychologist certified by the Kansas Department of Education. Students must pass an oral

examination over their thesis area and research.

4C.0102.03 DOCTORAL DEGREE (updated 9/2010; revised by Graduate Council

1/17/2013)

All requirements for the doctoral degree must be completed within 8 years after admission

to the doctoral program. A graduate degree plan must be signed by the advisor and filed

with the Graduate School by the end of the first semester of graduate study. Students will

advance to degree candidacy after passing qualifying examinations. These exams must be

taken within a 6 month period. Students must complete the required number of semester

hours of graduate level course work set by their department. To remain active in the

program, students must be enrolled in a class each semester, including summers (continuous

enrollment). PhD student who are forced to interrupt their studies for a period of one or

more years should request a leave of absence from the University. In consultation with their

graduate advisor, students should define the program modifications that the leave of absence

requires and complete the leave of absence form. This form needs to be signed and approved

by the graduate advisor, department chair, and Graduate Dean. Requests shall indicate the

reason for leaving and expected date of return to the University. The leave of absence is

designed to suspend the requirement for continuous enrollment. It does not affect the

maximum time limitation set for the degree program. Fifteen hours of dissertation credit and

enrollment in at least 3 credits each semester are required until the dissertation is completed.

A minimum of 90 graduate hours beyond the baccalaureate degree must be completed

successfully. A satisfactory level of work is determined by the doctoral faculty. Graduates

may not participate in the commencement ceremonies before acceptance of the dissertation

by the committee, SLIM dean, and Graduate School dean.

4C.02 APPLICATION FOR A DEGREE

4C.0201 UNDERGRADUATE

An application for a degree is made when a student has earned 60-89 hours. Copies may be

found in the department office or Registration. The completed form, signed by the student, the

advisor, and the department chair and submitted to Degree Analysis, becomes the official

agreement between the University and the student regarding the work to be completed for a

major, minor, double major, and second teaching field. The application for degree is submitted

approximately 15 months prior to the expected date of graduation.

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4C.0202 GRADUATE (updated 9/2010)

Eligibility to study in a graduate program is determined by a graduate committee in each

department and by the Dean of the Graduate School. Classifications for eligibility are either

unconditional, conditional (seniors earning graduate credit), or probationary. Students will

receive written notification from their department or the Graduate School of their eligibility

status. Admission to graduate study does not imply admission to candidacy for an advanced

degree.

Notice of intent to graduate must be received by the Graduate School the semester preceding

graduation.

4C.0202.01 DEGREE CANDIDACY (updated 9/2010)

After having been admitted to graduate study with the objective of earning an advanced

degree, the student must apply for and be admitted to candidacy for the degree sought.

Candidacy is the formal approval for pursuit of a graduate degree after it is determined that

all specified preliminary requirements have been met. Procedures and requirements for

admission to candidacy are determined by the department in which the student is

specializing, including the following general requirements:

1) The student must have met the entrance or candidacy requirements of the major

department, and the results must be on file in the Graduate School.

2) The student must have filed a degree plan in the Graduate School during the first

semester of graduate study and the plan must have been approved by the Dean of the

Graduate School.

3) Any probationary requirements must have been removed at the time of admission to

degree candidacy.

4) The student must have completed at least 6 hours of course work on the graduate

program of study before being admitted to degree candidacy.

Admission to degree candidacy is based not only on the minimal standards stated above but

also includes an appraisal of the student's record and potential.

4C.0203 SECOND BACHELOR’S DEGREE

A student may earn the same degree from ESU more than once, provided that each degree has

a different major. The student who wishes to earn a second bachelor’s degree must make

application in Degree Analysis.

A minimum of 30 semester hours of upper division, resident credit must be earned at ESU. This

30 hours is considered to be beyond the hours required for the first bachelor’s degree.

A minimum grade point average of 2.0 must be maintained for the additional work required for

the second bachelor’s degree. This 2.0 is required in all work completed elsewhere as well as

all work completed at ESU. A higher grade point average may be required in some programs.

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A maximum of 4 hours of physical activity credit in both the first and subsequent bachelor’s

degrees may be counted toward requirements for these degrees. Exceptions to this maximum

are allowed if the physical activity credits are a required part of a major, minor, or teaching

field.

The graduate pursuing a second bachelor’s degree from ESU must satisfy the competency

requirements (writing, mathematics, reading) as prescribed by the University and/or

school/college offering the major or teaching field, if they are not already satisfied in the first

bachelor’s degree.

To earn the second bachelor’s degree, the student must have completed all program

requirements as prescribed by the University, the academic school/college, and the department

of the major or teaching field. The general education program completed for the first ESU

bachelor’s degree will satisfy the general education program for the second bachelor’s degree.

However, if the second bachelor’s degree has unique general education requirements not met

by the first degree, the student would need to complete them.

For students holding a non-ESU bachelor’s degree, the Director of General Education will

evaluate the student’s transcript after the student has submitted a formal application and has had

a transcript evaluation performed by Registration. The Director of General Education will

determine if the general education courses taken for the earlier degree meet the overall content,

level, and nature of ESU’s General Education Program for the second degree. In the event that

the transcript does not indicate that these criteria for general education have been met, the

Director of General Education will specify courses that must be completed in order to satisfy

the General Education Program for the second bachelor’s degree. In addition, if the second

bachelor’s degree also has unique general education requirements not met while pursuing the

first degree, the student would need to complete them.

4C.0204 SECOND MASTER’S DEGREE (updated 9/2010)

A department or school may approve a degree plan which includes a maximum of 10 semester

hours of credit from the first master’s degree if a student is earning a second master’s degree.

Any exception to this 10 hour limit must be requested by the chair of the major department and

approved by the Dean of the Graduate School. The second degree program must fulfill all of the

requirements for that particular master's degree.

4C.0205 POSTHUMOUS DEGREE (approved by Deans’ Council 12/14/04; approved by

Administrative Team and President 10/03/05)

A student who dies while actively pursuing a degree at Emporia State University may be

considered for a posthumous degree. Nominations for a posthumous award may be made by

faculty, staff, or family members to the Academic Vice President or University Registrar no

later than close of the following semester for students passing in their final semester at ESU.

To be considered the following must be met:

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• Student has completed an Application for Degree.

• Student was enrolled in his/her final semester, in paid status, and would have met the

degree requirements with the successful completion of their final enrollment.

• Student was in good academic standing.

• Student has no outstanding obligations to the university.

If approved, it will be noted on the transcript and the diploma that it is a posthumous degree and

the degree(s) will be given during their own portion of the graduation ceremony. Posthumously

will be printed directly under the degree.

4C.0205.01 POSTHUMOUS RECOGNITION

If a student dies and does not meet the requirements for a posthumous degree, the student

may be granted “Baccalaureate Recognition” or “Graduate Student Recognition.”

Nominations for posthumous recognition may be made by faculty, staff, or family members

to the Academic Vice President or University Registrar no later than close of the following

semester.

To be considered for Baccalaureate or Graduate Student Recognition the following must be

met:

• Student has declared a major.

• Student was enrolled or pre-enrolled for the next semester.

• Student was in good academic standing.

• Student has no outstanding obligations to the university.

If approved, it will be noted on the transcript and the diploma that the student received

“Baccalaureate Recognition” or “Graduate Student Recognition.”

4C.03 RESIDENT ACADEMIC CREDIT (updated 9/2010)

Course work taken on the ESU campus is considered resident credit. Under certain circumstances,

resident credit may be earned for off-campus study. The amount of credit for each course is

indicated in the class schedule. Distance Education courses taught off-campus may be offered for

resident credit provided the following conditions are met:

1. The course is specifically approved in advance as an off-campus offering for resident credit by

the appropriate department chair and college/school dean (and by the Dean of the Graduate

School if the course carries graduate credit) on the basis that the proposed off-campus course

will be equal to the same course taught on campus.

2. The course is directed by a member of the ESU faculty (graduate faculty if the course carries

graduate credit) who participates in the instruction of the class and assesses the achievement of

the students in the class, recognizing that persons off-campus who are suitably qualified may

be appointed through normal channels as part-time faculty members.

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4C.04 EXTERNAL ACADEMIC CREDIT

4C.0401 TRANSFER CREDIT – UNDERGRADUATE (FSB 92018 approved by

President 8/6/93; FSB 15003 approved by Interim President 11/03/2015)

Degree candidates and transfer students may take work at other accredited 2 year and 4 year

colleges and have it transferred to ESU. This should be done by requesting that the previous

college send an official transcript of the work taken to the Registration office at ESU.

Only the passing grades are accepted for credit. All grades, including failing grades, are used

in determining the student’s grade point average with the exception of the grades of P (pass) and

S (satisfactory).

Students who have a minimum of a 2.0 cumulative grade point average for all previous credits

earned at other 2 year and 4 year colleges will be admitted unconditionally.

Students who transfer from 2 year colleges must take at least 60 hours of work at a 4 year

college, 30 of which must be at ESU, to receive a bachelor’s degree.

Students who transfer work to ESU should read the resident requirements carefully and make

sure that their pattern of courses will meet the ESU degree requirements.

Students who transfer in F or D grades for courses whose equivalents at ESU are not

comparable in credit hours may select one of the following options:

1. The student may choose to let the remaining hour(s) of poor grade(s) stand as is.

2. The student may choose to take an additional course to improve the grade in those remaining

hour(s).

Courses numbered 100 or 200 at another 4 year institution but which transfer as equivalents to

upper-division ESU courses will satisfy university requirements.

4C.0401.01 STUDENT TRANSFER APPEALS PROCESS

A student may appeal how a course from another institution transferred for credit toward

requirements in the major by requesting a re-evaluation. The student must provide a syllabus

of the course to the Registrar, who will forward it to the chair of the appropriate department.

The recommendation of the chair shall be forwarded to the dean of the college, who shall

make a determination on the transferability of the course. The decision of the dean shall be

final.

A student may appeal how a course from another institution transferred for credit toward

General Education by requesting a re-evaluation. The student must provide a syllabus of the

course to the Registrar, who will forward it to the chair of the appropriate department. The

recommendation of the chair shall be forwarded to the General Education committee, which

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shall make a determination on the transferability of the course. The decision of the

committee shall be final.

Student should address any further questions about the appeals process to the Registrar’s

office.

4C.0401.02 ARTICULATION (TRANSFER) AGREEMENT (adopted BOR 4/17/97)

Emporia State University has joined with all the representatives of the public institutions of

higher education in the State of Kansas in adopting the following transfer agreement

terminating with the end of the 2002-2003 academic year.

A student who completes an Associate of Arts or Associate of Science degree based on

a baccalaureate oriented sequence at a state and regionally accredited Kansas public

community college, and whose program of study has met the requirements of the Kansas

Public Community College-Kansas Regents Transfer Agreement and Articulation Guide,

will be accepted with junior standing and will have satisfied the general education

requirements of all Regents universities. Students transferring to Regents institutions who

have not completed an Associate of Arts or Associate of Science degree will be given

general education credit for any articulated general education course completed at the

community college.

Points of clarification about this agreement and how it applies to general education

requirements at ESU are available from the Director of General Education.

4C.0402 TRANSFER CREDIT – GRADUATE (Revised, passed by Graduate Council

1/21/2010; approved by Provost 1/24/2010; updated 9/2010; Revised by Graduate

Council 2/19/2015; approved by Provost 2/20/2015)

Graduate credit earned in regionally accredited institutions may be transferred for credit toward

the Master's, Specialist in Education, or Doctoral degrees subject to the following conditions:

1) No more than 9 semester hours of credit may be transferred into an ESU program requiring

fewer than 40 hours of graduate coursework, or 15 into an ESU program requiring 40 or

more hours of graduate coursework.. Individual programs may reduce this limit at their

discretion.

2) A grade of B- or higher must have been earned in all such transfer credit.

3) Official transcripts of all transfer work must be on file in the Graduate School prior to

submitting degree plans.

4) Transfer courses must be approved by the chair of the major department and the Dean of the

Graduate School and Distance Education.

5) The transfer credit must be applicable toward a graduate degree at the University at which

the course work was taken.

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4C.0403 CORRESPONDENCE STUDY

Students may not repeat courses by correspondence to raise the grade received in a course

previously taken in residence. Correspondence credit may be used to fulfill requirements

leading toward a bachelor's degree, although not more than one-fourth of the credit needed for

such a degree may be correspondence credit.

4C.0404 CREDIT OFFERINGS IN COOPERATION WITH ORGANIZATIONS

OUTSIDE THE UNIVERSITY

Departments may provide formal credit offerings (e.g., workshop, seminar) from professional

organizations as they meet on our campus or under the sponsorship of a non-University

organization. The course offered for credit must be clearly within the authorized offerings of

the department and it must be conducted by the University. The University cannot give credit

for an in-house experience provided by some other entity. There must be a designated director

of the course from the University staff (or someone specifically hired to be the director not from

the organization) and the University must control program content, staffing, evaluation of work

of participants, and assigning of grades and credit. Time set aside for business meetings and

other gatherings conducted by the outside group is not considered part of the time and activity

of awarding credit.

4C.05 LIFE EXPERIENCE CREDIT (FSB 92007 approved by President 5/14/93)

Life experience credit will not be granted at ESU. There are adequate test-out procedures to

accommodate students with knowledge gained from life experience.

4C.06 MILITARY SERVICE CREDIT

Students who have previously served in the U.S. armed forces may be allowed some college credit

for their military experience. General elective credit is allowed in the amount of 1 credit per 6

months of active duty for a maximum of 8 credits. Credit may be allowed for certain service schools

completed. The equivalent of 1 semester of college work is the maximum of credit allowed for

military service.

Students who desire to receive military credit should submit a DD214 form or its equivalent to

Registration.

The University will accept college level correspondence credit taken through the United States

Armed Forces institute in accordance with the same regulations that govern students taking

correspondence work through the correspondence study center at the University of Kansas.

4C.07 INTERNATIONAL BACCALAUREATE DIPLOMA

Emporia State University awards credit or advanced standing placement for Higher-Level Pass only.

Credit is not granted for the Subsidiary Pass or Diploma Program. Additional information is

available from International Education.

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4C.08 MINIMAL COMPETENCY EXAMINATION REQUIREMENT FOR TEACHER

EDUCATION STUDENTS (FSB 77002 approved 11/15/77; FSB 77008 approved by

President 7/7/78; FSR 83005 approved by the President 6/27/84; FSB 86015 approved by

the President 3/26/87; FSB 96004 approved by the President 4/16/97; recommended by

General Education Council, 3/8/00; approved by Vice President for Academic Affairs,

5/12/00; recommended by General Education Council, 2/14/02; approved by Vice President

for Academic Affairs, 4/19/01; recommended by General Education Council, approved by

Vice President for Academic Affairs; 3/15/05; recommended by General Education Council,

approved by Vice President for Academic Affairs 10/27/05; recommended by General

Education Council, approved by Vice President for Academic Affairs 6/4/07; FSB 14014

approved by President 5/15/2015; FSB 15018 approved by President 6/9/2016)

Teacher candidates seeking a degree in elementary, secondary, middle level, or PK-12 teaching field

must demonstrate competency in reading, writing, and mathematics by passing the PRAXIS-CORE

or the Collegiate Assessment of Academic Proficiency (CAAP) before admission to the teacher

education program. A candidate who passes two test areas but score below the cut-off score in one

test area–mathematics, reading, or writing–may be considered for the PRAXIS-CORE or CAAP

Window.

Qualifying for the Window:

1. A number equaling 10% of the total of candidates admitted per semester (elementary and

secondary combined) can be admitted through the window.

2. The candidate must have met all other entrance requirements to qualify for the window.

3. The candidate must have met the cut-off scores on 2 of the 3 competency exams (CORE or

CAAP), and be within 2 points of the cut-off score on the third exam.

4. The testing area (writing, math, reading) in which the candidate is within 2 points of the cut-

off score is the window area. If the candidate has qualified for the window in an area, the

candidate must then meet one of the criteria listed below under the appropriate testing area

(writing, math, or reading). There can be only one window area.

Criteria for Using the Window:

1. Writing Window

a. Earning a grade of A minus oin EG 102 (Composition II) in a resident, on-campus class.

b. Earning a grade of A minus or higher in a course equivalent to EG 102 from another

accredited university or community college.

c. Earning a grade of C or higher in an approved ESU writing-intensive course.

d. Completing the Writing Center requirements.

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2. Mathematics Window

a. Earning a grade of A minus or higher in MA 110 (College Algebra) in a resident, on-

campus class.

b. Earning a grade of A minus or higher in a course equivalent to MA 110 from another

accredited university or community college.

c Earning a grade of C or higher in any approved mathematics course beyond MA 110.

d. Completing the Mathematics Lab requirements.

3. Reading Window

a. Achieving a reading score of at least 18 on the ACT Assessment.

b. Completing the ESU General Education requirements with a grade of B minus or better

in each course.

c. Earning an equivalent score on any test for which there is a published concordance with

the ACT.

d. Completing the Reading Lab requirements.

Candidates choosing any of the “d” options above will attend the respective lab for a length of

time designated by that lab. In the lab, diagnostic testing will be performed, remediation will

take place, and the student will take an appropriate test again. Passing scores in lab tests fulfill

the requirement.

Teacher candidates should take the examinations during their sophomore or junior year. Standards

for passing the examinations have been established by the Council on Teacher Education. There is

no limit to the number of times a candidate may take the examination.

4C.09 DEVELOPMENTAL COURSE POLICY (approved by Deans’ Council 3/99; affirmed

by FSR 01012 3/5/02; FSB 10011 approved by President 4/27/2011)

This policy applies to students whose skills in the area of reading, writing, or mathematics need to

be improved in order for them to be academically successful.

A. A student who is found to need developmental course work should enroll in the course(s) during

his/her first semester and should re-enroll each semester until the requirements are successfully

completed.

B. Students who are found to need developmental course work may not enroll in a more advanced

course in the same discipline as the developmental course until the developmental course is

successfully completed.

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C. The advising responsibility for students with developmental course requirements should remain

in the Student Advising Center until the development course requirements are met.

4C.10 ENGLISH PROFICIENCY TESTING AND PLACEMENT REQUIREMENTS FOR

INTERNATIONAL STUDENTS (FSB 14013 approved by President 5/01/2015)

The University has established certain standards with regard to English proficiency which non-

native speakers of English must meet. The University offers an Intensive English Program designed

to meet the specific needs of international students in preparing them for academic study. For all

international students whose native language is not English, the following items are pertinent.

All international students who have been accepted for admission but who have not submitted at the

time of application the results of a recognized English-proficiency exam or submit scores below

those required for admission will take a diagnostic test of English proficiency upon arrival at

Emporia State University. The test is administered prior to the beginning of each semester. The

results of this English proficiency test will be used to determine the student’s placement in intensive

English and/or other academic courses. If the scores on all parts of this exam are satisfactory, new

students may enroll full time in academic courses. However, new students who are deficient in any

skill area must enroll in the Intensive English Program (IEP) . Students will take IEP courses

sequentially and must satisfy the requirements of a level before admission to the next. If initially

placed in a beginner level course, students will, upon satisfactory completion of the course, move

to the intermediate level; if initially placed in an advanced level course, students will, upon

satisfactory completion, be exempt from IEP placement in that skill area.

4C.1001 UNDERGRADUATE

Students placed in IEP can advance or become exempt by satisfactorily completing the

course(s) in which they are enrolled. They can also exit all but writing courses at the end of a

given term by demonstrating the prescribed minimum English-proficiency scores on recognized

English-proficiency exams.

4C.1002 GRADUATE

The following guidelines are used to verify the English proficiency of graduate students being

admitted to ESU. These guidelines are subject to change by official action of the appropriate

governance bodies: a) verification that the applicant’s native language is English by

confirmation that the applicant is (1) a native of a English-speaking country (Antigua, Australia,

Bahamas, Bahrain, Bangladesh, Barbados, Barbuda, Belize, Bermuda, Botswana, Canada

(except Quebec), Commonwealth Caribbean, Dominica, Fiji, Ghana, Grand Cayman Islands,

Granada, Guyana, Irish Republic, Jamaica, Kenya, Lesotho, Liberia, Malawi, New Zealand,

Nigeria, Papua New Guinea, Sierra Leone, Singapore, South Africa, St. Kitts & Nevis, St.

Lucia, St. Vincent & Grenadines, Swaziland, Tanzania, Tobago, Trinidad, Uganda, United

Kingdom, United States, Virgin Islands, Zambia, and Zimbabwe), and (2) grew up speaking

English in his or her home.

A minimum TOEFL (iBT) score of 90 (or equivalent score on other recognized tests) is needed

to be exempted from testing by the Intensive English Program (IEP) and for admission to a

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graduate degree program. Graduate students with TOEFL scores between 79 and 89 (or

equivalent scores on other recognized tests) must enroll in the graduate level IEP course IE 075,

Communication Skills for International Students. Students enrolling in this course may be

subject to placement in Intensive English Program (IEP) Intermediate or Advanced Writing.

If the diagnostic test they take in IE 075 shows they need instruction of the developmental level,

they will be placed in the appropriate IEP writing course and must then meet the IEP

requirements for advancement and/or exemption.

4C.1003 GRADUATE AND UNDERGRADUATE STUDENTS

Undergraduate and graduate students may exit the IEP by achieving minimum scores required

for admission on a recognized English-proficiency exam. In that event, the student may exit

the IEP after completing the semester. The exit-by-exam option is not available to students who

have delayed a required IEP course or students on academic probation, placed on academic

probation, or who have withdrawn from ESU. In addition, this option does not apply to IE 075

Communication Skills for International Students once a student has been placed in this course.

4D. SCHOLASTIC STANDING (FSB 10010 approved by President 4/27/2011)

4D.01 SATISFACTORY ACADEMIC PROGRESS

ESU is committed to the philosophy that students who receive financial aid must make satisfactory

academic progress toward the completion of degree requirements. To be in compliance with federal

regulations, 4 measures will be used to track that progress: cumulative grade point achievement,

time frame that it takes to complete a degree, minimum number of credits completed each term, and

the number of attempts of a single course. For specific information contact Financial Aid and

request the detailed satisfactory academic progress information.

4D.02 GOOD SCHOLASTIC STANDING

A student is in good standing when the following cumulative grade point average or higher is

achieved:

Freshmen (under 30 semester hours) 1.8

Sophomores (30-59 semester hours) 2.0

Juniors (60-89 semester hours) 2.0

Seniors (90 or more semester hours) 2.0

The criteria for awarding financial aid, which are partly determined by federal regulations, may be

more stringent than the criteria to be in good scholastic standing. To graduate, students must have

an overall grade point average of at least 2.00 (transfer work included) and a grade point average

of at least 2.00 overall for all work taken at Emporia State University.

4D.03 SCHOLASTIC PROBATION

When the cumulative GPA falls below the levels described above the student will be placed on

scholastic probation after attempting a minimum of 12 semester hours. This indicates serious

deficiency in the student's progress toward a degree. A student who is placed on probation and

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achieves a 2.00 GPA the following semester will be continued on probation if the required CGPA

is not achieved. If the required CGPA for good scholastic standing is met, the student will be

removed from probation.

4D.0301 REQUIRED WITHDRAWAL

If the student fails to achieve a minimum 2.00 GPA the following semester and fails to achieve

the required CGPA, he/she will be required to withdraw from the University. Students may

petition for immediate reinstatement in writing. If the appropriate committee then denies a

request for reinstatement, the student is not eligible for enrollment in any class or course for the

next term in any department.

4D.0301.01 READMITTANCE AFTER REQUIRED WITHDRAWAL (FSB 84026

approved by President 5/23/85)

If a student is required to withdraw for academic reasons from Emporia State University and

it is the 3rd required withdrawal that student may not reapply until after one spring or fall

semester has passed from the date of his/her required withdrawal. If the required withdrawal

is not the student’s 3

from Emporia State University, the student may petition for

reinstatement only in accordance with the following procedure.

1. The student shall apply in writing to the chair of the department in which he/she intends

to major upon being readmitted. The chair of the department shall institute a

reinstatement committee from among the faculty to consider the request and reach a

decision. For students without a declared major, the student shall apply in writing to the

Director of the Student Advising Center and the director shall institute a committee to

consider the student’s request.

2. The reinstatement committee shall forward its decision for or against reinstatement

(clearly noting its reasons) to the Registrar. The Registrar shall notify the student of the

committee’s decision.

3. If the request for reinstatement is denied, the applicant shall not be permitted to enroll

in any class or course for the next term in any department. The student can reapply after

one spring or fall semester has passed from the date of denial. If the student chooses to

reapply, the application will follow the above procedure.

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4D.04 SCHOLASTIC STANDING – GRADUATE (revised by Graduate Council 1/20/2011;

approved by Provost 1/27/2011; revised by Graduate Council 9/20/ 2012; approved by

Interim Provost 10/18/2012; revised by Graduate Council 1/17/2013; revised by Graduate

Council 2/19/2015; approved by Provost 2/20/2015)

To qualify for an assistantship, an applicant must have a minimum undergraduate (4 year) grade

point average of 2.5 or 2.75 for the last 2 years of undergraduate study, based on a 4.0 system.

To qualify for an Academic Achievement Award, an applicant must hold a baccalaureate degree,

have a minimum undergraduate (4 year) grade point average of 3.0 based on a 4.0 system, and have

1 full year of graduate work remaining to be completed.

Graduate assistants are required to show normal academic progress (3.00 grade point average) each

semester (fall and spring only) in which they hold an assistantship. When a student’s semester grade

point average (GPA) falls below 3.00, the student will be placed on academic probation and may

be dismissed from his/her graduate assistantship position at the discretion of the department. Two

consecutive semesters of a GPA below 3.0 will result in termination of the graduate assistantship.

When a student’s semester GPA falls below 2.5, the graduate assistantship will be terminated; the

department may reappoint the student to a graduate assistantship when the student’s cumulative

GPA is 3.00 or better and the most recent semester GPA is 3.0 or better. (passed by Graduate

Council 3/18/04; approved by Vice President for Academic Affairs 4/9/04)

Candidates for the Specialist in Education degrees may use no grade lower than B or P in meeting

degree requirements.

Candidates for the Master of Accountancy, Master of Arts, Master of Business Administration,

Master of Education, Master of Science, Master of Music and Master of Library Science degrees

must earn a grade point average of B (3.0) in all courses used for the degree. A grade of A, B,

(inclusive of B-) or P (no C, D or F grades) may be used in 500 and 600 level courses, and no grade

lower than C may be used in other graduate classes. P grades will not be calculated in the GPA.

Courses in which grades of C, D or F are earned may be retaken. Only those courses in which a

grade of B (inclusive of B-) or higher has been earned may be transferred from another institution.

Courses in which P grades have been earned may be transferred from another accredited college or

university, but the total of transfer P grades and P grades earned at ESU used to meet degree

requirements cannot exceed two-fifths of the total credit hours for the degree. Although transfer

credit may be accepted and used on the degree plan, no grades earned on transfer credit may be used

in determining grade point averages.

4E. CLASSROOM INSTRUCTION

4E.01 FACULTY TEACHING LOAD AND OTHER PRIMARY DUTIES (FSB 08013 passed

by Faculty Senate 4/28/09; approved by President 4/29/09)

The standard teaching load for full-time tenured and tenure-track faculty members in all colleges

and schools of Emporia State University is 12 undergraduate credit hours or its equivalent per

semester. For undergraduate courses each credit hour has a teaching load value of .083, therefore

12 undergraduate credit hours times .083 represents 1.0 load. For graduate courses the value is .111,

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thus 9 graduate credit hours times .111 represents 1.0 load. A faculty member’s load for teaching

and other primary duties should normally be averaged over one academic year.

A faculty member’s load for teaching duties may be adjusted as determined collectively by the

faculty member’s academic unit in accordance with approved applicable written policies of the

academic unit and/or University. These adjustments to load for specific teaching or student

supervisory activities may include but are not limited to supervision of graduate student research,

team taught courses, independent study courses, time-intensive or laboratory courses, and

supervision of practicums, internships, and student teachers.

Faculty members may receive reassigned time for other primary duties that may include but are not

limited to administrative duties, advising duties, research or creative activities, service activities, and

directorships. The chair of the academic unit, with approval of the respective dean, will determine

reassigned time to individual faculty members.

Non-tenure-track faculty (lecturers, adjuncts, etc.) will be assigned loads for teaching and other

primary duties as determined by the academic unit’s chair.

4E.02 TRAINING AND SUPERVISION OF GRADUATE TEACHING ASSISTANTS (FSB

15007 approved by President 1/29/2016)

A Graduate Teaching Assistant (GTA) serves an instructional role in a class or laboratory offered

by an academic unit for credit. The GTA need not be the instructor of record. Duties may include

actual instruction; leading discussion sessions, conducting help and/or tutoring sessions; assisting

with laboratory setup; helping faculty prepare lectures and course materials; grading papers, exams,

laboratory reports, projects and class homework; coaching; and performing other duties pertaining

to the instructional mission of ESU.

All teaching assistants are required to complete course work, or equivalent, in instruction provided

by their respective department to assure knowledge of the teaching processes and effective

instruction. This factor is a condition of employment. Exemptions may only be granted by the Dean

of the Graduate School (contact the Graduate School to clarify exemption guidelines).

4E.03 TEXTBOOK AMD COURSE MATERIAL SELECTION

Textbook and course material selection is the prerogative of the individual faculty member acting

in accordance with the selection procedures established by the departmental selection procedures.

The Bookstore in the Memorial Student Union has procedures for ordering textbooks and other

materials. Textbooks may also be ordered through other bookstores including those online.

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4E.0301 USE OF CONTROVERSIAL MATERIAL IN INSTRUCTION, INCLUDING

THE USE OF SEXUALLY EXPLICIT MATERIALS IN INSTRUCTION (FSR

03004 passed by Faculty Senate 12/2/03; approved by President, 12/3/03; Policy

Statement adopted by Board of Regents 12/28/03)

Emporia State University recognizes that with academic freedom comes academic

responsibility. To that end, it accepts as its policy the Kansas Board of Regents’ Policy

Statement on the Use of Controversial Material in Instruction, Including the Use of Sexually

Explicit Materials in Instruction.

The Kansas Board of Regents recognizes that academic freedom must be balanced by academic

responsibility. Therefore, it is the policy of the Kansas Board of Regents to require each

institution within its jurisdiction to adopt the following set of precepts on the use of sexually

explicit materials, the teaching about pedophilia and the conduct and management of courses

relative to these topics:

“Students are entitled to an atmosphere conducive to learning and to even-handed

treatment in all aspects of the teacher-student relationship. Faculty members may not

refuse to enroll or teach students on the grounds of their beliefs or the possible uses to

which they may put the knowledge to be gained in a course. Students should not be

forced by the authority inherent in the instructional role to make particular personal

choices as to political action or their own social behavior. Evaluation of students and

the award of credit must be based on academic performance professionally judged and

not on matters irrelevant to that performance, whether personality, race, religion, degree

of political activism, or personal beliefs.

It is the mastery teachers have of their subjects and their own scholarship that entitles

them to their classrooms and to freedom in the presentation of their subjects. Thus, it

is improper for an instructor persistently to intrude material that has no relation to the

subject, or to fail to present the subject matter of the course as announced to the students

and as approved by the faculty in their collective responsibility for the curriculum.”*

Each Regents university will ensure that existing policy governing sexual harassment is

accessible for the purpose of addressing such issues as they might arise from course content or

pedagogy. Campus policies on sexual harassment and on the use of sexually explicit materials

in instruction will be placed on file with the Kansas Board of Regents. (2003 Session Laws of

Kansas, Chapter 160, Section 45(b), __-__-03.)

* Excerpted from the AAUP’s 1970 Statement on Freedom and Responsibility.

4E.0302 SOLICITED AND UNSOLICITED TEXTBOOKS AND MATERIALS

The State of Kansas has determined that all books/educational materials provided at no cost to

any faculty or staff member are state property and cannot be sold by the individual.

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4E.04 CLASS SCHEDULE POLICY (FSB 15011 passed by Faculty Senate 2/16/2016; approved

by President 2/26/2016)

The scheduling of class meetings as specified in the university Class Schedule as published through

Registration cannot be arbitrarily changed after the official enrollment has closed. Any change to

the semester scheduling of class meetings must receive approval from the head of the academic unit

and the dean of the school/college. If the location of the class is permanently changed, the head of

the academic unit must approve the change and notify Registration.

4E.05 GUIDELINES FOR COURSES

4E.0501 DEFINITION OF A CREDIT HOUR (FSB 11002 passed by Faculty Senate

11/01/2011; approved by President 11/07/2011; updated 10/2/2013; FSB 15008

approved by President 1/29/2016))

One on-campus class credit is defined as 1 class hour (50 minutes) of classroom or direct faculty

instruction per week and a minimum of 2 class hours of out-of-class student work each week

for a minimum of 15 weeks. Courses with shorter or longer duration would have the number

of class hours per week adjusted so as to be equivalent to the work done in 15 weeks.

One distance learning class credit is defined as an equivalent amount of instruction and student

work leading to equivalent learning outcomes, as required for an on-campus class as defined

above.

One laboratory credit is defined as a minimum of 2 class hours of work each week in a

laboratory under the supervision of a lab supervisor or instruction and an expectation of 1 class

hour of additional out-of- class student work each week.

This policy notes that formal instruction may take place in a variety of modes. Other venues

for student learning would generally use the definition of 4 class hours per week as equivalent

to 1 class credit. These other venues might include field experiences, music ensembles, studio

experiences, and practicum experiences. At least some of these class hours would be under the

direct supervision of an instructor, who ultimately assigns a grade for the experience.

Enrollment for 15 class credits in a semester would thus require approximately 45 hours of work

per week, on average, over the course of a 15 week semester for a typical undergraduate

student. It is expected that the academic work required of graduate and professional students

will exceed 3 hours per credit per week.

This policy stresses the need for flexibility required by new modes of instruction and scheduling

and the need for consistency in transferring class credits among institutions. The responsibility

for protecting the academic integrity of curricula, programs, and schedules resides in the office

of the Provost and Vice President for Academic Affairs.

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4E.0502 LOW ENROLLMENT POLICY (FSB 08009 passed by Faculty Senate 04/07/09;

approved by President 04/10/09)

Emporia State University has an interest in ensuring that teaching resources are allocated and

used wisely. Thus, the University asks each department to evaluate the need and desirability

of its course offerings that have low enrollment.

The University considers undergraduate lower division courses (000-200) with fewer than 15

students, undergraduate upper division courses (300-600) with fewer than 10, and graduate

courses (700-900) with fewer than 5 as having low enrollment. The combined enrollment of

double numbered courses will be evaluated at the lower course number of the 2 course numbers.

The following categories of courses will ordinarily be excluded from consideration:

• courses that are offered as individualized instruction similar to independent study,

research, thesis, or dissertation,

• practicum and internship courses,

• courses constrained in enrollment by limitations of space or other facilities,

• courses constrained by accreditation, professional licensure or endorsement, and,

• courses funded by external sources or endowment.

Departments may choose to begin monitoring enrollment during the early registration period.

The deans in the respective schools or colleges must maintain an on-going review of enrollment,

and contact departments whenever there are concerns. Written requests for the continuation of

a course along with reasons should be sent to the dean of the respective department prior to the

beginning of the term in which the course is to be offered.

The chair of a department, the dean of the respective college, and relevant faculty must discuss

courses with an established pattern of low enrollment. The dean may allow the continuation of

a course if, for example,

• the course is required within the curricular needs of the department, or

• the course is 1 of 2 or more courses that are part of a sequence of required courses, or

• the course offers unusual research or study opportunities to students, or

• the course is new and needs time to generate student interest.

In deciding to cancel a course because of low enrollment, the chair and respective dean should

also consider, in consultation with the faculty member, what other duties are available to that

faculty member for that semester. The other duties must not unduly affect the faculty member’s

other teaching, research, or service obligations.

4E.0503 GRADUATE CREDIT FOR SHORT COURSES (approved by BOR 3/16/89;

updated 9/2010)

For each unit of graduate credit in intensive courses of short duration (e.g., workshops, skills,

didactic or other special courses), there should be at least 15 hours of direct instruction together

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with the usual amount of out-of-class scholarly work. Direct instruction should extend over a

period of at least 3 days per credit, with no more than 1 credit earned per week. In rare

instances, the Dean of the Graduate School may authorize exceptions in advance, provided there

is documentation that the requirements for direct instruction and outside work are met. Course

publicity will indicate the nature of the outside work in sufficient detail as to indicate a

reasonable understanding of the amount of work involved for a typical student, as well as a date

for completion of the work.

4E.0504 ACADEMIC EXTENSION (approved by BOR 6/24/99)

Academic Extension refers to extending University services beyond the physical boundaries of

the campus. These may be offered for credit, noncredit, or continuing education units.

4E.0504.01 GEOGRAPHIC JURISDICTION (Service Areas)

Kansas is divided into 3 geographic areas with Emporia State University and Wichita State

University sharing 1 geographic area. The university closest to the offering site has first

right to serve. Shawnee County is served by KU, KSU, ESU, and Washburn. The service

areas apply to programs delivered face-to-face and not to distance education programs.

Approval must be granted by the institutions in a specific service area for Emporia State

University to provide face-to-face credit or noncredit offerings in that area.

4E.0504.02 BASE AND NONBASE CREDIT ACADEMIC EXTENSION COURSES

Base Credit Academic Extension refers to courses that receive state funding, that are offered

for credit, and where the majority of instruction occurs at sites physically located off the

institution’s campus.

Nonbase Credit Academic Extension refers to educational activities (e.g., workshops,

seminars, conferences, courses) for which a fee is charged. These activities receive no direct

financial support from the state. Courses offered out-of-state to non-Kansas residents are

considered nonbase.

4E.0504.03 NONCREDIT ACADEMIC EXTENSION

Noncredit Academic Extension refers to educational activities for which a fee is charged

(e.g., workshops, seminars, conferences, short courses) offered for continuing education

units or without academic credit. These activities receive no direct financial support from

the state.

4E.0504.04 ACADEMIC EXTENSION SPECIALTY PROGRAM

An Academic Extension Specialty Program is a sequence of off-campus face-to-face courses

that may be base or nonbase, credit or noncredit, and that has been approved for delivery at

a specific location or locations outside the University’s approved geographic service area.

The offerings may be approved for up to 10 years.

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4E.0505 DISTANCE EDUCATION

A distance education program is a curriculum comprised entirely of distance education courses.

Distance education courses are those in which faculty and students are physically separated in

place or time and in which two-thirds or more of the instruction is provided via some form of

mediated delivery system (i.e., 10 or more hours of instruction per credit hour are delivered via

audio or videotape, live interactive video, CD-ROM, the web).

4E.06 FACULTY PARTICIPATION IN ASSESSMENT OF STUDENT LEARNING (FSB

16011 approved by President 5/9/2017)

Emporia State University strives for the highest quality in its academic programs. Therefore, faculty

members should ensure that expected course learning outcomes align with the corresponding

faculty-determined program’s learning outcomes as developed collectively by the program’s faculty

members. All faculty are expected to assess their students’ attainment of those expected outcomes,

to report faculty-determined assessment results as appropriate, and to use assessment information

to improve learning.

4E.07 PROVIDING STUDENTS WITH SYLLABI (FSB 03011 approved by President 4/12/04;

FSB 10003 approved by President 11/29/2010; FSB 14015 approved by Interim President

7/22/2015)

For each class taught, faculty will make a syllabus available to students within one week of the start

date of those classes as listed in the University Class Schedule. For courses that meet less than a full

semester, a syllabus will be made available by the second class day. Furthermore, all syllabi must

include statements regarding the course’s learning outcomes (aligned with the corresponding

program learning outcomes where appropriate), the criteria set forth for grades (Plus/Minus Grading

System), student accommodations for disabilities (Student Accommodations Statement in Syllabi),

and how acts of academic dishonesty will be handled (Academic Dishonesty Policy). In addition,

if excessive absenteeism affects a student’s grade, then the syllabus must include a statement about

the manner in which excessive absenteeism affects the grade (Student Conduct and Effect on Grade).

4E.08 FACULTY OFFICE HOURS (Revised, FSB 09008 passed by Faculty Senate 1/19/2010;

approved by President 1/22/2010; FSB 15009 approved by President 1/29/2016)

During each semester that they teach, full-time faculty members will establish office hours

proportional to their teaching load, rounded up to the nearest hour, up to 5 scheduled office hours

per week for those teaching a full load, as determined by the academic unit. During those hours

faculty will ordinarily be available to students for consultation. The scheduling of office hours will

take into account the students’ convenience in time, location, and format, which may include face-

to-face or electronic communication (e.g., email, learning management systems, websites, or other

communication media). A full-time faculty members will also be available up to 2 hours per week

to meet by special appointment with students who are unable to meet during scheduled office hours.

Faculty members may establish more than 5 scheduled office hours and may hold more than 2

special appointment hours per week. The head of an academic unit may not require faculty members

to establish more than 5 scheduled office hours and more than 2 special appointment hours per week,

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unless the additional hours are part of a chronic low performance plan. During the first week of a

course, all full-time faculty members will communicate their office hours to students and the head

of the academic unit. Each academic unit head is responsible for ensuring policy compliance.

4E.09 CLASS ROSTERS (revised by Registrar 4/19/04; 5/24/12)

Class rosters list enrolled in and withdrawn students along with their major and classification. Class

rosters are available in Buzz In. Faculty are encouraged to check rosters frequently.

4E.10 AUDITING (updated 9/2010)

Students may audit a course if special arrangements are made with the Registrar and the instructor

before the 10th day of the semester. For courses meeting less than a full semester, the student must

initiate audit enrollment by no later than the 3rd class meeting. Audited courses may not be used

to satisfy course or credit hour requirements toward a degree.

Courses enrolled in for audit credit do not count in computing minimum course load requirements

for graduate assistants. Any exception to these regulations must be requested by the chair of the

major department and approved prior to enrollment by the Dean of the Graduate School.

4E.11 GUESTS IN CLASS

A guest is considered a person who is not enrolled, pays no fee and typically wishes to attend only

a part of the class meetings. With permission of the instructor, a person may be admitted to a class

as a guest for not more than 5 class meetings or a of the total, whichever is less.

4E.12 USE OF RECORDING INSTRUMENTS IN CLASS

Students may use recording instruments in class with the permission of the instructor.

4E.13 ABSENCES

4E.1301 STUDENT ABSENCES

When a student has been absent or desires to be absent from class for any reason, it is his/her

responsibility to consult with the instructor concerning the reason for the absence. The

instructor, in turn, has the prerogative of requiring the student to make up, in some appropriate

and reasonable way, the work missed during the absence. Faculty members who take students

on school-sponsored trips should attempt to plan the trip to minimize the number of classes

which students must miss.

4E.1301.01 EFFECT ON GRADE (FSB 76006; FSB 80005 approved by President

1/12/81; FSB 15012 approved by President 2/26/2016)

Regular class attendance is crucial to the development of a student's knowledge and skills.

For online classes, “attendance” will be defined by the course instructor. If excessive

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absences (lack of attendance) impair the development of such knowledge and skills, or

diminish a student's role or cumulative achievement in a class, the instructor has the right to

reflect this judgment in the student's grades. An instructor who reserves the right to make

such a judgment must specify in the course syllabus the manner in which lack of attendance

will affect grades.

4E.1301.02 ACADEMIC APPEALS FOR ABSENCES (revised 1/5/2011; updated

10/2/2013)

Any student who feels he/she has been dealt with unfairly concerning absences or

misinformed by a faculty member regarding the faculty member's absence policy or the

department's mediation procedures, has a valid reason for academic appeal through

established procedures. (See Academic Appeals Policy for specific procedures to follow.

The procedure also is available in the department office, the Student Handbook, and the

office of the Dean of Students.)

4E.1302 FACULTY ABSENCES (FSB 15014 approved by President 2/26/2016)

It is the responsibility of a faculty member to follow the academic calendar and the class

schedule for both face-to-face and online classes. If the faculty member cannot meet those

obligations, the head of the academic unit must be notified prior to the class meeting or

obligation. Prior arrangements should be made for another person to be in charge of the class

or an appropriate assignment should be developed. In emergency situations, in which prior

notification is not possible, a notification of absence should be made as soon as possible.

4E.14 GRADES

4E.1401 MEANING OF GRADES

4E.1401.01 PLUS/MINUS GRADING SYSTEM (FSB 95001 approved by President

2/9/96; FSB 98012 approved by President 5/5/99; FSB 14001 approved by

President 10/21/2014; FSB 17006 approved by President 8/6/2018)

Grades are assigned the following meaning: A (Superior), B (Good), C (Average), D (Poor),

F (Failure), XF (Failure due to academic dishonesty), W (Withdrawal), I (Incomplete), IP

(In Progress), N (No Credit), P (Pass), S (Satisfactory), U (Unsatisfactory), T (class in

progress), Y (no grade given by instructor), and V (Visitor or Audit).

Grade points will be computed on the following scale: A=4.0, A-=3.7, B+=3.3, B=3.0,

B-=2.7, C+=2.3, C=2.0, D=1.0, F=0, XF=0. The grades P, W, I, IP, V, N, S, T, and Y are

not counted in the grade point calculation.

Grades will be assigned by the course instructor to best represent the student’s work quality

as appropriate for each course. The criteria for grade determination will clearly be stated in

the course syllabus.

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4E.1401.01.01 SATISFACTORY/UNSATISFACTORY MIDTERM GRADE

OPTIONS (FSB 02012 approved by President 4/30/03)

Classes which currently have computer system letter grade options shall include S

(satisfactory) and U (Unsatisfactory) with the A (Superior), B (Good), C (Average), D

(Poor), F (Failure) midterm grade alternatives.

4E.1401.02 IN PROGRESS (IP) GRADE (FSB 97003 approved by President, 2/24/98;

FSB 01010 approved by President, 4/4/02; FSB 03007 approved by President

3/30/04)

In Progress, IP, grade extensions are used in graduate and undergraduate classes identified

by the college/school as requiring graduate or undergraduate work that extends beyond one

semester. IP grades may be extended each semester at the discretion of the faculty member

in charge. A final course grade must be submitted for the course(s) by the end of the

semester the student graduates. Upon the graduate student’s completion of a non-thesis

degree program, any thesis credit hours for which a grade has not been received will be

transformed from IP grades to W grades. The University Registrar’s office will notify

department chairs of students with IP grades. The chair of each department will contact the

faculty member issuing the IP grade(s) to determine if the IP grade(s) needs to be extended

for an additional semester.

4E.1401.03 PASS-NO CREDIT

The basic purpose of the pass-no credit option is to encourage students to elect interesting

courses of a broadening nature from which they might otherwise be dissuaded through fear

of mediocre performance and consequent jeopardy to grade point average.

The student electing the pass-no credit option will receive credit hours toward graduation

and the grade of P if he/she successfully completes the course with a grade of D or above.

If the student fails to successfully complete the course, the course will appear on the

student’s transcript with the grade designation of N and 0 hours credit earned toward

graduation. Credit hours of P and N are not to be computed in the student’s GPA.

Any undergraduate student may elect any course on a pass-no credit basis with the following

exceptions:

1. Courses taught in the area in which the student is seeking a major, minor, or teaching

field, or courses used for a Bachelor of Integrated Studies degree contract.

2. Courses, including general education courses, used to satisfy requirements in the

student’s particular curriculum. The student may elect the pass-no credit option in a

course taken to satisfy a general education requirement provided such course is of higher

level than the course or courses specifically required or recommended to satisfy such

requirement and provided such option is approved by the student’s advisor.

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3. Courses specifically excluded by departments from the pass-no credit option.

Students who are undecided or who change majors, minors, or teaching fields, and who

have previously taken courses on a pass-no credit basis in such majors, minors, or

teaching fields may petition the appropriate department to allow such courses to be used

in answering major, minor, or teaching field requirements. Students should recognize

that such approval will not be automatically granted, and might not be granted at all. In

any case, no department shall allow any student to count more than 2 courses of pass-no

credit work toward satisfying major, minor, or teaching field requirements.

A student is limited to 25% of his/her total course hours credit toward graduation in pass-

no credit courses.

The process for recording a pass-no credit course is as follows:

1. The student must declare his/her intention to enroll in a course for pass or no credit prior

to enrolling or by the 10

day of classes. For a workshop, short course, or summer term,

the declaration must be made at time of enrollment. This is done by completing the

appropriate form in Registration.

2. Instructors will not be informed which students are enrolled under this option.

3. The instructors will file a grade report in the regular manner. Registration will convert

the grade to P or N and the instructor will be notified as to which students have received

pass-no credit grades.

In order to avoid confusion, the terms pass and no credit shall be applied to this program

only, and not to any other.

4E.1401.03.01 EXTENDED USE OF PASS-NO CREDIT DESIGNATION

The use of the pass-no credit grade for certain course areas, both undergraduate and

graduate, is permitted providing that:

1. The department initiates such request.

2. Such request is considered as a curricular modification and received approval

through the established curricular modification procedure.

3. In such designated courses, no student may be awarded a letter grade.

Examples of courses eligible for consideration under this policy include seminars,

independent study, research projects, research problems, and thesis.

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4E.1401.04 CREDIT BY EXAMINATION (FSB 89004 approved by President

12/4/89; updated 10/2/2013; approved by COCG 1/30/2018; FSB 17009

approved by President 4/16/2018)

The purpose of credit by examination is to allow an exceptional student to design a college

curriculum that better suits his/her needs. By allowing the student to obtain credit for

previously acquired knowledge, the university provides a mechanism by which a student can

either decrease the time needed to complete a degree or provide time for additional courses,

perhaps to complete a second major. To this end, an enrolled student or a prospective

student who subsequently enrolls shall be permitted to earn University credits or advanced

standing beyond entry-level courses by examination.

The examination credit may be used in one of two ways. 1) The credit may be used to

complete the requirements for a degree in a shorter period in that it shall count toward the

total number of hours needed for graduation. This credit is acceleration credit. 2) The credit

may be used to enrich the student’s college program by allowing time for more advanced

courses or for courses in additional areas in that it can be used to meet specific course

requirements but cannot be counted towards the hours needed for graduation. This credit

is enrichment credit. The student shall state at the time of the test or upon enrollment in the

University, which ever occurs last, whether he/she wishes acceleration credit or enrichment

credit. No more than 15 hours of acceleration credit shall be allowed on a student’s

transcript, however, a student can have an unlimited number of hours of enrichment credit.

The grade of P shall be used to indicate courses completed by examination.

Departmental Examinations

Each department within the University may offer credit by a departmentally developed

examination. Each department writes the examinations, schedules the examinations,

proctors the examinations, grades the examinations, and determines passing scores. A

prospective student or a regularly enrolled student may, because of maturity, wide reading,

courses taken at non-accredited colleges or other off-campus preparation, elect to take the

examination. Credit by examination cannot be granted after the student has completed a

course that duplicates the course sought or has completed courses that may be considered

in advance of the course requested. Each department wishing to participate in credit by

departmental examination must notify the office of the Registrar of the course(s) for which

a student will have the opportunity of receiving credit in this manner. A fee for taking such

an examination shall be determined by the current year comprehensive fee schedule and

commensurate with the Board of Regents policy.

Externally Administered Examinations

In addition to departmental examinations, departments may elect to award credit based upon

any of several externally developed and administered tests, such as those offered by the

American College Testing Service (ACT), College Level Examination Program (CLEP), or

the College Entrance Examination Board (CEEB). If a school/college or department elects

to award credit based upon the results of these examinations, it must establish acceptable

passing scores for the courses for which it wishes to award credit in this manner. In addition,

a department may use the scores to fulfill course prerequisites for more advanced courses

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without awarding credit. The school/college, or department shall notify the office of the

Registrar of its decision to award credit in this manner and the standards that it has

established for each course.

Instructional Base

Credit earned through externally developed and administered tests, such as CLEP, or as

retroactive credit shall not be included in the computation of the instructional base of the

department. One-half the credit hours earned through campus-developed and administered

tests may be included in the instructional base.

Office of the Registrar

The office of the Registrar shall maintain a list of courses for which credit by examination

is possible. Each department within the University shall notify the office of the Registrar

whenever any courses are deleted or added to the list, or when acceptable scores for

receiving credit from externally developed tests change. In addition, the office of the

Registrar shall aid in the process of awarding credit by examination by registering students

for the examinations.

4E.1402 DROP-ADD, WITHDRAWAL, AND MIDTERM GRADES (FSB 88008

approved by President 2/9/89; FSB 90001 approved by President 11/29/90; FSB

93019 approved by President 5/2/94; FSB 98007 approved by President 2/22/99;

FSB 99001 approved by President 10/27/99; FSB 02011 approved by President

4/25/03)

4E.1402.01 DROP-ADD

The official add period shall consist of the first 5 weekdays of each semester. No classes may

be added after the official period without the consent of the instructor. The official drop

period consists of the first 10 weekdays of each semester. For classes taught in less than the

regular semester, the official add and drop periods shall be determined by Registration, based

upon their relative proportions of the regular semester. No record of classes that are dropped

during the drop period shall appear on the transcript.

4E.1402.02 MIDTERM GRADES (FSB 15013 approved by President 2/26/2016)

It is the instructor's duty to inform students of their academic performance in class. Each

instructor shall, by the end of the 8th week of each regular semester, evaluate undergraduate

students' progress and make midterm grades available to undergraduate students and their

academic advisors via the software designated by the University (e.g., the Buzz In portal).

For undergraduate classes taught in less than a full regular semester, the instructor shall

make the evaluation available to the student in time to allow the student to withdraw before

completion of 5/8 of the course. An instructor teaching a graduate-level course has the

option of evaluating graduate students by the end of the 8th week of each regular semester.

The instructor who is teaching a graduate-level course has the option to provide midterm

grades via the university-designated software.

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4E.1402.03 WITHDRAWAL

If a student elects to withdraw from 1 or more classes after the official drop period and

through the 10th week of the regular semester, the grade of W shall be recorded on the

transcript regardless of the student's academic standing in that class. Students must have their

advisor sign the withdrawal form. After processing the withdrawal, the registrar shall send

copies of the form to the instructor of the class and to the student's advisor.

After the 10th week of the regular semester the student may not withdraw from class nor

may the instructor assign the grade of W. In extreme cases, the student may appeal to the

office of the Vice President for Academic Affairs to receive a grade of W after the 10th

week.

Classes taught in less than the regular semester shall follow a similar pattern. If a student

elects to withdraw from 1 of these shorter classes after the official drop period and before

5/8 of the class periods have been completed, the grade of W shall be recorded on the

transcript. After 5/8 of the class periods have been completed the student may not withdraw

nor may the instructor assign the grade of W. In extreme cases, the student may appeal to

the office of the Vice President for Academic Affairs to withdraw with the grade of W after

5/8 of the class periods have been completed.

4E.1403 FINAL GRADES (revised 4/02; revised 8/07)

Grades will be posted on the University website for student access at midterm and at the end

of each semester. Faculty will post grades awarded via the University’s portal BuzzIn.

4E.1404 INCOMPLETE GRADES (FSB 79006; FSB 87011 approved by President

2/26/88)

The grade I (incomplete) is given only for personal emergencies which are verifiable and when

the student has done passing work in the course. The student has the responsibility to take the

initiative in completing the work and the student is expected to make up the incomplete as soon

as possible during the following semester.

Except for graduate research, thesis, or the equivalent, all incomplete work must be finished by

the end of the following full semester (summer sessions are not considered a full semester for

purposes of this deadline). During the initial extension period, a student may submit a written

petition for an extension of 1 additional semester during which an incomplete grade may be

removed. In the most exceptional cases, the faculty member with the written approval of the

department chair, may grant the request for an extension. An extension beyond 2 semesters will

require the approval of the dean of the school or college in which the course was offered. The

granting of an extension will not be routine. Individual instructors may establish earlier

deadlines for completion of the work. Students who do not complete the unfinished work by

the established deadline will have the grade of F entered on the transcript and will be required

to re-enroll to earn credit in the course.

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4E.1405 CHANGE OF GRADE (FSB 89007 approved by President 3/26/90; FSB 15002

approved by Interim President 11/03/2015; FSB 17007 approved by President

8/6/2018)

If a faculty member finds it necessary to change a grade after the grade has already been

submitted, they may do so by submitting a Faculty Grade Change request electronically. After

1 calendar year has passed since the original grade was assigned, a Faculty Grade Change

request shall only be processed with the permission of the dean of the college or school in which

the course was offered. Any grade change submitted by a faculty member becomes part of the

student’s permanent record.

A student initiated grade change from XF to F should follow the procedure outlined in the

Academic Dishonesty Policy.

Within the guidelines established by the Policy on Incomplete Grades (FSB 79006 and FSB

87011), incomplete grades may also be changed to the appropriate final grade by the instructor

submitting a Faculty Grade Change request.

4E.1406 ACADEMIC APPEALS

If a student is dissatisfied with a grade assigned in a class and if satisfactory negotiations with

the instructor are not accomplished, the student should follow the academic appeals procedure.

The appropriate procedure can be found in each department office or in the office of the Vice

President for Student Affairs.

4E.1406.01 ACADEMIC APPEALS POLICY (FSB 98003 approved by President,

4/6/99; terminology revision approved by President of the Faculty 3/18/05;

FSB 14020 approved by President 5/15/2015; FSB 17004 approved by

President 8/6/2018)

Students who believe they have been dealt with unfairly concerning academic progress (such

as course grades or absences), will have access to an academic appeal. The appeal must be

initiated within 1 semester after the semester in which the issue occurs. The purpose of this

policy is to ensure that due process is observed.

It is understood that any time limits in this section are the maximum time allowed and that

it is the intent to move the procedure along as fast as is reasonably possible. If the Chair of

the Appeals Committee deems it necessary, the Chair can extend the timeline for appeal

procedure past the specified timeframe as long as the appeal is requested within 1 semester

after the date of the appealed event. As it is used herein, the term class days is defined to

include all days that classes are conducted, excluding weekends, legal holidays, vacation

periods, the period of final examinations, intersessions, and for the purposes of this

document summer school.

It is not intended that an appeal shall fail or succeed upon a technicality. Therefore,

application of any part of this policy shall be equitable and reasonable.

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The procedure to be followed in processing an academic appeal is as follows:

1. The student should make every attempt, when possible, to discuss the issue with the

faculty member involved in a face-to-face meeting and attempt to resolve the issue. If

this meeting between the student and the faculty member does not resolve the issue to the

student's satisfaction, the student may contact the department chair. The student is

required to put in writing the particulars of the matter in conflict and submit the letter to

the department chair.

2. The department chair is to verify whether the student has attempted a formal conference

with the faculty member prior to discussing the matter with the student. The department

chair's role is to attempt to clarify the conflict between student and faculty and mediate

the positions and interests of both parties and, the department chair will disclose

documents regarding the appeal to both the student and the faculty member. If possible,

the department chair will identify resolution options that are acceptable to both parties.

A meeting, either together or individually, with the student and the faculty member may

be convened at the department chair's discretion. The department chair must also send

a copy of the academic appeal request to the dean of the appropriate school/college and

the Provost and Vice President for Academic Affairs.

3. If the department chair is unable to resolve the conflict between the student and the

faculty member, the student or faculty member may request the department chair to

convene the Departmental Appeals Committee. At this time the department chair will

establish a schedule and make assignments for completing the appeal process within 20

class days. Once the Departmental Appeals Committee is convened, the department

chair will send to that Committee (1) a written statement reflecting the department chair's

attempt to resolve the issue, (2) the written statement by the student, and (3) a written

response made by the faculty member to the issue in conflict.

4. The convened Departmental Appeals Committee shall review the written statements and,

if the Committee finds that additional information is needed, it may interview the student

and/or the faculty member. The student who processes an appeal under this policy has

the option of asking another student or member of the University community to be

present at the interview. This is an internal procedure to resolve an academic dispute,

and legal counsel will not be allowed to speak for the student or for the faculty member

in this interview. All deliberations of the Departmental Appeals Committee shall be

confidential.

5. If the decision of the Departmental Appeals Committee does not resolve the issue for the

student or the faculty member, the matter may be appealed to the dean of the appropriate

school/college. If an appeal is made to the dean, the Departmental Appeals Committee

will send the dean a copy of all written materials used in its deliberations and its own

written decision. The dean will convene a School/College Academic Appeals

Committee. If there are no appeals, the department chair is responsible to see that the

decision of the Departmental Appeals Committee is implemented.

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6. The convened School/College Academic Appeals Committee shall conduct a hearing in

an environment where information can be presented and questions asked of all involved

parties. This is an internal procedure to resolve an academic dispute, and legal counsel

will not be allowed to speak for the student or faculty member in this hearing. During

the hearing, the student and faculty have a right to:

a. ask other students or members of the University to be present during the hearing;

b. be present during the entire hearing except during deliberations by the

committee;

c. present witnesses to testify on their behalf;

d. interview witnesses at the hearing.

After examining the evidence and deliberating, the School/College Academic Appeals

Committee shall reach a majority decision of its total voting-eligible membership by

secret ballot vote. Majority vote rules. The School/College Academic Appeals

Committee shall submit to the dean its written decision regarding the disposition of the

conflict between the student and the faculty member. This decision will be presented to

the dean, who will notify the parties involved. The process for academic appeals

concludes with the School/College Academic Appeals Committee, and there is no further

appeal.

The department chair is responsible for implementing the decision of the School/College

Academic Appeals Committee. For example, the department chair will make the grade

change if the committee's decision calls for a grade change. If the faculty member or

student feels that the appeals process was conducted inappropriately, then the faculty

member or student has the right to seek a remedy through grievance procedures.

All deliberations during the academic appeals process shall be confidential.

Makeup of the Departmental Appeals Committee

Departmental Appeals Committee shall be organized as follows, unless a separate

department policy is in place:

1. At the beginning of each academic year, the department chair shall establish an academic

appeals committee pool of no fewer than 5 members. It should include at least 3 faculty

members, and at least 2 undergraduate students and at least 2 graduate students in

departments which have a graduate program.

2. When needed, the department chair will convene a Departmental Appeals Committee

consisting of at least 2 of the faculty members and 1 of the students from the committee

pool. The student selected will depend on whether the appeal comes from an

undergraduate or graduate student. The student will be undergraduate if the student

making the appeal is undergraduate; graduate if the student making the appeal is

graduate.

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3. The student making the appeal and the faculty member have the option to accept/reject

any or all members of the Departmental Appeals Committee. The department chair will

appoint additional members as needed. Once the student and the faculty member have

signified, in writing, acceptance of the Departmental Appeals Committee membership

to hear the appeal, they have surrendered the opportunity to object to the members of the

board.

Once the Departmental Appeals Committee has been selected, the department chair will

assign 1 of the faculty members to act as the Chair of the Committee.

Makeup of the School/College Academic Appeals Committee

1. The School/College Academic Appeals Committee shall be drawn from the various

academic appeals committee pools established within departments of the school/college.

The School/College Academic Appeals Committee shall consist of at least 5 members:

3 faculty and 2 students. The students will be undergraduates if the student making the

appeal is undergraduate, graduate if the student is a graduate.

2. No student or faculty member from the same department as that from which the appeal

emanates will be appointed to the School/College Academic Appeals Committee.

3. The student making the appeal and the faculty member have the option to accept/reject

any or all members of the School/College Academic Appeals Committee. The dean will

appoint additional members as needed. Once the student and the faculty member have

signified, in writing, acceptance of the members of the School/College Academic

Appeals Committee to hear the appeal, they have surrendered the opportunity to object

to the members of the committee.

4E.1407 COURSE REPEAT GRADE POLICY (FSB 97002 approved by President

3/16/98; FSB 06022 approved by President 12/19/06)

The cumulative GPA calculation procedures for repeated coursework is as follows:

All grades will remain on the student’s transcript, but only the last grade will be used in

determining grade point averages, and only the course hours in one course may apply toward

the degree. This policy applies regardless of where the course was originally taken, or repeated.

(Definition of Terms: Repeated coursework is coursework with the same course number, title

and credit hours, or coursework which the department chair offering that course determines is

the equivalent course.)

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4E.1408 RETROACTIVE CREDIT IN GRADUATE COURSES (FSB 01006 approved

by President 12/7/01)

If a student enrolls for undergraduate credit in a graduate level class, a dually-listed

undergraduate/graduate class, or a dual-credit option class, the student cannot later obtain

graduate credit for work in this class. Thus, graduate credit cannot be retroactive.

4E.15 FACULTY INITIATED STUDENT WITHDRAWAL (FSB 76006; FSB 95008

approved by President 5/9/96; FSB 09016 approved by President 5/3/2010)

If a student's absences from class, disruptive behavior, lack of prerequisites, or academic dishonesty

become detrimental to the student's progress or that of other students in the class, the faculty member

may advise the student to withdraw from the class. Withdrawal may also be advised if the student

is inappropriately enrolled in the class. If the faculty member chooses to withdraw the student,

he/she shall attempt to notify the student in writing that a faculty initiated withdrawal is in progress.

This notification will be copied to the department chair and Academic Affairs office to serve as the

request for withdrawal. If efforts to contact the student have been unsuccessful, or unacknowledged,

the faculty member shall then seek the aid of the Academic Affairs office in contacting the student.

The Academic Affairs office shall provide the student with information about the existing appeals

procedures. Upon receiving a written request for withdrawal from the faculty member, the

Academic Affairs office may initiate a student withdrawal from the class. None of the above implies

or states that faculty members are required to initiate any student withdrawal.

4E.1501 WITHDRAWAL OF NURSING STUDENTS

The Newman Division of Nursing (NDN) reserves the right to remove a nursing student from

a practicum experience at any time because of (a) a critical incident involving the student, (b)

persistent problematic clinical behavior(s), or (c) a student’s failure to meet a clinical contract.

The occurrence may result in the student failing the practicum course before the completion of

the course. Failure in a practicum course at any time necessitates the immediate withdrawal of

the student from the course. Any withdrawal from a nursing practicum course because of

documented occurrence(s) will be regarded by the nursing department as a fail regardless of

what designation appears on the transcript. Failure in any practicum course will result in

termination from the nursing major with no option to reapply to the NDN.

4E.16 ACADEMIC CALENDAR (FSB 91001 approved by President 4/2/91; FSB 98020

approved by President 4/25/99; FSB 04006 approved by President 4/4/05; FSB 06001

approved by President 10/20/06; FSB 10006 approved by President 3/21/2011)

Days designated as final exam days and as dead days may not be counted as teaching days.

Furthermore, Martin Luther King Jr. Day, Thanksgiving Day, Labor Day are State of Kansas and

national holidays, Veteran’s Day is a State of Kansas holiday, and the Board of Regents set the

Wednesday before Thanksgiving as an academic holiday. To accomplish the creation of a calendar

under these conditions it was determined that the academic calendar should be changed as follows:

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1. An academic calendar be created that will allot a minimum of 73 teaching days in each of 2

semesters.

2. Veteran’s Day will retained as a holiday.

3. Final exams will be held on 5 consecutive days (Monday through Friday) of the last week of

the semester after the completion of at least 73 teaching days.

4. A Thursday-Friday Fall Break will be held in October.

5. Fall/Thanksgiving Break will be held on 3 consecutive days (Wednesday through Friday) of the

week that contains Thanksgiving Day.

6. The start date for the fall semester must be such that grades are due at noon on the Tuesday that

follows finals week and that Tuesday must be on or before December 22.

7. Spring Break will be held on 5 consecutive days (Monday through Friday) during a week in

March.

8. No days will be designated as study days or dead days.

9. The week preceding final exams will be designated as non-activity week.

4E.1601 FINAL EXAMINATION (FSB 84015 approved by President 11/5/85, FSB 87012

approved by President 2/15/88, FSB 91004 approved by President 4/22/91; FSB

10009 approved by President 4/27/2011; FSB 11008 approved by President

3/13/2012)

1. A final examination is defined as an examination that tests class content covering the entire

term. A section examination is defined as an examination that tests class content covering

a unit, section, topic, or part of the term, but does not cover the entire content of the class.

The appropriateness and form of the final examination is the responsibility of the instructor

and is considered an important part of the evaluation procedure used by the instructor in

teaching the course. If given, final examinations shall be scheduled at the time designated

by the official final examination schedule as published in the class schedule each semester

and may not be rescheduled except as noted below. Only section examinations or

comprehensive examinations in laboratory, practicum, field, or studio type courses (see the

definition of a credit hour policy) may be given the week before final examinations are

scheduled. If a final examination is not to be given, the class is not required to meet at its

appointed time during the regularly scheduled final examination period.

2. Instructors who feel they are sufficiently able to ascertain the student’s competency by

various evaluation means during the course of a semester may make the final examination

optional for individual students. In those courses in which final examinations are option for

individual students, the instructor will inform students of their standing in the class with

respect to grade level before the final examination period.

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3. The final examination schedule will provide for a 5 day final examination period at the close

of the fall and spring semesters of each year. To determine when the final examination is

scheduled for a particular class: 1) choose the day by the first day of the week that the class

meets (a class scheduled for MTWF will have the final as for a MWF class), 2) choose the

hour by taking the time for the beginning of class and dropping the minutes (8:00 meets at

the 8:00 period, 8:30 at 8:00, 8:45 at 8:00).

The following rotation schedule will be used. Morning examinations given on day 1 will be

given on day 2 of the next semester. Day 2 moved to day 3. Day 3 moved to day 4. Day 4

moved to day 5. Day 5 moved to day 1. The morning schedule will repeat itself every 5

semesters. Afternoon exams given on day 1 will be given on day 2 of the next semester. Day

2 moved to day 3. Day 3 moved to day 4. Day 4 moved to day 1. The schedule will repeat

itself every 4 semesters. Special examinations are not included in the rotation schedule.

Special examinations will be given on Monday, Tuesday, Wednesday, and Thursday

evenings during the final examination period, as assigned by Registration.

4. The final examination period shall begin on Monday following the completion of the

teaching days as defined by the academic calendar.

5. Except for unusual circumstances, deviations from the published schedule shall not be

permitted. Requests for a departure from the published schedule shall be made in writing to

the Vice President for Academic Affairs not later than 3 weeks prior to the final examination

period. The Vice President for Academic Affairs will approve or disapprove each request

and, within 5 days of receiving the request, shall notify the person making the request of the

decision.

6. Final examinations for night and Saturday classes shall be scheduled for the final class

session.

7. Final examinations for courses scheduled for time periods of less than 1 semester, including

summer school, shall be scheduled for the final class period.

8. Students with more than 2 examinations scheduled for the same day and who have not been

able to resolve this situation among their instructors, will have the option of appealing to the

Vice President for Academic Affairs to have 1 of the final examinations moved to a different

day. This appeal to the Vice President for Academic Affairs should be initiated by December

1 for the fall semester and May 1 for the spring semester.

4E.1602 NON-ACTIVITY WEEK (FSB 91004 approved by President 4/22/91)

The week immediately preceding final exam week in the fall and spring semester is designated

as non-activity week. Faculty are urged to avoid campus wide examinations or major

assignments, if possible. Student activities will also be permitted only with the permission of

the dean of the appropriate college/school.

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4E.17 ACADEMIC ACHIEVEMENT

4E.1701 ACADEMIC ACHIEVEMENT AT SEMESTER (FSB 94007 approved by

President 3/21/95; FSB 07007 approved by President 4/18/08)

Semester academic achievement is based upon the work of a single semester. Students

recognized for outstanding academic achievement are announced each semester. To qualify for

the Semester Honor Roll, undergraduate and second bachelor students must earn a minium 3.80

semester grade point average in at least 12 graded hours. The Semester Honor Roll is

determined in Spring and Fall terms only.

The words Honor Roll will appear on the student’s semester grade report and on the semester

academic record. Registration is responsible for determining who is recognized for outstanding

academic achievement for the semester.

4E.1702 ACADEMIC ACHIEVEMENT AT GRADUATION (FSB 89005 approved by

President 3/26/90; FSB 93020 approved by President 5/5/94)

It shall be the responsibility of Registration to identify those students who, at the time of

graduation, have a sufficiently high cumulative grade point average (CGPA) to warrant

recognition as outlined below. The recognition of achievement at the graduation ceremony is

provisional and does not become final until all grades have been recorded.

Provisional recognition at the time of the graduation ceremony shall be based on the cumulative

grade point average through the penultimate semester at Emporia State University. Only the

CGPA shall be used to determine the following levels of recognition at graduation. All hours

counted toward the baccalaureate degree shall be counted in the calculation of the CGPA for

purposes of recognizing achievement at graduation. A student must have completed at least 60

hours at ESU and/or other 4 year institution, with at least 45 hours at ESU, by the time the

degree is conferred to receive this recognition.

Summa cum laude--Students with a CGPA equal to or higher than 3.90 shall have the

designation summa cum laude entered on the diploma and the transcript.

Magna cum laude--Students with a CGPA less than 3.90 but equal to or greater than 3.70 shall

have the designation magna cum laude entered on the diploma and the transcript.

Cum laude--Students with a CGPA less than 3.70 but equal to or greater than 3.50 shall have

the designation cum laude entered on the diploma and the transcript.

In addition to recognition based upon CGPA, the honors program qualifies students for

consideration for graduation with honors. The Honors Council recognizes those students who

have satisfactorily participated in the honors program with the designation with honors entered

on the diploma and the transcript. The Honors Council may, if it so chooses, recognize levels

of participation in the honors program with additional appropriate designations.

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4F. HOLDS

4F.01 HOLDS ON STUDENT RECORDS (approved by President 6/20/2013; revised 10/1/2013;

revised 3/23/2015)

Except as otherwise stated in this policy, the Business Affairs office of the University has sole

authority over holds on student records.

Holds on student records can be placed only for the following reasons:

• To prevent issuance of a transcript for outstanding charges or documentation.

• To prevent payment when legal action is pending.

• To prevent payment until all necessary documents have been properly submitted.

• To prevent enrollment.

The placing and handling of holds will be as follows:

1. Holds that prevent a student from obtaining an official transcript for other than outstanding

financial obligation require Registrar approval.

2. Holds that prevent enrollment are primarily used when a student has an outstanding Emporia

State University financial obligation. Limited enrollment holds can be placed for

outstanding documentation or pursuant to court order.

3. All outstanding charges are to be placed on a student’s account and Business Affairs will be

responsible for placing enrollment and/or transcript holds appropriately.

4. Any exceptions to the placing of outstanding charges on a students’ account will require the

approval of the University Controller.

5. An enrollment hold will be placed if the student account balance is $500 or more in

unsatisfied financial obligations. The enrollment hold will prevent the student from

enrolling at Emporia State University and receiving a transcript from Emporia State

University.

6. Students who enroll with an unsatisfied financial obligation of $500 or less may be dropped

on the first day of the next semester.

7. Currently enrolled students will have a transcript hold placed on accounts having unsatisfied

financial obligations of $200 to $500. A transcript hold will prevent the student from

receiving a transcript from Emporia State University.

8. Students not currently enrolled will have a transcript hold placed if the student account

balance has any unsatisfied financial obligation. A transcript hold will prevent the student

from receiving a transcript from Emporia State University.

9. Students who have unsatisfied financial obligations to the University that have been turned

over for collection will not be allowed to enroll regardless of the amount owed.

10. Authorization for the placement and removal of temporary holds is extended to Police and

Safety and University Libraries and Archives. Undergraduate and Graduate Admissions and

the Office of International Education will have the ability to place and remove holds for

various administration reasons.

11. Authorization to override a hold is restricted to the University Registrar (for non-monetary

holds) and to the University Controller (for monetary holds).

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4F.02 TRANSCRIPT HOLDS (FSB 99014 approved by President 5/8/00)

A graduate assistantship will not be activated and paid to a graduate student until the student's

official transcripts are on file.

Undergraduate and graduate students are required to supply official transcripts by the 10th week of

a semester. Those students who do not supply transcripts by the 10th week of a semester:

A) will be notified prior to any subsequent registration of incomplete records, and

B) a hold will be placed on any following registration until all official transcripts are on file.

4G. DROP POLICY (approved by President 3/23/2015)

All students enrolled at Emporia State University will not be dropped from a Fall, Spring, or

Summer semester for nonpayment. If the student owes the University for a prior semester, the

student will be dropped in accordance with the University’s holds policy.

If classes are added to the student account, an automatic email will be sent notifying the student of

a change with a reminder of their liability to the University. Student must initiate a withdrawal from

the University within the 100% refund period to completely reverse assessed tuition and fees from

the student account.

Students enrolled for a semester at the University are responsible to pay the University the amounts

due. After the 100% refund period, the student is responsible for tuition, fees, all administrative

fees, late payment fees, and all costs and expenses incurred in collecting this debt, including the fees

of any collection agency, which may be based on a percentage of the debt, and reasonable attorney’s

fees, as allowed by law.

4H. ACADEMIC RECORD REVIEW (ACADEMIC BANKRUPTCY) (FSB 75009

approved by President 5-13-76; FSB 92016 approved by President 8/6/93)

An undergraduate student who in the past accumulated a poor academic record at Emporia State

University or any other 2 or 4 year accredited institution and either chose not to return to school or

was required to withdraw, may desire, after a period of months or years, to return to an academic

pursuit. The purpose of this policy is to provide a reasonable means by which such a student can

resume work toward a college degree without having to be severely burdened by his/her past record.

The Vice President for Academic Affairs, or an officer whom he/she designates, shall be responsible

for establishing an academic record review committee for each academic year.

The function of this committee shall be to approve or disapprove the exclusion from the computation

of his/her grade-point average certain F and/or D grades earned by an undergraduate student who

returns, re-enrolls, or is reinstated to probationary status after a 12 month absence from an accredited

institution and who petitions the committee in writing for a review of his/her case. Using such

criteria as the student’s maturity, purposefulness, and reasonableness in accounting for his/her past

academic difficulties, the committee may, after reviewing the student’s case, provide for the

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exclusion of up to 20 semester hours of certain F and/or D grades from the computation of the

student’s grade-point average.

Grades earned in courses required for the student’s chosen major and in any other courses

specifically required for his/her degree program may not be excluded from the computation of the

grade-point average.

The exclusion of grades shall not become effective until the student has completed at least 15

semester hours of work beyond what he/she had taken at the time of re-enrollment or reinstatement

and has earned for this additional work an overall GPA of at least 2.0. The student may petition the

committee before he/she takes the additional work or after he/she has completed it. He/She need

not be enrolled to file a petition.

The granting of the exclusion of certain grades from the computation of his/her grade point average

may occur only once in a student’s undergraduate academic career at ESU. Grades which have been

excluded from the computation of a student’s grade-point average shall be so designated on his/her

transcript by an appropriate means. When a course has been excluded from the computation of the

grade-point average, it shall not be counted for graduation.

4I. STUDENT RECORDS

4I.01 EDUCATIONAL RECORDS

4I.0101 UNDERGRADUATE (revised by Registrar 4/19/04; 5/24/2012)

The Registrar maintains undergraduate records including but no limited to: application to the

university, ACT and other test scores, high school and college transcripts, degree contracts,

course exceptions including waivers and substitutions and residency applications. Records may

be stored electronically.

4I.0102 GRADUATE

Applications and supporting materials kept centrally for admissions, eligibility, testing, degree

candidacy, and degree conferral are scanned into the document imaging system and then the hard

copies shredded. These documents are indexed by student name and social security number and

retained indefinitely.

4I.02 ACCESS TO STUDENT RECORDS (FERPA) (revised by Registrar, 12/05; revised by

Registrar 6/07; revised, approved by President 3/3/09; revised by Registrar 12/20/12; revised

by Registrar 10/2015)

Emporia State University affords students their full rights in conformity with the Family Educational

Rights and Privacy Act of 1974, its amendments and implementing regulations. Eligible students

(student is defined as an individual who is or has been in attendance at an institution and for whom

ESU has maintained an educational record) have the right to inspect their educational records,

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request amendment of their records they believe to be incorrect or misleading, and restrict disclosure

of their information in specific situations.

Students may waive their rights to inspect and review confidential statements and confidential letters

of recommendation by providing a signed voluntary statement if, in conformity with applicable law;

1) the student is notified, upon request, of the names of those providing statements and letters, 2)

the letters and statements are only released for the original purposes stated, and 3) the waiver is not

a condition of admission or other benefit.

Educational records are records which contain information directly related to a student and are

maintained by the University or by a person acting on behalf of the University. The following

records are not considered educational records: personal notes of faculty and staff; records created

after a student is no longer a student and are not directly related to their attendance; employment

records not directly related to student status; certain medical and counseling records; records of

police and safety office for law enforcement purposes; and certain financial records.

The University shall obtain the proper written consent of a student before disclosing their student

records, or personally identifiable information contained therein, to a party other than the student

or party whom created the record, except as otherwise allowed by law and this policy.

ESU designates the following items as directory information: a student’s name, a student’s

address(es), a student’s phone number(s), a student’s email address(es), a student’s major field(s)

of study, a student’s classification (freshman, sophomore), a student’s enrollment status (full-time,

part-time, undergraduate, graduate), a student’s dates of attendance, Most recent previous

educational institution, a student’s past and present participation in officially recognized activities

and sports, including the weight and height of members of athletic teams, a student’s degree(s)

conferred and date(s) conferred, and a student’s award(s), honor(s), and scholarship(s) received,

photograph, and the most recent educational agency or institution attended. Directory information

can include a student ID number only when the ID alone cannot be used to gain access to education

records. Directory information shall not include a student’s Social Security Number. Directory

information may be released without the student’s consent; however, eligible students may request

that directory information not be made public. The student’s notice to withhold directory

information must be made to the Office of Registration and is good for 1 academic year.

Emporia State University also releases records and information without the written consent of an

eligible student to:

• A university official(s) with a legitimate educational purpose. (A university official has a

legitimate education interest if the official is performing a task that is specified in her/his

position description or contract agreement. Note: All staff and faculty sign a confidentiality

statement prior to being given access to student records.);

• To comply with a lawfully issued court order or subpoena or ex-parte order issued pursuant

to the Patriot Act, upon prior notice to student when required by applicable law;

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• To officials of other schools and post-secondary institutions, where the student is currently

enrolled or plans to enroll or transfer if the disclosure is for purposes related to the student’s

enrollment or transfer and pursuant to applicable regulatory standard for said release;

• To certain officials of the U.S. Department of Education, the Comptroller General and state

and local educational authorities in connection with an audit or evaluation of or compliance

with legal requirements;

• To financial aid personnel in conjunction with an application for financial assistance for the

purposes of determining eligibility, amount, or conditions of aid or to enforce terms and

conditions of the aid;

• To all appropriate individuals, including parents, whose knowledge of the information is

necessary to protect the health or safety of the student or others, if, when taking into account

the totality of circumstances pertaining to a threat to the health or safety of the student or

others, the institution determines there is an articulable and significant threat, it is

determined the information is necessary to protect the health or safety of the student or

others;

• To the health authorities or local law enforcement the names and current addresses of

students who have certain communicable diseases; or to law enforcement the for legal

compliance related to registration and disclosure requirements for violent crime control laws;

or for legal compliance related to disclosure to a victim of an alleged perpetrator of a crime

of violence or non-forcible sex offense, as defined in 8 U.S.C. 16, the final results of the

disciplinary proceeding conducted by the University against the alleged perpetrator of that

crime or offense, regardless of the conclusion;

• To entities conducting studies for, or on behalf of, educational agencies or institutions to

develop, validate, or administer predictive tests; student aid programs; improve instruction;

or to accrediting entities fulfilling accrediting functions;

• To an outside contractor, consultant, volunteer or other party who is authorized to act for the

University, is performing a service the university would otherwise perform itself, is subject

to University control with regard to the records, and the outsourcing is subject to the

appropriate restrictions on re-disclosure;

• To initiate legal action against a parent or student or to defend the University if a parent or

student initiates legal action and the records are relevant to the action, upon written notice

of intended release;

• ESU permits disclosure to parents or legal guardians upon written consent of the student.

The University may release records without a student’s consent after removing personally

identifiable information and after making a determination that the student’s identity is not

identifiable regardless of the number of releases that would be made in whole or part. The

University shall inform third party recipients of any legally required restrictions on re-

disclosure of student records and information. Third party recipients of personally

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identifiable information are not permitted to disclose that information to others without the

proper written consent of the eligible student or pursuant to applicable law. The information

may only be used for the purpose intended.

• Individuals requesting academic information for deceased students. The office of the

University Registrar will evaluate each request for the release of a transcript or other

academic records of a deceased student on the individual merits of that request. Emporia

State University may deny the request in whole or to release only part of the academic

records that are requested.

• To Veterans Administration officials pursuant to 38 U.S.C. 3690 (c).

• To the public concerning sex offenders and other individuals required to register under the

community notification programs.

Third parties who receive information may make further disclosures if they are authorized to act on

behalf of the University. Information about recipients of further disclosures must be provided to the

University, as required by FERPA.

A record of requests for and disclosures of educational records will be maintained by the record

custodian for as long as the education record in question is maintained by the University. The record

shall include, whether requests are granted or not, the name of the requestor; the names of the

additional parties the receiving party may disclose the information on behalf of the institution; and

their legitimate interests in the information. Records of requests and disclosures will not be

maintained for: (1) requests made by the student for themselves; (2) requests for which written

consent was received; (3) requests made by school officials with legitimate educational interests;

or (4) requests for directory information. Records of disclosures made pursuant to a health or safety

emergency will include (1) the articulable and significant threat to the health or safety of a student

or others that formed the basis for the disclosure and (2) the parties to whom disclosure was made.

Eligible students may request amendment of their educational record if they believe they are

inaccurate, misleading or a violation of their privacy. If the University does not subsequently amend

the record, the student will have the opportunity for a hearing. No hearing is available under this

policy for challenging the underlying basis for a grade.

If a student believes the University is not complying with FERPA, they should attempt to resolve

the issue with the office involved and/or the Office of the Registrar. Complaints may be filed with

the Family Policy Compliance Office of the U.S. Department of Education. Notice of FERPA rights

will be published each semester in the course schedule. The Registrar, or designee, is responsible

for the development and publication of student records policy and related procedures, forms,

training, notices, and supplemental information.

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4I.0201 KANSAS OPEN RECORDS ACT (KSA 45-215, et seq., updated 6/06; revised

12/14/09; revised 2/09/2010; revised 1/03/2011)

The Kansas Open Records Act grants the right to inspect and obtain copies of public records

created or maintained by public agencies in Kansas. The Open Records Act, K.S.A. 45-215 et

seq., as amended, declares that it is the public policy of Kansas that “public records shall be open

for inspection by any person.” Public records are defined as “any recorded information,

regardless of form or characteristics, which is made, maintained or kept by or is in the possession

of any public agency.” Emporia State University is classified as a public agency for the purposes

of this Act. The Kansas Open Records Act does not require ESU to answer questions, prepare

reports, create records, or compile information.

Examples of public records maintained by Emporia State University: regulations, policies,

minutes/records of open meetings, salaries of public officials, agency budget documents.

ESU maintains a printed brochure with the policies and procedures for access to records. Anyone

has the right to inspect and obtain copies of existing public records which are not exempted from

disclosure by a specific law. If you believe that your request for access to public records is

wrongfully denied, you have the right to file a complaint with the Kansas Attorney General.

The Kansas Open Records Act requires that a freedom of information officer be designated to

provide assistance in facilitating implementation of the Act. The University’s Vice President for

Administration and Fiscal Affairs is hereby designated the University’s freedom of information

officer for purposes of the Kansas Open Records Act. The Official Custodian of Records, who

is responsible for fulfillment of records requests, is the University General Counsel.

Faculty and staff who receive requests for access to University records should direct the request,

or the individual, to the Office of General Counsel. Faculty and staff who receive requests for

information about, or assistance with regard to the Kansas Open Records Act, should direct the

individual to the Vice President for Administration and Fiscal Affairs.

In order to request access or copies of existing public records – written, photographic, or

computerized (provided in printed form only), a written request must be made to the Official

Custodian of Records. The written request must include the name and address of the person

requesting the record access, sufficient information to identify the records being requested and

the requestor’s right of access to the records. ESU may request additional information if needed

to identify and retrieve records requested. Public records may be inspected pursuant to request

during normal business hours, which are between 8:00 a.m. and 5:00 p.m., Monday through

Friday, excluding holidays and non-work days. The Custodian may designate where records may

be viewed.

The written request for access to public records will be made to: Official Custodian of Records,

Office of General Counsel, Emporia State University, 1200 Commercial St., Campus Box 4001,

Emporia, KS 66801.

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The Custodian may ask the requestor to sign a statement indicating knowledge of K.S.A 45-230

and the intent to comply with this law.

All efforts will be made to process each request for public records as soon as possible, but not

later than the end of the third business day following the date that the request is received. If the

request to access the public records is delayed, a written explanation for the cause of the delay

and the date which the record will be made available to you will be made. The request may be

denied if it places an unreasonable burden in producing public records or if the Custodian has

reason to believe that repeated requests are intended to disrupt other essential functions of the

public agency. Explanation of the reasons for the denial will be provided in writing including a

citation to applicable legal reference.

Fees charged or providing access to and/or copies of public records shall be:

• Staff time in providing records or access to records:

– Printed records: $20.00 per hour

– Computerized records retrieval and queries: $35.00 per hour

– Confidentiality/Privilege/Open-closed redaction review: $40.00 per hour

• Non-Certified copies of records: $0.25 per page

• Certified copies of records: $1.25 per page

• Copies produced by outside vendor – actual cost

• Mailing of record – actual cost

• Fax (outgoing U.S. Fax only): $0.90 per page

• Additional fees; any other costs actually incurred by the University as a result of complying

with a record request may be charged to the requester.

Fee charged must be remitted to Emporia State University prior to access to or distribution of

copied records, unless otherwise agreed. Exception to fee charges may be made upon a de

minimis impact determination. Copies of tapes, disks, films, pictures or similar items shall not

be required to be disclosed unless the items were shown or played at a public meeting of ESU

or other public body. Records shall remain in the possession and control of ESU during

inspection and/or duplication.

4I.0201.01 Exceptions to Kansas Open Records Act

Certain records are considered private or privileged under the Kansas Open Records Act. Some

exceptions include, but are not limited to, personnel records, medical treatment records, records

protected by attorney-client privilege, criminal investigation records, proprietary business

information, notes, and records protected by federal law including the Family Educational

Rights and Privacy Act (FERPA) and/or Health Insurance Portability and Accountability Act

(HIPAA). Records more than 70 years old are normally open for inspection unless otherwise

prohibited by law. Records partially exempt from disclosure shall be redacted in accordance

with applicable law.

Additional information is available from the Freedom of Information Officer, Vice President

for Administration and Fiscal Affairs, Emporia State University, 1200 Commercial St., Campus

Box 4001, Emporia, KS 66801.

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4J. TUITION WAIVERS, REDUCTIONS, OR REFUNDS/ADJUSTMENTS

4J.01 TUITION REDUCTIONS FOR GRADUATE ASSISTANTS (passed by Graduate

Council 2/20/03; approved by Vice President for Academic Affairs 4/28/03; revised by

Graduate Council 1/22/04; approved by VPAA 1/29/04)

Graduate assistantships for the purpose of a tuition waiver must be awarded on the basis of 20

hours worked per week for a full semester. Non-resident assistants are eligible for resident fees

during each full semester in which they hold an assistantship appointment for at least 16 hours

duty per week.

4J.02 TUITION WAIVERS FOR PERSONS OVER 60

Residents of Kansas who are 60 years of age or over may take courses without paying tuition or

fees but these courses cannot be counted toward a degree program.

4J.03 FOSTER CARE TUITION WAIVER PROGRAM (Substitute House Bill 2872)

The Foster Care Tuition Waiver Program provides an opportunity for foster care children in the

custody of the Department of Social and Rehabilitation Services at age 18 to enroll in Kansas

postsecondary institutions without payment of tuition or fees. The student will be responsible

for other charges associated with the student’s academic program and living costs, such as books

and room and board. Only students between the ages of 18-21 are eligible for this program.

No educational institution will be required to honor more than 3 waivers in any academic year.

Waivers are honored on a first-come, first-served basis, based on receipt date of application.

Waivers are limited to a total of 8 semesters of undergraduate instruction, or the equivalent

thereof per eligible applicant.

Applications should be sent to the Registrar’s office.

4J.04 TUITION WAIVERS FOR DEPENDENTS OF DECEASED PUBLIC SAFETY

OFFICERS (K.S.A. 75-4364)

This program provides an opportunity for dependents of certain public safety officers who died

as a result of injuries sustained in the line of duty to enroll in Kansas postsecondary institutions

without payment of tuition or fees. The student will be responsible for other charges associated

with the student’s academic program and living costs, such as books and room and board.

Waivers are limited to a total of 8 semesters of undergraduate instruction, or the equivalent

thereof per eligible applicant.

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4J.05 REFUND/ADJUSTMENT OF STUDENT CHARGES FOR TUITION AND FEES

(approved by President 12/23/08; FSB 14020 approved by President 5/15/2015)

Exceptions to the Published Fee Assessment Policy and Charges

1. The Controller’s Office and the appointed Financial Appeals Committee are charged with

the responsibility of considering and approving exceptions to the published fee assessment

policy as identified in the website for the Comprehensive Fee Schedule

(http://www.emporia.edu/busaff/).

2. Any change in assessment can only be adjusted to a rate already established in the Emporia

State University Comprehensive Fee Schedule.

Initial Appeal by a Student

1. An appeal and all pertinent written documentation must be submitted in writing within 25

calendar days of notification of assessment, adjustment, refund or event.

Minimally, each written appeal must be dated and include the student name, address and

phone number, ESU ID, signature of the student, statement describing specifically what is

being requested and for what term, statement of any extenuating circumstances, and why the

request should be honored. Use the Petition for Tuition/Fee Adjustment Form to facilitate

providing all the necessary information. (Available from http://www.emporia.edu/busaff/).

2. All appeals must be submitted to the Controller’s Office. The Controller or designee may

make exceptions on a case-by-case basis when there is a compelling case to do so. Appeals

must meet one or more of the following criteria to be considered and approved:

a. Written documentation of an illness, accident, injury, or situation which could not be

influenced, planned for, or prevented by the student or the institution and which

subsequently caused a change in the class schedule, thus changing the assessment. Such

written documentation should include the following: a doctor’s note written on his/her

letterhead, an accident report or other reasonable proof, reasonable proof of the death of a

close relative or friend and/or written documentation of extenuating circumstances if

completely withdrawing from school. Students should follow the withdrawal process as

outlined in the Undergraduate and Graduate catalogs.

b. Written documentation of substantiated circumstances involving deadlines where a student

has in good faith relied on information provided by a named University official, or the

official's interpretation of the text of a University document or publication, and was

consequently misled or mistaken about its terms.

c. In individual cases and when it is in the best interest of the student and the institution, the

Controller may grant an exception that is not deemed to be served appropriately by the

exception criteria stated elsewhere in this document.

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3. Grade assignments, quality and quantity of instruction and other academic issues are not

within the scope of these procedures and must be addressed to the chair of the academic

department as outlined in the Academic Appeals Policy prior to making any adjustment of

charges. Regarding all sections of this document; decisions will only address whether an

adjustment of charges will be made.

4. Generally, grounds for consideration of an appeal will be restricted to those circumstances

personally experienced by the enrolled student. Loss or illness of a family member, close

associate, employee or friend, and/or difficulty in a family operated business or enterprise,

is generally excluded from consideration.

5. Decisions are rendered by the designated official in the Controller’s Office and will be based

solely upon any and all pertinent written documentation.

6. Notification of a decision will be made in writing within 15 calendar days of receipt of the

written appeal.

Appeal of the Decision Rendered by the Controller’s Office

1. Upon written request a student may appeal the decision rendered by the Controller’s Office.

2. A written appeal must be received by the Controller’s Office within 25 calendar days of the

notification decision.

3. The written appeal must request a review of the original decision and may contain additional

written documentation to support the appeal.

4. The appeal will be reviewed by the designated official in the Controller’s Office. If the

appeal information is sufficient to overturn the original decision, the designated official in

the Controller’s Office can adjust a tuition or fee assessment in accordance with appropriate

fiscal procedures.

If denied, the information must be forwarded to the chair of the Financial Appeals Committee

for further, prompt consideration.

Appeal Committees and Operation

1. The Financial Appeals Committee shall consist of not more than 5 official voting members

appointed by the President of Emporia State University. Appointments begin in August and

are for a period of one calendar year. At the discretion of the President, such appointments

are renewable.

2. The chairperson shall be selected by the President and shall be a member of the committee.

3. A designated official from the Controller’s Office who has not been involved in the original

decision shall serve as an ex-officio non-voting member on the committee.

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4. The Financial Appeals Committee shall operate under all guidelines set forth in these

articles.

5. Decisions of the committee will be decided upon a motion for action, a second of the motion

and a majority vote, of total voting-eligible committee membership, supporting the motion.

6. Each appeal committee must meet, consider and send notification of the outcome of an

appeal to the student and to the Controller within 30 calendar days after receiving the appeal

information from the Controller’s Office.

7. The decision rendered by the Financial Appeals Committee is the final University

determination on the matter.

4K. STUDENT ACCOMMODATIONS STATEMENT IN SYLLABI (FSB 01014 approved by

President 4/17/02)

In order that students with disabilities are advised where to seek services and that an interactive

relationship among students, faculty, and Student Accessibility and Support Services is encouraged,

faculty will include the following statement in the syllabi of their courses:

Emporia State University will make reasonable accommodations for persons with documented

disabilities. Students need to contact the Director of Student Accessibility and Support Services

and the professor as early in the semester as possible to ensure that classroom and academic

accommodations are implemented in a timely fashion. All communication between students,

Student Accessibility and Support Services, and the professor will be strictly confidential.

4L. DIVERSITY, EQUITY, AND INCLUSION SYLLABUS STATEMENT (FSB 17014

approved by President 8/6/2018)

In order to encourage an inclusive learning environment and to align with the Affirmation of Values

Statement of Emporia State University, faculty shall include the following statement in their

syllabus.

Emporia State University supports an inclusive learning environment where diversity and

individual differences are understood, respected, appreciated, and recognized as a source of

strength. We expect that students and faculty at Emporia State will respect differences and

demonstrate diligence in understanding how other people’s perspectives, behaviors, and

worldviews may be different from their own.

If there are aspects of the design, instruction, and/or your experiences within this course that

result in barriers to your inclusion or accurate assessment of achievement, please notify the unit

head (Department Chair or equivalent) as soon as possible, and/or contact the office of the

Assistant Dean of Students for Diversity, Equity, & Inclusion.

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Faculty may supplement the required diversity syllabus statement in order to further strengthen their

affirmation to diversity, equity, and inclusion as long as the supplement is in alignment with the

required diversity, equity, and inclusion statement.

4M. MILITARY SERVICE (FSB 01005 approved by President 12/7/01; revised 04/10/2015)

Students serving in the National Guard or Reserves who are called to active duty or deployed during

an academic term are entitled to receive a full refund for tuition and fees. Students who are drafted

and must report for active duty during an academic term are entitled to receive a full refund of

tuition and fees. All refunds are subject to presentation of official documentation to the office of the

Vice President for Student Affairs. Students who volunteer for military service will be subject to the

University's non-military refund policy. Room and board charges will be prorated to the extent that

services have been provided.

Students serving in the National Guard or Reserves who are called to active duty training or service

for periods less than 2 weeks will be excused from class. It is the student's responsibility to work

with the instructor to make up assigned work and tests in a timely manner. If it is determined, prior

to the completion of all course work for that semester, that the student cannot successfully complete

a course because of said absence, the student is entitled to a refund based upon the number of

courses completed for that semester. Students who are called to active duty training must furnish the

office of the Vice President for Student Affairs with a copy of their letter (orders) from their unit

concerning the scheduled active duty training or service. Upon receipt of the documentation, the

office of the Vice President for Student Affairs will notify instructors of the active duty training or

service and the length of training, if the letter so states.

4N. COMMENCEMENT ATTENDANCE (FSB 12008 approved by President 4/16/13)

Emporia State University holds four commencement exercises each year; undergraduate

(baccalaureate) ceremonies in December and May, and graduate (masters, specialist, and doctorate)

ceremonies in December and May.

All members of the faculty with the rank of instructor and above are encouraged to participate

annually in two commencement exercises in proper academic attire. Faculty with rank of lecturer

are invited to participate if they so desire. The dean of the school/college will work with department

chairs to ensure a balanced number of faculty attend the undergraduate and graduate December

commencements and the undergraduate and graduate May commencements.

Faculty members will furnish their own attire. The University bookstore has regalia available for

rental.

4N.01 FACULTY MARSHAL (FSB 85010 approved by President 3/7/86)

At the spring and fall commencements there is a Faculty Marshal who carries the mace for the

President of the University. The following guidelines shall be adhered to in selecting the

Faculty Marshal.

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The faculty member who is awarded the Roe R. Cross Distinguished Faculty Award during the

spring commencement shall serve as the Faculty Marshal for the fall and spring

commencements during the year following the year in which he or she serves as Roe R. Cross

Distinguished Professor. The honor of being Faculty Marshal will be an additional honor to the

recipient of the Roe R. Cross Award.

4O. CURRICULUM DEVELOPMENT AND REVIEW

4O.01 COURSE NUMBERING SYSTEM (BOR) (updated 9/2010)

When developing a new course, the following course numbering system is used.

000-099 No credit courses

100-299 Lower division, undergraduate. Designed as freshman and sophomore courses.

300-499 Upper division, undergraduate. Designed as junior and senior courses.

500-699 Upper division, undergraduate. Primarily for juniors and seniors, with enrollment

of less than 50% Graduate I students.

700-799 Graduate and upper division. For Graduate I students primarily; with enrollment of

less than 50% undergraduates.

800-899 Designed primarily for Graduate I students.

900-999 Designed primarily for Graduate II students.

Grad. I = Courses and thesis for Masters students who will ordinarily have

accumulated from 1 through 30 graduate hours and students enrolled in professional

schools (Law, Veterinary Medicine, M.D., Architecture, etc.).

Grad. II = Courses for Specialists and Doctoral students who will ordinarily have

completed greater than 30 hours of graduate work.

The first digit course number identifies the level. The dual listing of courses may be permitted on

a limited basis with the approval of the Dean of the Graduate School.

4O.02 MAJORS

New majors require both campus and Board of Regents approval. Refer to the Board of Regents

policy manual for content and format.

4O.03 CONCENTRATIONS OR MINORS (approved by BOR 6/24/99)

Concentrations or minors may not exceed 24 credit hours at the baccalaureate level; 12 credit hours

at the master’s level; 18 credit hours at the doctoral level. Graduate certificate programs are not

considered concentrations or minors and are determined at the campus level.

New concentrations or minors in disciplines with a major require campus approval only. New

concentrations or minors in disciplines without a major requires both campus and Board of Regents

approval.

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4O.04 GENERAL EDUCATION (FSR 106 approved 3/21/72; FSB 96004 approved by President

4/16/97; FSB 03003 approved by President 3/30/04; revised 4/10/2015; approved by COCG

1/30/2018)

The General Education Council is charged with the responsibility of formulating and continually

reviewing all policies, procedures, and curricula pertaining to the general education program of

Emporia State University. Any change in the general education program of the University must be

approved by the General Education Council. However, if warranted, the Faculty Senate has the right

to consider and override decisions made by the General Education Council.

The Faculty Senate designates the General Education Council as the faculty body responsible for

advising the administration concerning policy and procedures affecting the university-wide

competency examination requirements.

The General Education Council may direct the Institutional Effectiveness office, or other appropriate

agencies, to evaluate the reliability and validity of tests.

The General Education Council designates minimum performance levels.

The General Education Council may establish course performance levels as equivalencies.

The General Education Council may assess the need for competency testing and recommend to the

Faculty Senate the expansion, modification, or termination of the program.

4O.05 CURRICULUM REVIEW PROCEDURES (FSB 79010 approved by President 6/13/80;

FSB 88024 approved by President 5/1/89; FSB 90002 approved by President 3/18/91; FSB

99008 approved by President 2/28/00; FSB 09009 approved by President 2/5/2010)

The procedure for instituting curricular changes is as follows:

1. The initiator(s) of a curricular change must prepare all recommendations on the University

Curricular Change Request form that are available from the office of each school or college

dean.

2. Once a proposed change has been approved at all levels and the ESU Curriculum Form has been

sent to and processed by the Registrar’s office, the process is complete. Until the process is

complete, a faculty member, chair, or dean who does not concur with the proposed curricular

change may submit a request to the office of the Provost to refer the curricular change request

to the Curriculum Review Panel.

3. If the proposal is for a new degree, a new major, a new program, or a new sub-specialty under

an existing degree, it is considered a major curricular or organizational change and must go

through Level Two review (see Level Two Curriculum Review Process below). After the

Level Two process has been completed on campus, the proposal must then be approved by the

Kansas Board of Regents before it goes into effect. The Board requires documentation in accord

with the Procedures for Approval of New Programs or Academic Units, copies of which are

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available from the office of the Provost. Those initiating such requests must provide the full

required documentation required when they submit their request to the dean of the initiating

school or college. The office of the Provost will coordinate the documentation and submission

of any curricular changes requiring Kansas Board of Regents approval. It is the responsibility

of the University's representative on COCAO to present the proposal to COCAO, after which

it is sent to the Council of Presidents and on to the Board of Regents. All other curricular

changes are handled on campus.

4. Other changes not listed above are considered course and program changes. If a proposed

course change also affects a degree program, concentration, minor, or certificate program, a

separate curricular change form will need to be submitted for each change (1 curricular change

request form for the new course and another curricular change request form for the revised

program will need to be submitted). However, these changes may be submitted at the same

time. Proposed changes encompass two levels of review. Level One curriculum changes

encompass any modification of a course that affects only the department where the course is

housed and does not require review by the Council on Teacher Education, the General

Education Council, the Graduate Council, or the Committee on Advanced Programs. These

changes are minor modifications where the course description and course content (including the

syllabus) remain essentially the same as when originally approved. These changes do not

significantly alter the intent and purpose of the course and do not have implications for another

department. They include the following:

• Changing a course number within the same level: lower division, upper division, or graduate.

(Must check with Registrar’s office to make sure an appropriate number is selected prior to

submitting the curriculum change.)

• Changing a course title.

• Changing a prerequisite that exists only within that department. (Must check with the

Registrar’s office to make sure that the change is compliant with the course management

system prior to submitting the curriculum change.)

• Changing the number of hours.

• Deleting a course.

Only the course identification section (Part I) and the general statement proposal (Part II, A) on

the Curricular Change Request form need to be completed.

5. All other curriculum changes belong to Level Two, including changing a course number to a

different level, changing a course or degree program/concentration/minor/certificate that affects

another department, adding a new course (courses that were previously taught under umbrella

numbers are considered new courses), an extensive course change is being requested, or the

change requires review by either the Council on Teacher Education, the General Education

Council, the Graduate Council, or the Committee on Advanced Programs, then full details must

be supplied on the Curricular Change Request form (Part II, B). Before any course can be

required of any students, full details of the course must be provided on the Curricular Change

Request form and that course must have been approved via the curriculum review process.

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6. Level One Curriculum Review Process

All curriculum changes are initiated at the department level (the School of Library and

Information Management acts as a department for curriculum review procedures). When the

department approves the curriculum proposal, it forwards the proposal to the office of the dean,

which in turn directs the proposal through the respective college’s or school’s internal approval

process. If the proposal is approved by the school/college and dean, it will be electronically

distributed by the office of the Provost to all deans and department chairs for a review period

of 10 working days. The academic deans and department chairs are expected to inform faculty

of the proposed curricular changes.

a. If the office of the Provost receives no written objections to the proposal during the 10

working day review period, the proposal is considered approved. The office of the Provost

informs the Registrar’s office and the originating dean of the approval. The department

completes the ESU Curriculum Form and returns it to the Registrar’s office. This form must

be received and processed by the Registrar’s office before changes can be implemented.

b. If the office of the Provost receives written objections to the proposal(s) during the 10 day

working day review period, the office of the Provost forwards objections to the originating

academic unit and the respective dean. Objections are resolved by consensus among the

interested parties. Objections that cannot be resolved by consensus are submitted by the

office of the Provost to the Curriculum Review Panel for resolution (see #9).

7. Level Two Curriculum Review Process

All curriculum changes are initiated at the department level (the School of Library and

Information Management acts as a department for curriculum review procedures). When the

department approves the curriculum proposal, it forwards the proposal to the office of the dean,

which in turn directs the proposal through the respective college’s or school’s internal review

process. If 2 or more schools or colleges are involved with initiating the proposed change, then

the proposal must be submitted to all deans of the units involved for review by the

college/school’s curricular review process. For a Level Two proposal, the office of the dean

also forwards the proposal to the applicable review body(ies) (e.g., the General Education

Council, Graduate Council, Council on Teacher Education, Committee on Advanced Programs)

to initiate its review. If the proposal is approved by the school/college, respective dean, and all

additional review committees or councils, it will then be electronically distributed by the office

of the Provost to all deans and department chairs for a review period of 10 working days. The

academic deans and department chairs are expected to inform faculty of the proposed curricular

changes.

a. If the office of the Provost receives no written objections to the proposal during the 10

working day review period, the proposal is considered approved. The office of the Provost

informs the Registrar’s office and the originating dean of the approval. The department

completes the ESU Curriculum Form and returns it to the Registrar’s office. This form must

be received and processed by the Registrar’s office before changes can be implemented.

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b. If the office of the Provost receives written objections to the proposal(s) during the 10 day

working day review period, the office of the Provost forwards objections to the originating

academic unit and the respective dean. Objections are resolved by consensus among the

interested parties. Objections that cannot be resolved by consensus are submitted by the

office of the Provost to the Curriculum Review Panel for resolution (see #9).

8. If a department has final approval to change a course that is required in the program(s) of

another department and the second department is substituting the new course for the old course,

the second department can submit one curriculum change request that covers all affected

programs within that department and that change would be considered a Level One change.

9. If objections cannot be resolved by the two parties, the office of the Provost, the chair, and

members of the Curriculum Review Panel will be notified. In addition, the dean(s) and chair(s)

of the initiating unit, as well as, the initiator(s) will be notified. The chair of the Curriculum

Review Panel shall contact the initiator(s) of the curricular change and the group(s) objecting

to the change. The chair shall engage all groups involved to attempt to resolve the issue. The

Curriculum Review Panel will serve as mediator in the matter.

10. If a resolution is not possible, the matter along with the recommendation from the Curriculum

Review Panel will be sent back to the office of the Provost. The President or a designee in the

office of the Provost becomes the final authority on the matter.

Deadlines: In order for courses to be listed in the printed class schedule, proposals must be approved

and submitted to the office of the provost by April 1 for the change to be effective in the academic

year that starts the following July 1.

4O.0501 CURRICULUM REVIEW PANEL (FSB 88025 approved by President 5/1/89)

1. The Academic Affairs Committee of the Faculty Senate shall appoint members to vacancies

on the Curriculum Review Panel (hereafter CRP) at its penultimate meeting of the academic

year.

2. The CRP shall consist of a faculty chair, 6 teaching faculty, and 2 students. The faculty and

student members shall be appointed as follows:

a. One faculty member each from the School of Business, The Teachers College, College

of Liberal Arts and Sciences, the School of Library and Information Management.

b. Two members from the teaching faculty at large.

c. At least 4 of the faculty members must be members of the graduate faculty.

d. The President of the Associated Student Government shall submit the names of 2

students for membership on the CRP. The students shall be from different

schools/colleges. One student member should be a graduate student. The Academic

Affairs Committee will either approve these nominations or ask for additional names.

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e. The chair shall be chosen from the membership of the Academic Affairs Committee, if

possible. If this is not possible, any member of the teaching faculty may be appointed

chair.

3. All members of the CRP represent the entire University and not just their respective

schools/colleges.

4. The 6 faculty members of the CRP shall serve 3 year terms that expire in rotation.

5. The 2 students shall serve 1 year terms.

6. The chair of the CRP shall be appointed for a 1 year term.

7. The chair and all members of the CRP shall be eligible for reappointment.

8. The chair of the CRP shall also serve as secretary.

9. The function of the CRP shall be to provide a University-wide review of objections raised

to curricular changes. The CRP, when acting as mediator in disputes over curricular changes,

shall be cognizant of the function(s) of the proposing unit(s) and school(s)/college(s), shall

determine if there is unnecessary duplication of courses already in existence, and shall be

cognizant of the academic standards of the University.

10. The CRP, after serving as mediator in disputes over curricular changes, shall forward a

recommendation for approval or disapproval of the proposed curricular change to the Vice

President for Academic Affairs.

4P. PROGRAM DISCONTINUANCE POLICY (FSB 84004 approved by President, 3/4/85;

updated 9/2010)

The search for knowledge is in itself the means by which such knowledge shall be acquired. The

very nature of a University demands that its quest for knowledge constantly directs it to adopt, adapt,

or terminate the means (hereinafter termed programs of study) that sustain the mission of the

University. Moreover, fluctuations in enrollment, bringing increasing or declining levels of

financial support, together with a variety of changing technological, sociological, and other

economic pressures underscore the need for program review and adjustment. When such review

indicates that an established program of study should be abridged or terminated, it should be

recognized that such a decision profoundly affects 1) the mission of the University; 2) the

commitment of the University to students enrolled in said program of study; and, 3) the

responsibility of the University to those faculty and staff who may be dismissed by program

abridgment or discontinuance.

The purpose of the following policy and procedures statement, therefore, is to fulfill ESU's

responsibility to the Kansas Board of Regents that each Regents' institution shall have a policy and

procedures whereby it may discontinue academic programs of study. ESU's statement shall reflect

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its commitment to its students and faculty, and its determination to maintain educationally-sound

programs of study.

Furthermore, it should be understood, at the outset, that the policy and procedures set forth herein

do not affect the Kansas Board of Regents' prerogative to exercise its Program Review and/or

Program Discontinuance policies – policies which may take precedence over or mandate the

initiation of the policies and procedures established by this document.

Section II. Procedures

A. Definitions

1. The Board of Regents Degree and Certificate Program Inventory for Regents Institutions is

the basis for defining programs of study at Emporia University.

2. Program discontinuance may involve the abolition of any academic unit (department,

school, or college) in which the degree or certificate is offered. It may also involve the

abolition of a particular degree or certificate without otherwise effecting changes in the

academic unit.

3. The determination that a program shall be discontinued is the decision of the President of

Emporia State University, upon recommendation from the Vice President for Academic

Affairs, that the University shall for bona fide educational considerations, (considerations

distinct from and unrelated to those based on financial exigency) discontinue such a

program.

B. Discontinuance Procedures

1. A recommendation for Program Discontinuance may be initiated by the academic unit, the

dean of the college or school in which the program is offered, the Dean of the Graduate

School in the case of a graduate program only, or the Vice President for Academic Affairs.

Recommendations shall not be submitted nor considered during summer session.

2. A recommendation for Program Discontinuance must be made in writing to the Vice

President for Academic Affairs (if the Vice President for Academic Affairs initiates the

recommendation, it shall be made in writing to the President of the University). All such

recommendations shall include position statements by the academic units affected. (See

Section II.A.2. Any so-designated academic unit may submit a position statement).

3. Receipt of a recommendation for Program Discontinuance by either the Vice President for

Academic Affairs or the President of the University shall mandate on the recipient the

following actions:

a. The recommendation and academic unit position statement shall immediately be

transmitted to the President of the Faculty Senate, who, in consultation with the Faculty

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Senate Executive Committee, shall assign the recommendation to 1 or more of the

Faculty Senate's standing committees.

b. The recommendation shall be given immediate public notice to the University

community. A committee of the Faculty Senate shall be convened within 14 days of

said notice to hear any faculty, staff, or student testimony or evidence. After hearing

such evidence or testimony, the committee shall provide reasonable additional time for

commentary and/or discussion.

c. Within 30 days of the conclusion of the hearing in (b) above, the Faculty Senate, upon

advice from its designated committees, shall submit to the President of the University

its recommendation for or against the proposed Program Discontinuance. The Faculty

Senate recommendation shall speak directly but not exclusively, to the issues of

mission, and to responsibilities to students, faculty, and staff, detailing, wherever

applicable, the effect in both long range and short range terms of its recommendations.

The Faculty Senate shall concurrently transmit its recommendation to the appropriate

faculty, chair, dean, and to the Vice President for Academic Affairs.

d. The Vice President for Academic Affairs shall, within 30 days of the conclusion of the

hearing in (b) above, submit a recommendation for or against the proposal to the

President of the University. The recommendation shall be in writing and shall speak

directly, but not exclusively, to issues of mission, and to responsibilities to students,

faculty and staff, detailing wherever applicable, the effect in both long range and short

range terms. The Vice President for Academic Affairs shall concurrently transmit the

recommendation to the appropriate faculty, chair, dean, and Faculty Senate committees.

e. The President of Emporia State University, after evaluating all recommendations, shall,

within 30 days, make a final decision regarding the recommendation. If the President

decides for program discontinuance, his/her written statement, transmitted to all

affected, shall include a date for the program's discontinuance and a statement setting

forth initial actions to be taken in respect to students and faculty affected by the

program's discontinuance.

C. Rights of Students

1. A decision to discontinue a program shall normally carry a 3 year phase-out period. That

period shall begin with the date announced by the President of the University (Section

II.B.3.e.)

2. Students in the program shall be notified to complete their programs within the phase-out

period. If it becomes impossible for students to complete their degree programs within the

phase-out period, the University shall make every reasonable effort to assist the students.

Such efforts may include but are not limited to 1) permitting the student to take work in

related departments; 2) assisting, if possible, the student in completing his program at

another institution; and 3) permitting special graduate-level supervision, administration, and

examinations by qualified faculty at other institutions.

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D. Rights of Faculty

1. Termination of an appointment with continuous tenure, or of a probationary or term

appointment before the end of the specified term, may occur as a result of Program

Discontinuance.

2. The Vice President for Academic Affairs, upon recommendation of the appropriate dean,

shall recommend to the President of the University which faculty members within the

discontinued program shall be dismissed.

3. Termination of appointments under provisions of Program Discontinuance shall involve

consideration including but not necessarily limited to those listed below:

a. Reasonable efforts shall be made to fulfill contractual term agreements with temporary

or probationary faculty.

b. The University shall make every reasonable effort to offer each tenured faculty member

another suitable position. The offering of another suitable position, under provisions of

Program Discontinuance, which may or may not involve matters of transfer of tenure

and/or rank shall be determined by consultation among the faculty member, the academic

unit or units involved, and administrative heads at the unit, school, college, and

University levels. Such transfers, however, shall not displace other tenured or

probationary faculty in the unit receiving the transfer.

c. Tenured faculty scheduled for dismissal shall be retained as long as program needs

dictate during the phase-out period. Faculty so retained shall be accorded the same rights

and privileges (e.g., salary adjustment) as other faculty.

d. Tenured faculty shall be retained in favor of probationary faculty unless program needs

dictate preferential treatment of probationary faculty.

Section III. Appeals

A. An academic unit which has a program under consideration for discontinuance may appeal to the

President of the University for a reconsideration of a decision to discontinue or not discontinue

a program. Such an appeal must be made in writing no later than 15 days after the President

issues the statement noted in Section II.B.3.e. The President shall respond in writing to the

appeal within 15 days after receiving it.

B. Due process must be scrupulously followed during Program Discontinuance. All of the rights

and privileges of the faculty member to seek remedy for an alleged infringement of academic

freedom or violation of established University tenure policies and procedures that now provide

faculty access to the University grievance procedures shall also apply to such allegations

regarding actions taken by the University under Program Discontinuance. A faculty member

may appeal the President's decision to dismiss through utilizing the University's grievance

procedures. Such appeal shall be made in writing, and shall be filed within 30 days of the date

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of notification. The appeal may be based only on the grounds that 1) the dismissal was based on

a statutory or constitutionally impermissible reason, or 2) the procedure surrounding the

dismissal was improper. Improper procedure includes (but is not limited to):

a. Violation of the procedures outlined in this document for arriving at the recommendation of

discontinuance of the program in question. Such appeal, however, shall not address the

substance of the recommendation.

b. A violation of the procedures outlined in this document for arriving at the recommendation

of non-reappointment of the individual.

c. Use of incomplete or erroneous data or information in the decision-making process by the

President that led to the dismissal; that is, that the President had no basis in fact for selecting

the appellant for dismissal.

d. Lack of a reasonable effort to place the faculty member in another suitable position in the

University before the notice of intent to dismiss. Where the basis of the appeal is statutory

or constitutional impermissibility, the burden of proof is on the faculty member; where the

basis of appeal is improper procedure, the burden of proof is on the President. The faculty

member shall have access to all relevant information in the possession of the administration

to aid in preparing the case based on any of the grounds listed above.