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Index in Alphabetical Order

Policy Number Policy name Content
2104 Part-time and Adjunct Faculty

1. PURPOSE

This policy is designed to provide for the appointment and employment of adjunct and part-time faculty members. The university recognizes the contribution made to the successful accomplishment of the mission of the institution by the dedicated group of faculty members who teach and/or provide services on a part-time or adjunct basis.

2. AUTHORITY

The Board of Visitors is authorized to enact personnel policies for all employees of the university. Where the board has not exercised this authority, it is delegated to the president.

3. DEFINITIONS

Adjunct
An adjunct is a specific type of part-time faculty member. There are two types of adjuncts at JMU:

  1. The title given to a person who teaches at the university on a limited, special or provisional basis, but in the role of an adjunct, is not required to perform other regular duties of a faculty member (i.e., scholarly activity or service). Adjunct faculty members are qualified individuals hired for limited or special teaching assignments, such as teaching particular courses or sections. In their adjunct role, they have no duties other than teaching.
    1. The honorary title granted in limited other circumstances by the Provost and Senior Vice President for Academic Affairs (provost) to an individual who is not employed by the university.

Electronic Transcript
An official transcript either sent electronically via email or via a hyperlink from which a transcript can be printed from an institution participating in the eScrip-Safe (or other approved third party vendor) electronic transcript network.

Part-time faculty
Any faculty member who is employed on a temporary basis for less than a full academic year, or who is employed for an academic or calendar year at less than a full work load. Part-time faculty members are qualified individuals hired for limited faculty duties, or for temporary teaching, service and scholarly assignments. They may be recognized as part-time members of the instructional faculty with a role in the academic or administrative unit, and they may be assigned teaching, scholarly and/or service duties, as individually negotiated. Part-time faculty members who are assigned only teaching duties are adjunct faculty members.

4. APPLICABILITY

This policy applies to all part-time and adjunct faculty members at the university.

5. POLICY

5.1 The provost may grant honorary adjunct status to an individual in appropriate circumstances without using the procedures outlined in this policy for service to the university in a significant capacity without compensation, or for other appropriate reasons.

5.2 All part-time faculty member appointments, including adjunct appointments, are at will, with no legitimate expectation of continued employment. Failure to re-hire is not an appealable action under the terms of the JMU Faculty Handbook.

5.3 There is no limit to the number of successive appointments that may be given to a part-time or adjunct faculty member. A part-time or adjunct faculty member may be hired each semester for as long as needed by the academic unit. Service in an adjunct or part-time position does not constitute a guarantee of future employment at the university.

5.4 With the written prior permission of the employee's home unit, a current employee of the university may be hired into an adjunct role in an academic unit. If the employee is a full-time non-exempt classified employee of the university, the academic unit will be responsible for paying the employee at least the equivalent of his or her hourly wages on an overtime basis for his or her adjunct duties.

5.5 Part-time and adjunct faculty member are not eligible for tenure, tenure-track appointments or renewable term appointments. Time spent in an adjunct or part-time appointment will not be counted toward the award of tenure, and adjunct and part-time faculty members may not apply for tenure or promotion.

5.6 A part-time or adjunct faculty member may be terminated during the term of an appointment for any reason upon written notice from the AUH or supervisor. Part-time and adjunct faculty members do not have any appeal rights for the termination of an appointment before its expiration.

5.7 The Faculty Handbook and all other policies relating to faculty members generally apply to adjunct and part-time faculty members. Adjunct and part-time faculty members are bound by the same responsibilities as full-time faculty members, including academic responsibility, professional ethics, academic honesty and integrity, and the responsibility to abide by all university rules and policies. They also enjoy some of the same privileges, including equal opportunity and privacy protection.

5.8 The procedures in this policy must be followed in the hiring, assigning and separation of adjunct and part-time faculty members.

6. PROCEDURES

6.1 Eligibility

The conditions for appointment as an adjunct or part-time faculty member at the university are as follows:

a. The individual has academic or other qualifications which could qualify the individual for appointment as a full- or part-time faculty member at the rank of Instructor or higher, or
b. The individual brings a special expertise or honor to a program or academic unit, but does not have the traditional academic qualifications to teach at the university.

6.2 Rank
The rank of Professor, Associate Professor, Assistant Professor, Lecturer or Instructor will be given to the part-time or adjunct faculty member commensurate with the academic qualifications and professional experience of the individual and must be specified in the appointment letter.

6.3 Duration of appointment
Adjunct and part-time appointments are generally limited to a single semester. Adjunct or part-time status and employment by the university may be removed at the discretion of the university at any time upon written notice from the AUH or supervisor.

6.4
Procedures for appointment

6.4.1 Proposals

Proposals for appointments of adjunct and part-time faculty members are made by the appropriate AUH or supervisor to the dean of the college or appropriate vice provost. If the dean or vice provost approves the appointment, it is sent forward to the provost. The dean's decision on adjunct and part-time employment is subject to final approval by the provost.

6.4.2 Offer and Appointment
Once the candidate has been identified the AUH, supervisor or other authorized official will contact the candidate to make the offer of employment. The offer is followed up with a letter that includes a description of the teaching or other assignments, faculty rank and compensation. The letter also includes a statement that the university reserves the right to cancel an assigned course on or before the first day the course is scheduled to meet. The letter states that adjunct or part-time employment does not carry with it a guarantee of or a priority for future employment at JMU. The potential adjunct or part-time faculty member formalizes the letter by signing and returning it to accept the appointment. A Personnel Action Request (PAR) form must be completed by the hiring department and processed in accordance with the hiring procedures of the university.

6.4.3 Onboard Process, Official Transcripts & Other Hiring Documentation

At the time of the offer, the university official will inform the successful candidate that the offer is contingent upon the candidate providing appropriate documentation such as an official transcript, identification and eligibility to work for the university. Until all information is received by the university, the offer may be withdrawn by the university.

For all Adjunct Faculty who will be teaching a for-credit course documentation includes but is not limited to:

  1. The official transcript of the highest degree attained. If that degree is not directly related to the teaching assignment, an official transcript of the degree that is relevant to the teaching assignment must also be submitted. When the degree(s) represented by the official transcript(s) is/are not directly related to the employee's teaching assignment, the hiring department must also submit written justification for the hiring. A Hiring Justification Form is available for this purpose. This justification will describe the employee's qualifications for the particular teaching assignment in the absence of a terminal degree in a related subject.
  2. JMU is a participating member of the eScrip-Safe electronic transcript network. Candidates who wish to submit their transcripts electronically may do so by having them sent to: humanresources@jmu.edu. Candidates who possess degrees from foreign institutions must provide a written equivalency report prepared by a university-approved provider to meet documentation requirements.
  3. The hiring authority must submit the Onboard Form to the Human Resources Service Center. The selected candidate will be required to complete the Onboard process prior to the hire date.

6.5 Pay status
Adjunct and part-time faculty members are generally paid by the class or on a salaried basis. If a full-time non-exempt classified employee is hired as an adjunct for an academic unit, the employee must be paid at least the equivalent of the hourly wage on an overtime basis. The method and rate of pay must be specified in the appointment letter, and must follow university guidelines.

6.6 Assignments and responsibilities
The teaching responsibilities of an adjunct faculty member, and the teaching, service and scholarly activities of a part-time faculty member, are assigned by the AUH or other academic administrator and must be specified in writing in the appointment letter. Only teaching responsibilities are to be assigned to an adjunct faculty member.

6.7 Privileges
Privileges of part-time and adjunct faculty members include:

  • Listing in the Undergraduate Catalog and the Graduate Catalog, as appropriate.
  • Assignment of a JAC card, use of the library and other university facilities (other than computer resources, use of which is limited and will require special permission) upon the same basis as that enjoyed by full-time faculty members.
  • Participation in scheduled university activities, events and meetings upon the same basis as full time faculty members.
  • Eligibility to purchase parking passes.

Adjunct and part-time faculty members (except for full-time employees hired on an adjunct basis in an academic unit other than his or her home unit) are not eligible for regular employment benefits granted to full-time faculty members other than those listed here.

7. RESPONSIBILITIES

The academic unit heads are responsible for recommending appropriate individuals for part-time or adjunct employment, assigning duties and filling out the proper paperwork to appoint a part-time or adjunct faculty member, including the letter of appointment and PAR form.

The potential part-time or adjunct faculty member is responsible for returning the signed offer letter and completing the HR Onboard process before employment begins.

The deans are responsible for reviewing and approving the appointment of part-time and adjunct faculty members, and of sending notification to the provost on any part-time and adjunct appointments to their colleges.

The provost is responsible for final approval of part-time and adjunct status to appropriate individuals. The provost will send a letter to honorary adjunct faculty members.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to part-time staff members or wage employees.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the provost and senior vice president for Academic Affairs.

Previous Version: October, 2008
Approved by the President: January, 2012

Index Terms
Adjunct faculty
Part-time faculty

1204 Information Security

This policy assigns responsibility for the security of departmental, administrative and other critical university information and systems. Components of security include confidentiality, availability and integrity.

4102 Student Financial Obligations

1. PURPOSE

This policy establishes guidelines and procedures for students to settle financial obligations to James Madison University.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6;23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Hold:
The restriction from registering, adjusting course schedules, receiving a diploma or obtaining official transcripts due to nonpayment of tuition/fees and other obligations (fines, rentals, etc.).

4. APPLICABILITY

This policy applies to all students.

5. POLICY

It is the policy of James Madison University for students to be responsible for promptly settling their financial obligations to the university. These obligations may include, but are not limited to:

  • Tuition and fees/room and board
  • Parking fines and fees
  • Residence hall fines
  • Library fines
  • Judicial Office fines
  • Athletic Department fines
  • Personal checks returned unpaid by the bank or reversed credit card payments
  • Fees for not returning equipment or materials
  • Other outstanding financial obligations

6. PROCEDURES

The State Comptroller promulgates procedures for the collection of all Commonwealth receivables. Specific procedures and departmental responsibilities are outlined in Section 4115, "Receivables" of the University Financial Procedures Manual.

7. RESPONSIBILITIES

The assistant vice president for finance is responsible for assisting departments in administering this policy.

The University Business Office is responsible for placing “holds” on student accounts.

8. SANCTIONS

Students who fail to satisfy their financial obligations are subject to having their records placed on "hold," late fees assessed and class registration canceled. This hold will restrict the student from registering for a subsequent semester, adjusting the course schedule, receiving a diploma, and having official transcripts furnished., The University Business Office is required to turn delinquent  debts over to the Commonwealth of Virginia Attorney General’s office or other contracted commercial collection agency for collection if a student fails to satisfy their financial obligations or make satisfactory payment arrangements with the University Business Office by the payment due date.

9. EXCLUSIONS

Exceptions to this policy may be made on an individual basis by the director of the University Business Office; extraordinary circumstances will be taken into consideration.

10. INTERPRETATION

Authority to interpret this policy rests with the president and is generally delegated to the Assistant Vice President for Finance.

Previous version: February 2011
Approved by the President: May 2002

Index Terms

Hold on records
Student accounts

1114 Mandatory Drug and Alcohol Testing for Commercial Driver's License Holders

In order to promote campus and highway safety, the university will conduct mandatory drug and alcohol testing of all university employees who possess commercial driver's licenses and use them in performance of their university jobs.

1334 Student Employment

1. PURPOSE

The university employs qualified students for various positions in order to meet personnel needs. The objective of this policy is to define student employment and to outline the conditions of employment for student employees. Student employment is separate and distinct from financial aid given to students, and this policy also is designed to distinguish between the two types of payments made to students.

2. AUTHORITY

This policy complies with the Virginia Department of Human Resources Management pursuant to the authority provided in 2.2-2900 of the Code of Virginia. The Board of Visitors is authorized to set policy for all employment and student matters at the university. Where it has not exercised this authority, it is delegated to the president. The university reserves the right to revise, change, or eliminate this policy as necessary.

3. DEFINITIONS

At-Will Employment:

An employee who is working at-will may resign from work or be terminated from work with or without cause, with or without severance or advance notice. All student employees are at-will employees.

Federal Work-Study:
A federally funded financial aid program to provide payment for work performed by students on campus or in the community, based on the needs of the student and the availability of funding. The purpose of the Federal Work-Study program is to help the student support himself or herself by providing a part-time job for the student. Federal Work-Study positions are awarded by the Office of Financial Aid and Scholarships to eligible students, but selection for specific jobs is competitive, and placement is not guaranteed.

Fellow:
A student serving in a Fellowship. A Fellow is not considered a student employee under this policy.

Fellowship:
A grant given to a student for the purpose of support during a course of study, not for services rendered. A fellowship is not student employment for the purposes of this policy.

Graduate Assistant:
A student serving in a graduate assistantship is covered by Policy 2103 - Graduate Assistants. A graduate assistant is not considered a student employee under this policy.

Grant:
Funds given to a student for the specific purpose of financial aid, not for services rendered. Grants are not considered student employment under this policy.

Intern:
A student serving in an internship. An intern is not considered a student employee under this policy.

Institutional Employment:
The Institutional Employment Program is designed to assist students in securing on-campus employment regardless of their financial aid eligibility.

Lump Sum Payment:
A payment for a job or piece of work performed (as opposed to payment for time worked), even if the lump sum payment is divided into parts payable at different times. Student employees may be paid via lump sum payments for a job or piece of work.

Scholarship:
A grant of financial aid made to a student for the purposes of attending the university, not for services rendered. A scholarship is not considered student employment for the purposes of this policy.

Stipend:
A fixed and regular payment of a grant of financial aid to a student, not for services rendered. A student employee is not paid via stipend.

Student Employee:
A student hired by the university to perform regular employee duties. Student employees may be paid either under Federal Work-Study or institutional employment policies. A student employee is not serving in an internship, an assistantship, or a fellowship, and is not paid on a stipend, scholarship, grant, fellowship, or other award to obtain training or work experience necessary for the completion of a degree. See Section 9, Exclusions, and Policy 2103 - Graduate Assistants.

Student Employment:
Employment of a current student in a position within the university, either in a Federal Work-Study or an Institutional Employment position, generally to meet part-time, temporary or seasonal needs. Student employees are not covered by the Virginia Personnel Act (Title 2.1, Chapter 10, of the Code of Virginia) and serve at the pleasure of the university.

Student Employment Position:
A position created by the university specifically for student workers. Students must be degree-seeking and enrolled on at least a half-time basis, either in an undergraduate or graduate program during the regular academic year (fall and/or spring semesters) to be eligible for student employment. Per the University Registrar's guideline, half-time basis equates to at least six credits taken each term for undergraduate students; and at least five credits taken each term for graduate students. Students who desire summer employment (institutional employment) must have intent to re-enroll for the upcoming fall semester in an undergraduate or graduate program at James Madison University to be eligible to work as a student employee.

Wages:
Payments for time worked (as opposed to payment for a job or piece of work performed) on a per-hour, per day or per week basis. Student employees may be paid wages for services rendered.

Work Hour Limitations:
Student employees shall be limited to working no more than 20 hours per week while enrolled in classes during the academic year. During periods of non-enrollment (holiday/winter break, spring break, summer, etc.), students are allowed to work over 20 hours per week and are subject to overtime if hours exceed 40 in a work week. Also, undergraduate students in the Adult Degree Program and graduate students without assistantships are allowed to work over the 20 hour limit. Graduate students with assistantships are also exempted from this rule with the approval of their advisor.

4. APPLICABILITY

This policy applies to all student employees and, where applicable, to their supervisors.

5. POLICY

Student employees shall be hired strictly on a part-time, at-will basis. Student employees serve at the will and pleasure of the university.

Student employment is intended to provide additional workers for part-time, seasonal or temporarily excessive workloads, interim replacements, short-term projects, or jobs that do not necessitate full-time classified employees. Student employment does not encompass internships, fellowships, assistantships, or other situations where the purpose of the work performed by the student is primarily training for the completion of a degree. See Section 9, Exclusions, and Policy 2103 Graduate Assistants.

Student employees are not covered by the provisions of the Virginia Personnel Act.

6. PROCEDURES

6.1 Determination of Employment vs. Award of Aid
A department wishing to use a student to perform work must fill out the questionnaire located at www.jmu.edu/financialaid/scholarships/instfunds.shtml, to determine whether the work to be performed by the student qualifies as employment or as an award of a fellowship, internship, assistantship, or other financial aid. If the Financial Aid office makes the determination that the work to be performed by the student qualifies as employment, a Personnel Action Request (PAR) will be submitted to the Student Work Experience Center (SWEC) by the department hiring the student. SWEC will process the paperwork to put the student on the payroll. If the financial aid office makes the determination that the work to be performed by the student qualifies as an award of aid, the award is subject to awarding policies of the financial aid office, and is not employment covered under this policy.

6.2 Compensation
Student wage employees shall be paid only for actual hours worked, and shall be required to keep detailed time sheets. Students paid by the job may be paid in a lump sum, either in a single payment or in increments over a specified period of time.

Applicants normally should be hired at the minimum of the pay band. Applicants with experience related to the position may be hired at a rate higher than the pay band minimum with prior approval from the Student Work Experience Center.

Student wage employees are covered under the Fair Labor Standards Act and must be paid overtime at the one and one-half time rate for hours worked over 40 in a workweek in accordance with university Policy 1303. Therefore, records of hours worked must be kept for all student wage employees regardless of their status.

Direct deposit of pay is a condition of employment for all student employees.

6.3 Benefits
Student employees are covered under the Commonwealth's Worker's Compensation Act. When eligibility is established, compensation is provided by the university.

Student employees cannot accrue paid leave and shall be paid only for holidays on which they actually perform work.

Student employees cannot accrue compensatory time or overtime leave credits.

Student employees are not eligible to participate in the state's health insurance, life insurance, retirement, or other benefit programs. However, there are some limited benefits (such as military leave, Family Medical Leave, etc.) available to certain student employees. See the Office of Human Resources for details.

6.4 FICA Student Exemption
Students employed in student employment positions are eligible for the Federal Insurance Contributions Act (FICA) tax exemption as long as they are enrolled at least half time (6 hours for undergraduates; 5 hours for graduate students). The exemption will remain in effect during semester breaks of five weeks or less.

Student employees are no longer eligible for the FICA student exemption when any of the following occur: a. the student is enrolled less than half time; or b. the break between semesters is greater than 5 weeks; or c. the student obtains a non-student employment position with the university. In this case, the student employee will lose the FICA student exemption in all employment types. The FICA exception policy can be found at http://www.jmu.edu/payroll/studentfica.shtml

7. RESPONSIBILITY

Division heads, academic deans, and department heads are responsible for the consistent application of this policy. Vice presidents, academic deans and department heads are responsible for ensuring hours worked are consistent with this policy. The monitoring of hours of student employees is the responsibility of the individual supervisor.

The Student Work Experience Center will notify hiring supervisors of student employees when particular student employees violate the 20 hours per week policy. Continuing to allow a student to violate the 20 hour policy may subject the department to sanctions.

8. SANCTIONS

Student employees and supervisors of student employees who violate this policy are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to full-time classified employees or members of the instructional or administrative & professional faculty. It does not apply to students who are paid an award, stipend, or other payment in an internship, assistantship, or fellowship position where the purpose of the internship, assistantship or fellowship is to train the student for the completion of a degree, the payment is received regardless of the quality or quantity of the work, and there is no guarantee of a job with the university following the internship, assistantship or fellowship.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Financial Aid and Scholarships.

Previous version: October, 2009

Approved by the president: February, 2008

Index Terms

Students
Student Work
Federal Work Study
Student Employment

2101 Faculty Selection and Hiring Procedures

This policy has been developed in accordance with state and federal law to provide uniformity in the selection and hiring process for faculty members. Compliance is required for all faculty hires, unless otherwise specified herein.

1105 Prohibition of Weapons

This policy provides rules and regulations concerning the possession of weapons on campus and in all facilities and locations owned or operated by James Madison University (the university) in an effort to provide a safe and secure learning and working environment for its students, employees and visitors.

1302 Equal Opportunity

This policy represents a commitment by the university to support the practice, spirit and good-faith efforts regarding equal opportunity and diversity, beyond mere compliance with government regulations. A commitment to diversity is a commitment to all members of the university community. Diversity among staff, students and faculty offers the university an opportunity to realize its mission.

1406 Reporting Suspected Child Abuse or Neglect

The purpose of this policy is not only to comply with relevant state laws related to the mandatory reporting of suspected child abuse or neglect, but to recognize the responsibility of the university to provide a safe environment for children.

4202 Abandoned and Unclaimed Personal Property

This policy outlines the procedures and responsibilities for collection, retention and disposal of abandoned and unclaimed property on the JMU campus or other locations owned, leased or operated by the university.

1104 The Institutional Review Board on the Use of Human Subjects in Research

1. PURPOSE

This policy provides for the establishment of the Institutional Review Board (IRB) at the University to oversee all human research at the university. The Institutional Review Board for the Protection of Human Research Participants is an independent compliance committee mandated by the U.S. Department of Health and Human Services (HHS). (See Title 45, Part 46 of the Code of Federal Regulations.) The most recent version of the regulations, adopted in 1991, includes the adoption of the Federal Policy for the Protection of Human Subjects, generally known as the "Common Rule." This policy, promulgated by the sixteen federal agencies that conduct, support, or otherwise regulate research involving human participants, is designed to make uniform the human research participant protection system in all relevant federal agencies and departments.

2. AUTHORITY

The University is subject to the Federal Rules and Regulations to Assure the Protection of Human Research Subjects. In accordance with the University's General Assurance issued by Health and Human Service Office of the Protection from Research Risks, each proposed project involving human subjects must be reviewed by the University IRB. The university is also subject to the rules and regulations of the Department of Mental Health, Mental Retardation and Substance Abuse Services of the Commonwealth of Virginia. See Code of Virginia Title 37.2, Chapter 4. Those rules provide that each institution that conducts human research is required to establish a human research review committee.

The University committee charged with this responsibility is the IRB. The role of the IRB is to protect the rights and welfare of individuals recruited to participate in research activities conducted under the auspices of the University. The IRB has the authority to approve, require modifications in, or disapprove all research activities involving human participants that fall within its jurisdiction as specified by both the federal regulations and local institutional policy. Research that has been reviewed and approved by the IRB may be subject to review and disapproval by officials of the institution. However, those officials may not approve research if it has been disapproved by the IRB. Research that has been reviewed and approved by the IRB is subject to continuing IRB review and must be reevaluated at least annually, or more frequently if specified by the IRB.

3. DEFINITIONS

Conflict of Interests
A conflict of interests includes

  • A researcher or family member participating in research on a technology, process or product owned by a business in which the faculty member holds a financial interest
  • A researcher participating in research on a technology, process or product developed by that researcher
  • A researcher or family member assuming an executive position in a business engaged in commercial or research activities related to the researchers University responsibilities
  • A researcher or family member serving on the Board of Directors of a business from which that member receives University-supervised sponsored research support

Human Subject (from the Federal Regulations--Section 46.102(f) of 45 CFR 46):
A living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.

Institutional Review Board (IRB):
The human research review committee at the University.

National Institutes of Health (NIH):
The federal agency that requires training for all researchers funded by this agency.

Research-Section 46.102(d) of 45 CFR 46):
A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities.

NOTE: Internal studies by the institution of its own practices, aimed at improving those practices, but not at contributing to generalizable knowledge, are not considered research for the purposes of this policy.

4. APPLICABILITY

This policy applies to all research involving human subjects conducted, supported or otherwise subject to regulation by any federal department or agency. This includes research by any person who is a faculty or staff member or student at the university, regardless of where the actual research takes place. It also applies to research conducted by individuals who are not faculty members or students at the university, if the human subjects are members of the university community.

5. POLICY

No human research shall be conducted or authorized by the university unless the IRB has reviewed and approved the proposed human research project.

NIH regulations state that all investigators and key personnel conducting research on NIH grants or contracts are required to undergo training in the protection of human subjects in research. To adopt the policies of Responsible Conduct of Research, the university requires that all researchers complete a JMU-specific training course, including students and their faculty advisors. This on-line training will be coordinated by the Office of Sponsored Programs in conjunction with the Office of Research Compliance.

6. PROCEDURES

6.1 Institutional Review Board

See IRB membership Requirements at the following URL: http://www.hhs.gov/ohrp/humansubjects/guidance/rtcfr46.htm#46.107

  • Membership - The IRB will consist of a minimum of eleven members representative of a variety of professional disciplines, including at least one member of the student body and one person who is not affiliated with the university, with varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution. The membership will be drawn in compliance within the diversity, competency and professional guidelines established by Title 45, Part 46, Subpart A, Section 46.107 of the Federal Regulations. The members will be appointed annually by the President upon recommendation by the IRB chair and the Office of Sponsored Programs in conjunction with the Office of Research Compliance.
  • Charge - The IRB provides for initial and continuing review of proposals involving human subjects. It assures that the rights of determination, privacy, and confidentiality are maintained through its procedures, and it strives to protect subjects from undue harm by upholding the minimum risk requirement. The IRB follows the appropriate Federal Regulations and those of the Commonwealth of Virginia (see VA Code 32.1-162.16, 18, 20) in the responsible conduct of research and maintains records as required.

6.2 Categories of Research Subject to IRB Review

All research using human subjects must be reviewed and approved by the IRB prior to the initiation of the research project. Among the categories of human research which require direct IRB review are:

  • Undergraduate student honor and Independent Study Projects.
  • Graduate student theses.
  • Studies expected to result in publication, presentation outside the classroom, or public dissemination in some other form.
  • Research conducted outside the classroom and/or departmental research participant pool if they involve: minors (i.e. persons under the age of 18); a targeted population of adults whose ability to freely give informed consent may be compromised (i.e. persons who are socio-economically, educationally, or linguistically disadvantaged, cognitively impaired, elderly, terminally ill, or incarcerated); pregnant women and/or fetuses who may be put at risk of physical harm; a topic of a sensitive or personal nature, the examination or reporting of which may place the research participant at more than minimal risk, or any type of activity that places research participants at more than minimal risk.
  • Faculty or staff research projects (including those which are internally or externally funded).
  • Research by an investigator not affiliated with the university who proposes to involve university students, staff, or faculty as subjects in the proposed research project.

6.3 Criteria Used for Review of Proposals

The IRB must review and approve the proposed human research project giving consideration to:

  • The adequacy of the description of potential benefits and risks and the adequacy of the methodology;
  • The validity of subject selection;
  • The degree of risk and whether the benefits outweigh the risks;
  • Protecting human rights and welfare;
  • Obtaining voluntary informed consent;
  • Whether researchers are competent and qualified;
  • Whether appropriate studies in non-human systems have been conducted prior to the involvement of human subjects.

6.4 Informed Consent

No human research may be conducted without informing the human subject (or subjects) or the legally authorized representative of the subject in writing of the risks, procedures, and discomforts of the research. Consent must be documented in writing and supported by the signature. A voluntary consent form will be included as a part of any questionnaire research. When research involves the use of minor participants, consent must be obtained from a parent or legal guardian. In addition, the minor participants over the age of 6 must provide their assent to participate, using a form appropriate for their age level. All relevant forms are located at Office of Sponsored Programs Forms

Voluntary Informed Consent assures a person's right to exercise free power of choice regarding participation in research. The basic elements of information necessary for voluntary informed consent are:

  • A clear, responsible explanation of procedures and purpose in language appropriate for the subject group (with experimental procedures specifically identified);
  • A description of expected risks or discomforts;
  • A description of expected benefits;
  • A disclosure of alternative procedures available;
  • An offer to answer any questions raised by a subject regarding procedure, concerns, complaints, etc.;
  • Freedom to withdraw/discontinue participation at any time.;
  • Provision of appropriate contact information for the researcher;
  • Maintenance of anonymity/confidentiality of subjects;
  • An explanation that any concerns regarding rights of the research subject should be directed to the chairperson of the IRB.

6.5 Procedures for Submitting Research Proposals to the IRB and Gaining Approval to Commence the Project.

A researcher must submit a proposal to the IRB prior to initiation of the research project. The following steps are to be followed for each project:

Protocol - Exemption Request:

  • Human Research Review Request form. Researcher must select the appropriate exempt request category.
  • Attachment responding to questions 7-9 of this form.
  • Additional relevant research materials (i.e. letter of consent, questionnaire, survey, must be provided where used).
  • Researcher must submit the request and all forms/attachments electronically by email to JMU Grants.
  • Researcher must provide signed Research Review Request form to The Office of Sponsored Programs, MSC 5728, JMAC Building #6, Suite 26.
  • Researcher must receive notification of exemption approval from the IRB prior to conducting the research. If a protocol is deemed 'not eligible' for exemption by the IRB faculty, a full research protocol will be requested.
  • Researcher must notify the IRB of any substantial departures from the original protocol before continuing the research.

All relevant forms are located at Office of Sponsored Programs Forms

Protocol - Non-Exempt (Full):

  • Researcher must complete Human Research Review Request form.
  • Completion of IRB Checklist (Researcher must complete the top of this form AND check all the elements included in the submission).
  • Submission of Research Narrative (10 pages maximum, not to include literature review)
  • Submission of additional relevant research materials (i.e. letter of consent, questionnaire, survey, must be provided where used).
  • Researcher must prepare the research proposal using the items contained on the Research Proposal Checklist.
  • Submission of the research proposal electronically.
  • Researcher must provide signed Research Review Request form to The Office of Sponsored Programs, MSC 5728, JMAC Building #6, Suite 26.
  • Researcher must receive notification of approval from the IRB prior to conducting the research.
  • Researcher must notify the IRB of any substantial departures from the original protocol before continuing the research.

All relevant forms are located at Office of Sponsored Programs Forms

Initial IRB approval is granted for the duration of the project dates indicated on the Review Request Form; but for no more than one year. Researchers must submit a follow-up report at the conclusion of their research. This should be submitted to the Office of Sponsored Programs when the project is completed or no later than two weeks prior to the approved ending date. For multi-year projects, this report form should be submitted annually. (Appendix D)

An on-line tutorial on how to complete an IRB application is available on the Sponsored Programs web site and in both Student (Appendix H) and Faculty (Appendix I) brochures.

6.6 Statement of Concern/Complaint

Any person who has a complaint about a human research project shall submit in writing to the Director of Research Compliance a statement of complaint and a brief description of the events that document the complaint. The Research Compliance director shall refer the complaint to the IRB to determine if there has been a violation of protocol.

If the IRB in conjunction with the Director of Research Compliance determines that this policy has been violated or that the project was conducted in violation of protocol, it shall recommend to the President the course of action the university should take, including the possibility of a sanction to be imposed against the researcher. Possible sanctions for violation of this policy are set out in Section 8 herein.

6.7 Training

Every person conducting a research project that includes the use of human subjects must complete a training course and successfully pass a certification exam. The training and test can be found on the Sponsored Programs web page. Training is required regardless of whether the project is externally funded. Training must include key foreign and domestic personnel on subcontracts and consultants, and it applies whether or not these individuals are compensated from the award. The training requirement encompasses students and their advisors when conducting any kind of research, including classroom-based projects. Although subject to modification based on changing federal guidelines, training is currently required annually for each student investigator and recommended every 3 years for faculty/staff.

The web based training program required of all research personnel, including students and their research advisors, may be found on the Sponsored Programs IRB home page.

Investigators carrying out federally sponsored research that involves human subjects can obtain further training on the web at the NIH website. Completing training through NIH does not release the researcher from having to complete the web-based training package provided by JMU.

6.8 Special Circumstances

There are additional approvals required for specialized activities as follows:

  • If a research project is to be conducted off-campus, a letter of approval from the appropriate site coordinator or senior administrative official must be obtained in advance and submitted along with the approval request.
  • The University will provide additional protections pertaining to research, development, and related activities involving fetuses, pregnant women, and in vitro fertilization of human ova, and for prisoners involved in research and additional safeguards in research when that research involves children, individuals institutionalized as mentally disabled, and other potentially vulnerable groups in accordance with Federal regulations.
  • Federal Guidelines require assurance that there are no conflicts of interest in research projects that could affect the welfare of human subjects. If a study presents a potential conflict of interest, additional information must be provided to the IRB in accordance with JMU Policy 2203.

7. RESPONSIBILITIES

The IRB is responsible for reviewing research protocols concerning human research, evaluating those proposals to determine if they meet the requirements, and approving or disapproving such proposals. Additionally, the IRB is responsible for monitoring ongoing projects previously approved, handling complaints concerning human research projects, and making recommendations on sanctions to the President.

Faculty members are responsible for ensuring that projects conducted as part of a class are submitted for review by the IRB, and for submitting their own research for review.

The Office of Sponsored Programs in conjunction with the Office of Research Compliance is responsible for updating procedures, forms and providing training for researchers through the web based program in section 6.7 above.

8. SANCTIONS

Any researcher who fails to abide by this policy is subject to sanctions, up to and including termination of employment with the university for faculty and staff members, expulsion from the university for students, and being barred from any further research on the university campus for researchers outside of the university.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

In certain cases, the IRB chair or his/her designee may approve a protocol as being eligible for exemption from IRB review. Exemption requests must be submitted to the IRB, and approval received prior to conducting the research, using the procedure described in 6.5.

Examples of studies which may be eligible for exemption follow:

  • those conducted solely within the confines of the classroom or within a departmental research participant pool even when they
    • Are a general requirement of a course
    • Have the sole purpose of developing the student's research skills, and
    • Will be overseen by a faculty member;
    • those conducted outside the classroom and outside departmental research participant pools, provided they do not involve minors, do not target special adult populations, do not pose a risk of physical harm to pregnant women and fetuses, do not deal with a topic of sensitive or personal nature, or do not involve any type of activity that places the participants at more than minimal risk;
    • those that are part of a larger research project that has current university IRB approval;
    • those that are part of a larger research project that has current approval of a registered IRB at another institution, provided that, if research participants are to be recruited at James Madison University, the Institution's IRB has given permission for such on-campus recruitment;
    • Those that are quality evaluation, learning assessment, or consumer acceptance studies.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Sponsored Programs and the IRB Chair.

Previous version: June, 2008
Approved by the President: June, 2008

Index Terms

Institutional Review Board (IRB)
Human Research
Human Subjects
Sponsored Programs

Appendices

All relevant forms are located at Office of Sponsored Programs Forms.

1506 Use of University Property

The purpose of this policy is to prohibit employees of the university from using university property for personal or private purposes.

3109 Bloodborne Pathogens UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

  1. PURPOSE

    This policy advises classified employees, faculty members, administrators, student employees and all other employees of the university of the practices and procedures to help prevent exposure to the Hepatitis B (HBV) and Human Immunodeficiency Virus (HIV) by blood and other body fluids.
  2. AUTHORITY

    This program is mandated for all at risk employers/employees by the United States Department of Labor in Occupational Safety and Health Act (OSHA) Standard 29 CFR 1910.1030 of March 6, 1992, and by the Commonwealth of Virginia through Virginia Occupational Safety and Health (VOSH) and is applicable to the university.

    The President of the university has given the Vice President for Student Affairs the responsibility and the authority to ensure that these guidelines are followed and complied with.
  3. DEFINITIONS

    At risk employees:
    All employees who could be "reasonably anticipated," as a result of performing their job duties, to have contact with blood and other potentially infectious materials.

    Exposure incident:
    A specific eye, mouth, other mucous membrane, non-intact skin, or parenteral contact with blood or other potentially infectious materials that results from the performance of an employee's duties.

    Other body fluids:
    Substances such as human semen, vaginal secretions, cerebrospinal fluid, peritoneal fluid, amniotic fluid, saliva in dental procedures, any fluid visibly contaminated with blood, and indistinguishable body fluids.
  4. APPLICABILITY

    This policy applies to all employees of the university.
  5. POLICY

    Members of the university community are to comply with OSHA and VOSH health related codes, laws and standards applicable to the handling of and exposure to Bloodborne Pathogens.

    The Bloodborne Pathogens Control Program is designed to help prevent the spread of HIV and HBV infections to persons who may be reasonably expected to come into contact with blood and other body fluids as part of their work/activities or what is defined by OSHA as an "exposure incident"(see definitions below). It should be noted, however, that there is limited possibility that someone will acquire HIV or the HBV as a result of job-related contact with blood or other body fluids.

    Until proven otherwise, all blood and other body fluids will be considered contaminated. For purposes of expediency, future reference to "blood and other body fluids" will simply be stated as "blood."
  6. PROCEDURES

    6.1 AT RISK POSITIONS

    Human Resources will evaluate the Employee Work Profile (job description) to determine whether a position is to be considered 'at-risk'. A supervisor requesting change of status for any position must request the change from human resources. Vice presidents, division heads, and their supervisory staff will annually identify at risk positions/personnel and ensure that they comply with the appropriate instructions. Human resources will maintain a list of all positions (faculty, staff, and students) that have been designated at risk.
  1. The employee will be notified by his/her supervisor of the time and location for the medical training and the departmental training (see Training section).
  2. After the employee has received both training sessions, he/she is required to take one of the following actions:

    • If the employee decides against the inoculation option, he/she must complete a Declination Form and submit it to the trainer. These forms will be filed in the University Health Center.
    • An employee in an at risk position, may decide at a later time to receive the inoculation. They should contact the university health center to schedule their first inoculation.
    • If the employee chooses to be inoculated, he/she must complete the HBV/HIV Consent form. They will then receive the first of three inoculations from the University Health Center. The employee is responsible for obtaining the second and third inoculations according to the specified time frame.
    • Provide appropriate documentation of previous inoculation series.
Any other faculty, classified employee, wage employee, or student who is exposed to blood or body fluids as a result of performing a "good Samaritan" act during working hours, which is outside of his or her duties is covered for post exposure.

6.2 Persons who begin the inoculation process, but fail to complete the series by the designated time schedule, should consult with one of the UHC RNs responsible for the BBP medical training.

6.3 TRAINING
All persons in at risk positions will be given medical and departmental training provided by the university. Human Resources and the University Health Center will coordinate all medical training activity. Human Resources will maintain employee-training records. Human Resources will maintain training records for all student positions designated at risk.

1) Medical Training

  • This training will be provided by the University Health Center and will include:
  • What are bloodborne pathogens?
  • Who is at risk?
  • What is exposure?
  • How is an exposure incident handled?
  • How does the employee protect himself/herself?
  • Information on the vaccine.
  • Laboratory workers must receive additional specialized training.
2) Department Training
All departments with at risk positions must conduct annual departmental training, including any pertinent updates. Employees must be aware of the HAZMAT (hazardous materials) manual, the OSHA regulations, and the exposure control plan, including where these materials are kept within the department. The training must review the specific exposure control plan developed for the office/department. An outline of an exposure control plan would include:

  • Definition of at risk positions for the department
  • Description of specific job duties/tasks that place the employee at risk (i.e. performing venipunctures, aiding an injured athlete).
  • Description of proper performance of job duties to prevent disease transmission (i.e. proper hand washing, use of barriers such as gloves).
  • Description of engineering and work practice controls which are in place to reduce the likelihood of exposure (i.e. sharps disposal containers, biohazard bags).
  • Description of hazard communication (i.e. warning labels).
  • Description of personal protective equipment available in the departments and its proper use (i.e. latex gloves, goggles).
  • Description of decontamination and disposal procedures of personal protective equipment and infectious waste or materials (i.e. clean-up procedure, proper use of bleach).
  • Description of other protective practices required by the department.
  • Reporting process for an exposure incident.
  • Departmental engineering and work practice controls must be examined and evaluated on a regular basis to ensure their effectiveness.
  • Annual re-evaluation and implementation of safer needle devices as part of the exposure control plan update.
  • Documentation of the involvement of non managerial, front line employees in choosing safer needle devices.
6.4 POST-EXPOSURE EVALUATION AND FOLLOW-UP

  1. Employees (whether at risk employees or others performing a good Samaritan act who have a potential exposure incident) will contact the designated supervisor. If the exposure is related to BBP, the supervisor will immediately contact the university safety engineer or Workers Compensation coordinator in Human Resources and refer the employee to the University Health Center (during regular hours) or the Rockingham Memorial Hospital Emergency Room for medical evaluation) The supervisor will complete the Blood Borne Pathogen Incident Report available on the HR Website.
  2. Persons may sign a waiver refusing medical assessment and treatment.
  3. If an exposure is validated by medical personnel, an evaluation will include a confidential medical evaluation documenting the circumstances of exposure, identifying and testing the source individual, if feasible, testing the exposed employee's blood, post-exposure inoculations, counseling and evaluation of reported illnesses. The university will cover the associated costs. The results of any tests will be kept confidential and disclosed only with written consent of the exposed individual.
  4. A "Sharps Injury Log" for recording injuries from contaminated sharps will be kept by Human Resources. Incidents should be reported using the "Needle stick Reporting Form" available on the HR website
6.5 MEDICAL RECORD KEEPING
The medical records for all persons involved in an exposure incident must be maintained for length of employment plus 30 years. All records are confidential. Records must include name and social security number, hepatitis B vaccination status (including dates), results of any examinations, medical testing and follow-up procedures, a copy of the healthcare professional's written opinion, and a copy of information provided to the health care professional. Faculty, classified staff and administrative employee records will be maintained in Human Resources. Student employee records will be maintained in the University Health Center.

  1. RESPONSIBILITIES

    7.1 Each department head is responsible for the application and enforcement of the mandated policy in areas under their direction. The office of public safety, director of human resources and the Associate Director of the university Health Center will facilitate compliance with the standard.

    7.2 Department heads of at risk personnel are responsible to develop and implement departmental exposure control plans; disseminate awareness information; establish engineering and work practice controls and alert human resources of vacancy in an at risk category or identify new at risk positions.

    7.3 All approved costs involved in training, equipment, inoculations, decontamination, post exposure follow-up and like expenses related to this program will be paid by the university through designated budgets.

    7.4 The office of public safety and the human resources office will oversee and assure compliance of the Bloodborne Pathogen Control program at the university. The University Health Center in cooperation with Human resources will coordinate and provide the medical training and vaccination administration to all at risk employees.

    7.5 Directors/Department heads are responsible for maintaining an accurate record of the status of employees in at risk positions related to medical and departmental operation.
  2. SANCTIONS

    Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.
  3. EXCLUSIONS

    None
  4. INTERPRETATION

    The authority to interpret this policy rests with the President, and is generally delegated to the Vice President for Student Affairs.
Original Version: March 1, 1999

Approved: May 2002
Linwood H. Rose, President

Index of Terms

Blood
HIV
Hepatitis
Vaccination





1111 Smoking Regulations

This policy establishes the rules and regulations concerning smoking on the JMU campus, on property controlled by JMU, and in facilities and vehicles owned or controlled by JMU. This policy ensures compliance with the Virginia Executive Order 41.

4501 University Business Activity

This policy outlines the criteria for the university to ensure that its business activities are conducted in conformity with federal income tax legislation.

4100 Signature Authority on Contracts

This policy establishes those who are authorized to sign contracts to enter the university into official commitments, financial or otherwise.

1115 Violence Prevention

1. PURPOSE

This policy is to provide procedures for the prevention of violence on campus, including assessment and intervention with individuals whose behavior poses a threat to the safety of the campus community.

2. AUTHORITY

The Board of Visitors is specifically required under § 23-9.2:10 of the Code of Virginia to determine a committee structure on campus of individuals charged with education and prevention of violence on campus.

3. DEFINITIONS

Behavioral Assessment Team (BAT):
The committee charged with assessment of and intervention with students whose behavior may present a threat to themselves or the safety of the university community. The BAT is a standing committee chaired by the Dean of Students, and including members from the Counseling Center, the Health Center, Judicial Affairs, Public Safety, Residence Life, Disability Services, and Academic Programs, and representatives from other university offices on an as needed basis.

Emergency Response & Recovery Team (ERRT):
The committee charged with assessment and intervention advising the division heads concerning response to and recovery from emergencies on campus, when convened by the President. The ERRT is a standing committee chaired by the Executive Assistant to the President, and includes members from Academic Programs, Business Services, Information Technology, Public Safety, Dean of Students, and the University Spokesperson.

Faculty/Staff Assessment Team (FSAT):
The committee charged with assessment of and intervention with faculty and staff members whose behavior may present a threat to themselves or the safety of the university community. The FSAT is chaired by the Director of Human Resources, and constituted as an ad hoc committee that includes members from the Counseling Center, Human Resources, Public Safety, and other university offices as appropriate.

Violence Prevention Team (VPT):
The committee charged with overseeing the education of the campus community on the prevention of violence on campus. The VPT is a standing committee chaired by the Executive Assistant to the President, and includes representatives from Judicial Affairs, the Health Center, Public Safety, and the Dean of Students.

4. APPLICABILITY

This policy applies to all members of the university community, all violence and threats of violence on campus, and all forms of physical violence to self and others.

5. POLICY

The university is committed to providing a safe and secure environment for all of the members of the community. The BAT and FSAT will meet as needed to assess and intervene with students, faculty and staff members whose behavior may present a threat to themselves or the safety of the university community. The VPT will develop plans and strategies to support the education of the university community on violence prevention, and to promote the engagement in and commitment to a safe campus. The ERRT will advise the president and division heads on the response to all emergencies on campus, and recovery from such emergencies.

6. PROCEDURES

6.1 Membership
All committees in this policy include legal counsel as ex-officio members, and may include other officials on an as needed basis to respond to specific incidents.

6.2 Committee Responsibilities
Each committee has developed a statement of mission, membership, and leadership.

6.3 Reporting Concerns
Any member of the university community who believes that the behavior of an individual who is on campus or who is a member of the community may present a threat to self or others in the university community should report the person to any member of the appropriate committee herein. BAT and FSAT will develop procedures to track reports and actions taken, including responses to victims of violence and threats of violence.

6.4 Actions by Committee
Reports of threatening behavior which are received by a committee member will be shared with the remainder of the committee as soon as practicable, either by phone, email, or a meeting. The committee will assess potential threats, and consider and recommend appropriate means of intervention to the appropriate university officials. Intervention may take the form of any appropriate means of action to prevent violence to self or others, including interim suspension or medical separation, to resolve potential threats.

6.5 Outside Resources
All committees listed in this policy shall, through the law enforcement personnel who serve as members, establish relationships or utilize existing relationships with local and state law-enforcement agencies to expedite intervention with individuals whose behavior may present a threat to safety. Committees listed in this policy shall, through the counseling and health personnel who serve as members, establish relationships or utilize existing relationships with local and state mental health agencies to expedite assessment and intervention with individuals whose behavior may present a threat to safety. Other members of committees listed in this policy shall establish relationships or utilize existing relationships with other appropriate local and state programs and agencies to expedite intervention with individuals whose behavior may present a threat to safety.

6.6 Obtaining Criminal History and Health Information
Upon a preliminary determination that an individual poses a threat of violence to self or others, or exhibits significantly disruptive behavior or need for assistance, the BAT or the FSAT may obtain criminal history record information, as provided in §§ 19.2-389 and 19.2-389.1 of the Code of Virginia, and health records, as provided in § 32.1-127.1:03 of the Code of Virginia through the Office of Human Resources under provisions set forth in Policy 1321. No member of a team shall redisclose any criminal history record information or health information or otherwise use any record of an individual beyond the purpose for which such disclosure was made to the committee. However, such information may be shared with the appropriate members of the administration on a need to know basis in order to take appropriate action regarding the individual. Information that is obtained through a third party administrator must be managed in compliance with applicable federal and state regulations, including the Americans with Disabilities Act, the Family Medical Leave Act, the Fair Credit Reporting Act, and the Health Information Portability and Accountability Act.

7. RESPONSIBILITIES

The BAT is responsible for assessing student behavior and making recommendations to the administration on the most appropriate intervention to respond to students whose behavior may present a threat to themselves or the safety of the university community.

The FSAT is responsible for assessing faculty and staff behavior and making recommendations to the administration on the most appropriate intervention to respond to faculty and staff members whose behavior may present a threat to themselves or the safety of the university community.

The VPT is responsible for providing education and guidance to all members of the university community regarding recognition of threatening or aberrant behavior that may represent a threat to the community, and identification of members of the campus community to whom threatening behavior should be reported.

The ERRT is responsible for making recommendations to the president and division heads on the response to all emergencies on campus, and recovery from those emergencies.

8.SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense.

9.EXCLUSIONS

Threats of violence which concern neither members of the university community nor the campus are not covered by this policy.

10.INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Special Assistant to the President.

Previous version: None
Approved by the President: September, 2010

INDEX TERMS

Behavioral Assessment Team (BAT)
Emergency
Emergency Response & Recovery Team (ERRT)
Faculty/Staf Assessment Team (FSAT)
Threats
Violence
Violence Prevention Team (VPT)

1304 Outside Employment of Faculty

1. PURPOSE

This policy provides guidelines for the reporting and monitoring of employment outside of the university by faculty members.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Conflict of Commitment
Conflicts of commitment are generally situations in which a faculty member is dedicating so much time or focus to outside employment activities that they detract from his or her primary responsibility to the institution, regardless of the level of financial or economic consideration, if they cause a lack of commitment of time and effort to the institution.

De Minimus Compensation
For the purposes of this policy, payments for work given to or earned by a faculty member for services performed outside of the university in an amount totaling no more than $10,000.00 annually.

Faculty member
Unless otherwise specified, the term "faculty member" refers to both members of the instructional faculty as well as administrative and professional faculty.

Instructional faculty
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties.

Outside employment
Work performed by a faculty member outside of any relationship with the university. Work of this nature includes employment by any other entity, as well as all self-employment and self-initiated professional services such as consulting, workshops, seminars, conferences, institutes, or short courses accomplished for any source other than the university, if such employment or services are compensated by a funding source other than the university.

4. APPLICABILITY

This policy applies to all full-time instructional faculty members and A&P faculty members at the university during the term of their employment with the university. The employee/employer relationship between a full time faculty member and the university is continuous even in periods where no duties are assigned (e.g., during the summer for faculty members on continuing academic year appointments, or during leave), and this policy applies during those periods. This policy applies to all employment or work outside of the university for remuneration of any sort.

5. POLICY

5.1 No full-time faculty member may engage in any outside employment, nor in any private business or profession, in a manner or to an extent that affects or is deemed likely to affect his or her usefulness as an employee of the university.

5.2 No faculty member may engage in outside employment if it violates the Virginia Conflict of Interests Act. See Policy 1106, Conflict of Interests.

5.3 No full-time faculty member may engage in part-time or full-time teaching for another institution during employment by the university without prior approval of the appropriate senior vice president, except as provided in section 9.

5.4 No faculty member may engage in employment with another state agency without prior approval of the appropriate supervisor.

5.5 Faculty members must report all outside employment to the university in order for the university to evaluate any potential for such interference and to monitor the potential for interference during the course of the outside employment. This reporting requirement does not apply to de minimus payments as defined herein; however, the prohibitions against conflicts of interest and commitment, and the prohibition against interference with work commitments to the university still apply, and prior approval must still be obtained for any work for another state agency or outside teaching, except as provided in section 9.

6. PROCEDURES

The following establishes university standards and guidelines for reporting outside employment.

6.1 The primary obligation of full-time faculty members is to fulfill the duties of their contracted positions with the university. Outside employment should in no way interfere with this responsibility. If it is determined that outside employment interferes with full-time contracted responsibilities, the faculty member will be notified. A faculty member who is notified that his or her outside employment constitutes a conflict or interferes with university responsibilities will be required to cease such outside employment or be terminated from employment at the university.

6.2 Faculty members engaged in outside employment represent only themselves and not the university. This fact must be made known to outside employers and others as appropriate.

6.3 Faculty members engaged in outside employment are not allowed to use university equipment, supplies, services, manpower or facilities for such outside employment without prior approval and the payment of required fees and charges as determined appropriate by the Assistant Vice President for Finance.

6.4 Any faculty member who accepts a tenured position with another institution concurrent with employment at the university will be considered to have resigned his or her position with the university, and such resignation will be considered effective immediately, regardless of the duration of the employee's current contract term. Acceptance of tenure at another institution which will not take effect until after completion of the faculty member's university employment is not covered by this provision.

6.5 Approval and Conflict of Interest
Other than outside teaching and work for other state agencies, no formal, written or verbal request for approval is required for a faculty member to engage in outside employment. However, faculty members engaging in outside employment must notify their vice president through reporting channels in writing of any outside employment relationship. This notice should state the faculty member's name and current position; the name and address of the other employer; the position and description of duties for the other employer; and the estimated duration of the outside employment. An estimate of the annual earnings from all outside employment must be provided by each faculty member to his or her supervisor annually if the compensation is not de minimus as defined herein.

6.6 Employees contracting with another state agency must abide by section 2.2-3100 of the Virginia Conflict of Interests Act. This section requires an employee to give written notice in advance to both the current agency and the proposed contracting agency, of the employee's material financial interest.

6.7 Full time faculty members who engage in teaching outside of the university must give written notice in advance to their supervisors, and obtain prior approval up to and including the appropriate Vice President for such outside teaching, except as provided in section 9.

7. RESPONSIBILITIES

Faculty members are responsible for informing their supervisors of all outside employment. Faculty members are responsible for obtaining prior approval for any work for any other state agency, and for any outside teaching except as provided in section 9.

Department heads, directors, deans and vice presidents are responsible for monitoring the potential for interference and conflicts between a faculty member's reported outside employment and his or her primary duties at the university.

The Assistant Vice President for Finance is responsible for determining all fees and charges for invoicing a faculty member engaged in outside employment for the use of any university equipment, supplies, services, manpower or facilities.

Each vice president is responsible for approving any outside teaching by a full time faculty member in his or her division, except as provided in section 9.

The president is responsible for approving work for any other state agency by a faculty member.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Participation in paid military reserve drills and other military activities are not to be construed to be outside employment under this policy.

Full-time faculty members on academic year appointments are not required to obtain prior approval to teach at another institution during the summer months, unless they are given appointments to provide services to the university during the summer.

This policy does not apply to work for which no compensation or other remuneration is received, unless such work interferes with the responsibilities of the faculty member to the university. It does not apply to investment income or ownership in a venture in which the faculty member performs no work.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Vice President for Academic Affairs.

Previous version: September, 2012
Approved by the President: September, 2012

Index of Terms

Outside employment
Extra employment
Consulting
Teaching at other institutions

1403 A&P Faculty and Classified Staff Training & Development

1. PURPOSE

The purpose of this policy is to outline the university's commitment to the development of its employees by providing and encouraging participation in a variety of job-related training and development opportunities.

2. AUTHORITY

The Board of Visitors has granted the president responsibility for the university's effective operation, to include the development of its faculty and staff, and the authority to dictate policies and procedures in that effort.

The policy is also under the authority and in support of the following university defining characteristic:

The university will invest in the professional development of its people.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Professional Development
Participating in an activity - training event, workshop, conference, certificate program, literature review, etc. - for the purpose of learning and improving one's job performance.

Work-Related Education and/or Training
Education or training that is required by the university, law, or regulatory agency to keep present salary, status, or job. The required education must serve the functional purposes of the university. Or, education that maintains or improves skills needed in the employee's present job.

4. APPLICABILITY

This policy applies to classified staff, Administrative & Professional Faculty (A&P faculty), and wage employees.

5. POLICY

The university encourages and supports the professional development of employees to aid and improve job performance. Participation in job-related courses, workshops, seminars, conferences, and meetings directly related to the goals and objectives of the university will be supported as funding is available to enable high levels of job performance.

The university will provide assistance and guidance, through department heads and supervisors, to employees interested in increasing and maintaining their levels of job performance. The Training and Development Department will develop a wide variety of training opportunities and will also publish activities sponsored by the university and outside sources.

Participation in professional development is subject to supervisory approval and employee workloads.

JMU will not pay for training taken to meet minimum requirements of an employee's present job, or for training that is part of a program of study that will qualify the employee for a new trade or business.

6. PROCEDURES

The responsibility of approving or denying tuition reimbursement requests falls within the employee's department (see Policy 1401). However, Training and Development may be able to assist with the funding depending on availability and appropriateness.

Training and Development may reimburse employees for professional development activities toward job-related certification and licenses after the passing of the certification or license exam, based on active employment with JMU and availability of funds.

Advance payment or reimbursement for professional development, including job-related licenses and certifications, is at the discretion of the employee's department.

Using JMU Employee Self-Service (MyMadison), employees can maintain a record of all professional development activities managed by outside vendors. All internal trainings will be entered into MyMadison by the appropriate training department - i.e. Center for Instructional Technology (CIT), Training & Development, Information Technology Training, etc. Faculty and staff members are provided an opportunity to examine their professional development records in this self-service functionality.

A systematic review of training needs will be made periodically to assess the training and development needs of university administrative and professional faculty and staff members. Such assessments will provide the basis for planning and programming university training activities.

7. RESPONSIBILITIES

The Training and Development Department is responsible for developing and publicizing a variety of training opportunities based on its research of the needs of university staff, A&P faculty, and departments. The primary purpose of the Training and Development Department is to assist employees in improving their job performance.

Supervisors are responsible for encouraging those they lead to participate in training and to allow for scheduling flexibility that frees employees to be trained.

8. SANCTIONS

Employees who violate this policy are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Educational opportunities covered in Policies 1401, 1402, and 1405 are excluded from this policy.

Instructional Faculty members are not covered in this policy, nor are they under the purview of the Training and Development Department. Instructional Faculty professional development is addressed by the individual academic departments as well as such units as CIT and the Center for Faculty Innovation.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Training and Development.

Previous version: March, 2010
Approved by the President: May, 2002

Index of Terms

Training
Training opportunities

1314 Transfer or Separation from Employment

1. PURPOSE

This policy protects the university's interests by establishing procedures for supervisors, Human Resources(HR), Student Work Experience Center (SWEC), Information Technology(IT), Payroll Services and other departments to use in ensuring that proper security is maintained when an employee transfers or separates from university employment.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University.  See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Employee
Any person employed by JMU in any capacity.

Separation
An action that results in the employee ceasing the employee/employer relationship with the university.

Transfer
An action that results in an employee of the university moving from one position to another, either voluntarily or involuntarily.

4. APPLICABILITY

This policy applies to all university employees.

5. POLICY

When an employee is no longer employed by the university, or moves from one position to another, action by the department from which the employee is transferring or separating must be taken to ensure that the transfer/separation process protects the university's rights, security and property. It is very difficult to retrieve property and information after an employee separates from the university. Therefore, supervisors are responsible for ensuring immediate compliance with this policy before the employee leaves the university.

6. PROCEDURES

6.1 Procedures for supervisors of separating employees:

6.1.1 Submit a Personnel Action Request to HR or SWEC as soon as the supervisor becomes aware of the employee's separation.

6.1.2 Collect university property including, but not limited to electronic equipment, JACard, small purchase and travel card, keys, parking permit (which must be returned to Parking Services), uniforms, etc. from the separating employee.

6.1.3 Notify the following departments:

6.1.4 Submit a request to terminate the separating employee's central systems access (e.g., Student, HR and/or Finance); network file storage access; Exchange distribution groups, resources, shared departmental mailboxes and calendar access; and other systems access. A request for each system the employee has access to must be submitted.

6.1.5 Academic unit heads shall obtain grade records for the preceding academic year from separating faculty in accordance with Faculty Handbook section III.A.2.b.(15).

6.2 Procedures for supervisors in the department from which the employee is transferring:

6.2.1 Collect university property including, but not limited to electronic equipment, small purchase and travel card, keys, uniforms, etc. The transferring employee keeps his or her JACard and parking permit.

6.2.2 Notify the following departments:

6.2.3 Submit a request to remove or terminate the employee’s  central systems access (e.g., Student, HR and/or Finance); network file storage access; Exchange distribution groups, resources, shared departmental mailboxes and calendar access; and other systems access. A request for each system the employee has access to must be submitted.

6.2.4 For classified employees, an Interim Performance Evaluation should be completed prior to departure if, after six months into the performance cycle, an employee transfers, promotes or demotes into a new position with a different supervisor within an agency or between state agencies. Interim evaluations should be maintained in supervisors’ documentation files to be used when the annual evaluation is completed. The employee's new supervisor should consider this information in assessing the employee's performance at the end of the performance cycle. Reference Policy 1305-Performance Evaluation for Classified Employees, section 6.4. 

6.3 Procedures for the supervisor of the department the employee is transferring into:

6.3.1 Submit a Personnel Action Request to HR or SWEC as soon as the supervisor becomes aware of the employee’s transfer.

6.3.2 Disburse university property for the new position, such as electronic equipment, keys, uniforms, etc.

6.3.3 Notify the following departments:

6.3.4 Submit a request to initiate the transferring employee's central systems access (e.g.; Student, HR and/or Finance); network file storage access; Exchange distribution groups, resources, shared departmental mailboxes and calendar access; and other systems access as required. A request for each system to which the employee needs access must be submitted.

6.3.5 The employee's new supervisor should consider information provided by the former supervisor on an Interim Performance Evaluation when assessing the employee's performance at the end of the performance cycle. Reference Policy 1305-Performance Evaluation for Classified Employees, section 6.4. 

6.4 Procedures for Human Resources upon receipt of an employee’s separation Personnel Action Request:

6.4.1 Forward the Personnel Action Request to Payroll Services after processing through HR.

6.4.2 Run an exit clearance query and a query to notify supervisors of their responsibilities.

6.4.3 Send the exit clearance query (via email) to the following offices:

  • Accounting Services
  • Accounts Payable
  • Business Services (Computer Loan Program)
  • Card Services
  • Financial Services
  • IIS Security
  • IT Security
  • Libraries & Educational Technologies
  • Lockshop
  • Mail Services
  • Parking Services
  • Procurement Services
  • Residence Life
  • Sponsored Programs
  • Technical Services
  • Telecommunications
  • University Advancement
  • University Business Office

6.4.4 Send a Benefits Information for Exiting Employees memorandum to separating full-time employees. This memo includes information concerning the following:

  • A reminder that all university property shall be returned to the employee's supervisor before leaving the university;
  • Health insurance and COBRA information;
  • Life insurance, long-term disability and tax-deferred annuities.

6.4.4 Send the separating employee's supervisor a link to the Checklist for Supervisors of Transferring or Separating Employees to notify the supervisor of their responsibilities under this policy.

6.4.5 Contact managers of supervisors who fail to provide timely Personnel Action Requests.

6.5 Procedures for Human Resources upon receipt of an employee’s transfer Personnel Action Request:

6.5.1 Forward the Personnel Action Request to Payroll Services after processing through HR.

6.5.2 HR will email the former supervisor and the new supervisor informing them of their responsibilities under this policy concerning transfers.

6.6 Procedures for SWEC upon receipt of a student employee’s or GA’s separation or transfer Personnel Action Request:

6.6.1 Forward the separation Personnel Action Request to Payroll Services after processing through SWEC.

6.6.2 Contact managers of supervisors who fail to provide timely Personnel Action Requests.

6.7 Procedures for departments receiving notification of separations or transfers:

6.7.1 Departments receiving separation or transfer notification are responsible for taking appropriate actions before the employee's separation or transfer date.

7. RESPONSIBILITIES

Supervisors have primary responsibility for adherence to this policy by closely and quickly overseeing the process of their employee’s transfer or separation. Supervisors are responsible for ensuring that HR or SWEC is notified of a separation as soon as they first become aware of an employee’s transfer/separation. Supervisors are responsible for ensuring that HR or SWEC receives the separation Personnel Action Request. (Exceptions to this exist when the separation date was submitted at the time of hire, in other words – the employment agreement has a beginning and end date.) Supervisors are also responsible for collecting university property from the employee being transferred/separated and sending notifications as specified in this policy.

HR or SWEC will contact the managers of supervisors who fail to provide timely notifications (including timely submission of the Personnel Action Request).

HR or SWEC will  process the transfer/separation Personnel Action Request upon receipt and forward it to Payroll Services for further processing to facilitate the transfer or the timely distribution of termination pay. 

HR will notify the offices listed in section 6.4.3 when employees (including student and wage employees) separate. HR will also provide notification to the transferring/separating employee’s (including student and wage employees) current supervisor and /or new supervisor concerning their responsibilities under this policy. Supervisors of employees are required to complete the Checklist for Supervisors of Separating or Transferring Employees upon notification of the separation date. 

All departments that receive notification of an employee's transfer or separation are responsible for taking necessary actions on or before the employee's transfer or separation date.

Information Technology is responsible for ensuring, once notified, that the separating employee's access to all university technical accounts and data is ended in accordance with this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to adjunct faculty who are expected to return to the university. (Separation procedures differ for adjunct faculty because of the unique nature of their employment.) For instance, because the majority of adjunct faculty for whom separation Personnel Action Requests  are submitted to HR have agreed to return to their part-time assignment the following semester, system access will not be removed until 120 days following the separation date indicated on the Personnel Action Request. This will allow adjunct faculty to retain access to email, course websites, Blackboard/ Canvas and other relevant systems. 

Employees may retain access to some or all services because of their continuing status as a student.

The employee's access to the MyMadison and email systems will usually end 30 days after the effective date of separation indicated on the Personnel Action Request. However, all access to university-wide systems may be terminated immediately when an employee is terminated for cause, or when it is otherwise deemed to be in the best interest of the institution to terminate an employee’s access. In this case, HR or SWEC will contact IT for immediate systems termination.

10. INTERPRETATION

Authority to interpret this policy rests with the President but is generally delegated to the Director of Human Resources.

Previous version: February 2013
Approved by the President: January 2009

5101 Private Fundraising

1. PURPOSE

This policy establishes guidelines for the solicitation of private funding and the coordination of engagement activity with alumni, donors, parents and friends.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

All fundraising efforts undertaken on behalf of the university and its programs may occur only through the approval of the vice president of university advancement and, when related to athletics fundraising, the senior vice president of administration and finance as authorized by the president of the university. No other fundraising activities in support of the university are sanctioned by the institution.

3. DEFINITIONS

Private Fundraising
The engagement of non-governmental and non-public donors and potential donors and the solicitation of gifts and charitable donations in support of the university.

Engagement Activity
Activity designed to identify, inform, involve or cultivate relationships with alumni, donors, parents and/or friends in order to increase the connection with the university, department, program or area.

Advancement System of Record
The university-approved information system for contact, prospect and giving information about alumni, donors, parents and friends of the university is the advancement system of record. Advancement Information Services (AIS) is responsible for maintaining the system of record as well as for the university's information on alumni, donors, parents, prospect and private gifts.

JMU Foundation (JMUF):
A not-for-profit corporation, exempt from federal taxation under U.S. Internal Revenue Code Sec. 501(c)(3) and eligible to receive charitable contributions under U.S. Internal Revenue Code Sec 170(b)(2), established in 1969 to act on behalf of the university as fiduciary in the administration and fiscal management of private support received from the university's donors. The JMU Foundation deposits, invests and disburses private donations.

University Advancement
The Division of University Advancement (UA) manages the internal and external relationships involving the engagement and solicitation of individuals, corporations, foundations, faculty, staff, colleges and constituent groups in raising private funds. University Advancement is responsible for the management of the university's system of record for alumni, parent, prospect and donor records, manages the coordination of donor and potential donors, raises private donations and recognizes donors.

Referenced in the policy and procedures below are three of UA's four units. The Office of Development oversees solicitation efforts. The Office of Constituent Relations oversees engagement activities. The Office of Advancement Information Services oversees the system of record and the recording and reporting of information in support of these efforts and activities.

Athletics Development
The Office of Athletics Development manages the internal and external relationships involving the engagement and solicitation of constituent groups to raise funds in support of the Athletics Department. Under the supervision of the director of athletics and the senior vice president of administration and finance, Athletics Development raises private donations for and recognizes donors to the Athletics Department in coordination with the policies, procedures and guidelines set forth by University Advancement and with ultimate approval by the university president.

Fundraising Inventory
The university's fundraising inventory is the comprehensive list of approved fundraising priorities for the institution. Priorities are 1) compiled by department heads and other program heads within each college or major area of the university in conjunction with the Development Office; 2) are vetted by deans and unit heads; and 3) are then submitted as an inventory of private funding priorities for approval by the university's president and division heads. Once approved, the inventory is delivered, coordinated and managed by the vice president for university advancement.

4. APPLICABILITY

The policy applies to all faculty, staff, friends, affiliates, and programs of the university and the JMU Foundation.

Students and/or student organizations fall under this policy when they engage in activities that involve (a) contact with the university's alumni, friends and/or donors for making a broad-based fundraising appeals or (b) the solicitation of individuals or businesses for gifts that total $1,000 or more. All other fundraising-related matters involving students are guided by the university's Student Handbook, including, but not limited to policy J36-100. For the purposes of this policy for students, "contacts" is defined as mail, electronic and in-person communication.

This policy also applies to university employees, departments or programs wishing to procure technology that includes solicitation or gift/donation software and/or to hire staff or procure consulting services designed to aid in the cultivation of potential donors and/or the solicitation of private gifts.

5. POLICY

The good will of alumni and friends and the financial support from donors are resources of the university. The division of university advancement is responsible for managing these resources. To coordinate and foster mutually beneficial partnerships with colleges, departments and programs, UA is granted oversight of the following activities:

  • Directing all private fund raising activities, including the assignment of prospects;
  • The authorization to or not to solicit, and the approval for all fundraising plans; and
  • The ownership and maintenance of (a) all biographical, cultivation, and solicitation data on alumni, donors, parents, other constituents, and prospects and (b) the records of private gift donations and pledge agreements.

All faculty, staff, students and affiliates of the university wishing to foster relationships with donors or donor prospects and/or raise private gift funds for programs or areas at JMU are required to work within approved plans and guidelines through the Division of University Advancement.

Athletics Development reports to the senior vice president for administration and finance. The president has granted to Athletics Development the authority to develop plans specific to the cultivation and solicitation of donors for athletics programs. In compliance with this policy, Athletics Development will coordinate those plans with University Advancement before implementing them.

6. PROCEDURES

6.1 Procedures for Faculty and Staff:

6.1.1 Approval from Deans: Faculty and staff must discuss requests that will require private funding with department heads and deans for initial approval and inclusion within the college's annual fundraising inventory.

6.1.2 Development Office Review: Plans must be reviewed with the development office before discussions with a prospect and before preparing a formal written request for funding.

6.1.3 Collaboration and Approvals: The development office will work closely with the initiator of the request and is responsible for the final approval of all solicitation efforts including all fund raising materials, the timing of solicitations and the list of those to be solicited.

6.1.4 Submission of Fundraising Inventory: Private fundraising requests should include reasons for the funds, the amount of the request needed, and, where applicable, names of individuals or groups to be cultivated as decided in consultation with the Development Office.

6.2 Alumni and Donor Records

6.2.1 Transmittal of Gifts: All gifts to James Madison University must be made payable to the James Madison University Foundation. However, these gifts should be mailed and/or directed to The Office of Advancement Gifts and Records (AGR). Colleges, academic units or administrative offices must direct all gifts of monetary value be transmitted to AGR. Original correspondence associated with that gift must be included with the transmittal.

6.2.2 Acceptance of Gifts-in-Kind: Colleges, academic units or administrative offices that are considering gifts-in-kind of major value, an amount equal to or greater than $5,000, must notify the Office of Development before making commitments with the donor.

6.2.3 Receipt of Gifts: AGR maintains the official record of donors and charitable donations to the university; AGR also receipts all gifts to the university. Once processed, AGR forwards the gift to the JMU Foundation for deposit and accounting to the general ledger. All records are kept strictly confidential. Donor anonymity will be protected whenever desired by the donor.

6.2.4 Stewardship of Donors by Faculty and Staff: In addition to the formal gift receipt sent by AGR, academic units are also encouraged to thank donors.

6.2.5 System of Record:. Departments and affiliates of JMU that collect information on their alumni are required under this policy to share that information with the university's system of record by contacting the office of Quality Assurance (http://www.jmu.edu/ais/qa/).

6.3 Procurement of Technology or Services

6.3.1 Submission of proposals to acquire software that includes modules or components for recording and receipting of gifts, recognizing donors or managing the solicitation of donations must be reviewed by and coordinated with University Advancement prior to any contract award by procurement.

6.3.2 Submission of budget initiatives to hire staff or services designed to aid in the planning and/or implementation of solicitation strategies must be reviewed and approved by University Advancement before contracts can be finalized.

7. RESPONSIBILITIES

7.1 The Division of University Advancement holds primary responsibility for establishing policies, developing operational guidelines, and managing fundraising activities to meet institutional goals as approved or authorized by the president. Responsibility for implementation of policies and procedures is shared with the divisional vice presidents.

7.2 Acceptance of a gift imposes a legal obligation to comply with the terms established by the donor. Each university division holds responsibility to review the terms of gifts with restrictions designated to that division prior to its acceptance to ensure that it does not hamper the usefulness and desirability of the gift to JMU. If the gift is appropriate, the Development Office will recommend its acceptance to the gift acceptance committee.

7.3 In cases where a department within the university identifies a specific major-gift fundraising project, the department head is responsible for receiving approval from her/his dean or unit-head and senior vice president. Once approved the respective senior vice president forwards the approved requests to the vice president for University Advancement. A fundraising inventory will be developed and updated periodically for each college or major area and shared with the president.

7.4 All individuals, department heads, deans and directors are encouraged to provide support in the identification, cultivation and solicitation of prospects in consultation with the Development Office.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The vice president for university advancement will review other requests for exclusion in consideration with the respective vice president and the president. The vice president may delegate operational authority for fundraising to another university division, unit, or department.

10. INTERPRETATION

Authority to interpret and apply this policy rests with the president and is generally delegated to the vice president for university advancement.

Previous version: July, 2005
Approved by the President: July, 2002

Index Terms

Advancement
Advancement Information Services
Cultivation
Development
Engagement
Fundraising
Fundraising Inventory
Gifts
JMU Foundation
Prospect
Solicitation
System of Record

1214 University Information Technology Security Program

James Madison University has a highly complex and resource rich information technology environment upon which there is increasing reliance to provide mission-critical academic, instructional and administrative functions. Safeguarding the institution's computing assets in the face of growing security threats is a significant challenge requiring a strong, persistent and coordinated program that leverages widely accepted, effective security practices appropriate for the higher education environment. This policy states the codes of practice with which the university aligns its information technology security program.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provides full delegated responsibility for management of the institution's information technology security activities. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its security activities.

1212 Information Technology Infrastructure, Architecture and Ongoing Operations

It is critically important that James Madison University's information technology (IT) infrastructure, architecture and ongoing operations support the mission of the institution. To help ensure this need is met, decisions affecting these areas must reflect standards, guidelines and practices found to be effective in the higher education environment. This policy establishes the nationally recognized codes of practice with which the university aligns its IT infrastructure, architecture and ongoing operations.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology infrastructure, architecture and ongoing operations. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its infrastructure, architecture and ongoing operations.

1325 Wage Employment

1. PURPOSE

It is the policy of the university to employ qualified persons for wage employment in order to meet personnel needs as outlined below. The objective of this policy is to define wage employment and to outline the conditions of employment for wage employees.

 
2. AUTHORITY
 
The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president. 

STATE OR FEDERAL STATUTE AND/OR REGULATION

Wage employees are not covered by the Virginia Personnel Act provided in section 2.2-2905 of the Code of Virginia. See Code of Virginia § 23-38.114 and the Restructured Higher Education Act (Chapter 4.10 of Title 23 of the Code of Virginia), as well as IRS code section § 4980H, Notice 2011-36.

3. DEFINITIONS

At-Will Employment
An employee/employer relationship that can be terminated by either party at any time with or without cause. An at-will employee may resign from work or be terminated from work, with or without cause, with or without severance, or without advance notice. Wage employees are at-will employees.

Harassment:
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

Stability Period
The Commonwealth of Virginia’s Stability Period is July 1 through June 30 which is consistent with the Health Benefits Plan Year. The Stability Period is not of shorter duration than the Standard Measurement Period. JMU will treat employees as full-time or not full-time as determined during the Standard Measurement Period. 

Standard Measurement Period
Under the Affordable Care Act, JMU must identify a retroactive measurement, or “look back” period, in order to determine which employees will meet the Act’s definition of “full-time” employee, and must be offered healthcare coverage in order to avoid significant tax penalties. The Commonwealth of Virginia has determined the time period to be May 1 through April 30 of each year.

Wage Employment
Employment within the university to meet part-time, temporary or seasonal needs. Wage employees are limited to working no more than 1,500 hours during each 12-month period of May 1-April 30. In addition, wage employees may not exceed an average of 29 hours per week over the standard measurement period, May 1-April 30 of each year. Supervisors may allow wage employees to temporarily exceed the 29 hour limit provided this exception is planned for and approved by Human Resources.
 
4. APPLICABILITY

This policy applies to all wage employees and, where applicable, their supervisors.

5. POLICY

Wage employees shall be hired strictly on a part-time, at-will basis.

Wage employment is intended to provide additional staff for part-time, seasonal, peak workloads, interim replacements, short-term projects or jobs that do not necessitate the employment of full-time classified employees.

Newly hired or rehired (separated for more than one year) wage employees shall be subject to a criminal background check in accordance with Policy 1321-Criminal Background Check.

Wage employees may apply for any vacancy, including agency-only recruitments. However, when hired into a classified position, service as a wage employee does not count toward any form of continuous state service. Wage employees entering full-time employment must serve a probationary period.

Wage employees are expected to satisfactorily perform all assigned duties. While wage employees are not subject to formal performance evaluations, managers and supervisors will monitor wage employee performance and provide informal performance evaluation and coaching as needed.

6. PROCEDURES

6.1 All newly hired and rehired wage employees must be cleared for hire upon review of the Onboard Request form prior to their first day of employment.

6.2 Wage employees shall have their hours of work limited to 1,500 hours per each 12-month period of May 1-April 30.

Example: If an employee works two wage jobs at the university, s/he may only work a total of 1,500 hours in both jobs combined – 500 hours in one job and 1,000 hours in the other job. 

In addition, wage employees may not exceed an average of 29 hours per week on average over the 12-month period May 1- April 30. Supervisors may allow wage employees to temporarily exceed the 29 hour limit provided this exception is planned for and approved by Human Resources.

6.3 All wage employees effective May 1, 2013 will have wage employee work hours counted on a 12-month basis, May 1 - April 30.

6.4 Wage employees may only remain active employees of record during the period of actual wage employment. Wage employees should not remain active in the  Human Resources Management System (HRMS), and therefore retain any rights and privileges of active wage employees, for more than 60 days or four pay periods (whichever is greater) without having any hours worked entered into the payroll system. Exceptions to this are foreign language interpreters and part-time special event public safety officers. Such interpreters and officers who do not work in the prior 60-day period would be allowed active access to the HRMS.

6.5 On a monthly basis, Human Resources will notify supervisors of wage employees who have not worked any hours in the preceding 60-day period and who have been terminated from their wage position. Procedures in Policy 1314-Transfer or Separation from Employment will be followed.

6.6 Compensation

Wage employees shall be paid only for actual hours worked.

The university generally pays the minimum sufficient to attract suitably qualified applicants for job openings. Inexperienced applicants normally should be hired at the minimum of the pay band. Applicants with experience related to the position may be hired at a rate higher than the pay band minimum with prior approval from Human Resources.

In most cases, the starting pay should not exceed the applicant's final pre-employment wage/salary by more than 10%.

Wage employees may receive wage increases granted by the Governor and/or the General Assembly. Wage adjustments will be made when advised to do so by the Virginia Department of Human Resource Management (DHRM).

Hiring supervisors may request additional pay increases for their wage employee(s) through the in-band adjustment process as outlined in Part VI of the Salary Administration Plan. To qualify to receive an in-band adjustment, a wage employee must have 12 months of continuous employment at the university and must have worked a total of at least 1,500 hours with at least 1,250 hours in the previous 12 months. Wage employee in-band adjustments will be determined on the same schedule as classified in-band adjustments. Approved in-band adjustments are funded by the requesting department.

Wage employees, except those who meet the criteria for exempt status, are considered non-exempt for the purposes of application of the Fair Labor Standards Act (FLSA) and must be paid overtime at the one and one-half time rate for hours worked over 40 in a work week in accordance with Policy 1303-Provisions for Granting Overtime and Compensatory Leave. Therefore, records of hours worked must be kept for all wage employees, regardless of their status.

6.7 Benefits

Wage employees are covered under the Virginia Workers’ Compensation Act. When eligibility is established, compensation is provided after a standard seven calendar day waiting period.

Wage employees shall be allowed leave without pay for military service. When a wage employee returns from active military service, reemployment will be granted under the terms provided for in the United Services Employment and Reemployment Rights Act (USERRA).

Wage employees shall be paid only for hours worked and cannot accrue paid leave, compensatory time or overtime leave credits.

Wage employees who meet eligibility requirements may take the allowable weeks of unpaid family or medical leave as outlined in Policy 1308-Family and Medical Leave Act (FMLA).

Currently, wage employees cannot participate in the state's health insurance program, nor can they participate in life insurance, retirement, or other benefit programs. However, wage employees may participate in tax deferred compensation programs and AFLAC accident, cancer, critical care, hospitalization, and intensive care insurance.

Non-student wage employees, who meet the criteria, are eligible for on-campus waiver of tuition in accordance with Tuition Policies 1402 and 1405. Wage employees are not eligible for tuition reimbursement for courses taken at other educational institutions in accordance with Reimbursement Policy 1401.

Wage employees are not eligible to use the state grievance procedure. However, they may consult with the Office of Employment Dispute Resolution (EDR) concerning work-related problems. 

Wage employees may file internal complaints alleging discrimination and harassment with the Office of Equal Opportunity in accordance with Policy 1324-Discrimination and Harassment.  They also have access to the State Employees’ Discrimination Complaint procedures administered by the Office of Equal Employment Services of the Department of Human Resources Management. Mediation is also available to wage employees.
 
7. RESPONSIBILITY

Vice presidents, deans, AVPs, directors, department heads and supervisors are responsible for the consistent application of this policy and are responsible for ensuring hours worked are consistent with this policy. 

Human Resources will monitor the hours of wage employees and will assist supervisors with management of hours. Human Resources will notify hiring supervisors when their wage employee(s) have reached 1,200 hours within the measurement period. 

The director of the Office of Equal Opportunity is the individual designated by the university to coordinate the institution’s compliance with Title IX and oversees the university’s process for receiving, investigating, and processing complaints under Policy 1324-Discrimination and Harassment.

8. SANCTIONS

Employees who violate this policy, particularly supervisors of wage employees who allow a wage employee to work more than 1,500 hours in the 12-month period, or to exceed an average of 29 hours worked per week during the Standard Measurement Period, are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.
 
9. EXCLUSIONS
This policy does not apply to classified employees, instructional faculty members, administrative & professional faculty members, student employees or adjunct faculty. Refer to Policy 1334-Student Employment for student employment policy. It does not apply to part-time special event public safety officers or foreign language interpreters due to the necessity to retain their services on an as-needed basis.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous Version: June 2013
Approved by the President: March 1999

2204 Policy for Institutional Biosafety UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

INTRODUCTION
James Madison University recognizes the importance of conducting a broad spectrum of original problem-solving research which requires the use of recombinant DNA technology. Cognizant that these activities may be accompanied by some risks, the University requires that the activities by this policy be reviewed and approved by an Institutional Biosafety Committee (IBC) to ensure that it is conducted in accordance with the National Institutes of Health Guidelines For Research Involving Recombinant DNA Molecules as published in the Federal Register on 7/5/1995. This policy is in full compliance with the applicable federal and state laws and regulations. In addition, adherence to this policy shall not exempt investigators employing recombinant DNA molecules in their research from compliance with other applicable laws, regulations or policies (e.g. research with human subjects or research with animals).

APPLICABILITY
This policy is applicable to all recombinant DNA research which is conducted at or sponsored by or under the aegis of James Madison University. No activity involving the construction or handling of recombinant DNA molecules or organisms and viruses containing recombinant DNA molecules shall be initiated without the prior notification, and if necessary, review and approval, of the James Madison University Institutional Biosafety Committee.

DEFINITION OF RECOMBINANT DNA MOLECULES
In the context of this policy and in accordance with the NIH Guidelines (section IB), recombinant DNA molecules are defined as either (i) molecules which are constructed outside living cells by joining natural or synthetic DNA segments to DNA molecules that can replicate in a living cell, or (ii) DNA molecules that result from the replication of those described in (i). Synthetic DNA segments likely to yield a potentially harmful polynucleotide or polypeptide (e.g., a toxin or pharmacologically active agent) shall be considered as equivalent to their natural DNA counterpart. If the synthetic DNA segment is not expressed in vivo as a biologically active polynucleotide of polypeptide product, it is exempt from this policy.

INSTITUTIONAL BIOSAFETY COMMITTEE
An institutional Biosafety Committee (IBC) comprised of the University faculty and staff and two outside community members appointed by the Vice President for Academic Affairs shall fulfill the responsibilities described in the National Institutes of Health Guidelines for Research Involving Recombinant DNA Molecules. The Chair shall be elected by the committee members.

A. Committee Membership
See Institutional BioSafety Committee Requirements at the following URL; http://www4.od.nih.gov/oba/rac/guidelines_02/NIH_Guidelines_Apr_02.htm#_Toc7261582
The IBC members shall be selected so that they collectively have experience and expertise in recombinant DNA technology and the capability to assess the safety of recombinant DNA research experiments and any potential risk to public health or the environment. At least two members shall not be affiliated with James Madison University (apart from membership on the IBC) and shall represent the interest of the community area with respect to the health and protection of the environment. When possible, there shall be at least one member from each department/unit conducting recombinant DNA research. The Associate Vice President for Research and Program Innovation and the Director of Sponsored Programs shall also be members.

B. Meetings
The IBC shall meet as needed, but at least once per year. A schedule of meetings shall be publicly posted. Meetings will be open to the public whenever possible, consistent with protection of privacy and proprietary interests. A quorum for conducting business shall consist of two-thirds of current members except that at least one member not affiliated with James Madison University apart from serving in the IBC must be present. The meetings will follow recognized parliamentary procedure.

C. Reports
The IBC will report annually to the University community concerning the performance of its assigned functions as described in Section VII B below.

EXPERIMENTAL CLASSES AND PROCEDURES
The different classes of experiments and particular constraints applying to each (e.g., containment requirements) are found in Section III of the NIH Guidelines for Research Involving Recombinant DNA Molecules. As these regulations are modified by subsequent agency action, those modifications shall be incorporated into this policy. A summary description of each class of experiment and the associated required procedures are outlined in the following subsections.

Experiments which require specific Recombinant DNA Advisory Committee (RAC) review and National Institutes of Health (NIH) and IBC approval before initiation of the experiment.

Experiments in this class cannot be initiated without submission of relevant information on the proposed experiment to NIH, the publication of the proposal in the Federal Register for thirty (30) days of comment, review by the RAC, and specific approval by the NIH. Definitions and examples are presented in III A and B of the NIH Guidelines.

Experiments which require IBC approval before initiation of the experiments.

Experiments in this class require submission of relevant information to the IBC for review and approval must be obtained prior to initiation of the experiments. Definitions and examples are presented in III C of the NIH Guidelines.

Experiments which require IBC notification before initiation of the experiment.

Experiments in this class require submission of relevant information to the IBC prior to initiation of the experiments. Definitions and examples are presented in Section III D of the NIH Guidelines. Approval by the IBC is not required UNLESS the IBC determines the investigator has incorrectly classified the experiments.

FORMS AND PROCEDURES
Each investigator using recombinant DNA molecules in his/her research is required to complete a "Registration Document for Recombinant DNA Research" form for each project (or proposed project) involving recombinant DNA being conducted. This form must be completed and approved by the IBC to receive certification for external funding proposals. However, all projects/activities involving recombinant DNA, whether they are part of a grant proposal or not, must be submitted to the IBC. An "Annual Renewal" form must also be completed for each project. These forms are available from the IBC and are attached as an appendix to this document.

FUNCTIONS OF THE IBC
A. On behalf of James Madison University, the IBC shall review all proposals to assure compliance with NIH guidelines and University policy on biosafety.

B. On behalf of James Madison University, the IBC shall conduct periodic self-studies of the effectiveness of University policy on biosafety and the implementation procedures, reporting the results to the Vice President of Academic Affairs and recommending any needed revisions. This will involve responsibility for:

1. Reviewing the containment levels of experiments;

2. Reporting within 30 days to the Energy and Environmental Awareness Committee and the Office of Sponsored Programs identified with or violations of the guidelines and research-related accidents or illnesses; the IBC along with the Director for Sponsored Programs, under the direction of the Associate Vice President for Research and Program Innovation, has responsibility for communication with external sponsoring and monitoring agencies;

3. Making recommendations to the Energy and Environmental Awareness Committee and Director for Sponsored Programs concerning applications for exemptions within 30 days of their submission, subject to approval Associate Vice President for Research and Program Innovation.

4. Participating with the Energy and Environmental Awareness Committee in the development of emergency plans to deal with accidental spills and personnel contamination resulting from research;

5. Ensuring through periodic inspections that laboratory standards are rigorously followed;

6. Assessing the training in expertise of recombinant DNA personnel in notifying principal investigators and the University community of the results of the assessments. The Chair of the IBC will maintain the files of all the paperwork relating to the Committee; copies of all records will also be on file in the Sponsored Programs Office.

INVESTIGATOR RESPONSIBILITIES
The Principal Investigator is responsible for reviewing this policy and complying with its requirements. Specifically, he/she will:

a. file a "Registration Document for Research Involving Recombinant DNA" and an "Annual Renewal" form for each project and meet all the requirements of the NIH Guidelines;

b. make available to laboratory staff copies of protocols that describe potential biohazards and the precautions to be taken;

c. provide appropriate instruction and training in practices and techniques necessary to ensure laboratory safety;

d. supervise the laboratory staff to ensure that appropriate safety techniques and procedures are employed;

e. report in writing to the IBC any significant problems pertaining to the operation and implementation of containment practices and procedures;

f. submit applications for external funding of recombinant DNA research to the IBC prior to transmittal for external funding.



REGISTRATION DOCUMENT FOR RESEARCH INVOLVING RECOMBINANT DNA

James Madison University Institutional Biosafety Committee

This form must be submitted for all research involving recombinant DNA molecules. Renewal of approval for each project is required every 12 months. In this document Guidelines refers to Guidelines for Research Involving Recombinant DNA Molecules (NIH Guidelines, June 1994), as published in the Federal Register 7/5/94, 8/5/94.

General Registration Information

1. Principal Investigator:

2. Department:

3. Phone:

4. Building and room number(s) where research is to be conducted:

5. Project title:

6. Project start date:

7. If part of grant proposal, list agency, grant title: (if pending, list requested funding dates; if funded, list number and funding dates)

8. Does this project contain proprietary information?:

If yes, please describe.

Class of Experiments Involving Recombinant DNA and Containment Levels

1. Which class of the Guidelines for covered experiments apply to the proposed experiments (see section III of the Guidelines). Check which one applies:

____ III-A. Experiments that require RAC, NIH, and IBC approval before initiation.

If class III-A is checked, see items III-A-1 through III-A-4 in the Guidelines, indicate all those that apply, and explain on a separate sheet.

____ III-B. Experiments that require IBC approval before initiation (see items III-B-1 through III-B-5 in the Guidelines). Check all that apply to III-B and explain in detail each check on a separate page.

____ a. Use of other than a class 1 agent as host-vector system. State class

____ b. A viral vector (other than class 1) will be used:

Will less than 2/3 of a genome be used? Yes No

With helper virus? Yes No

May your experiment enhance pathogenicity (e.g. insertion of oncogene, extend host range)? Yes No

____ c. Whole animals or plants will be used as host.

____ d. Experiments will involve more than 10 liters of culture.

____ e. An attempt will be made to obtain expression of a foreign gene.

____ III-C. Experiments that require IBC notice simultaneously with initiation of experiments (experiments not included in III-A, III-B, and III-D).

____ III-D.Exempt experiments (see items III-D-1 through III-D-5 in the Guidelines).

2. Which physical containment level applies to this proposal (Appendix G, section II in the Guidelines)?

Circle one: BL-1 BL-2 BL-3

3. Describe the rationale for selecting class and containment levels chosen and cite appropriate sections of the Guidelines.

Description of Recombinant DNA Experiments

Please answer in detail each of the questions listed below. Use additional sheets if necessary.

1. Summary of project (1 or 2 paragraphs). Include purpose for which recombinant DNA will be used in the project and briefly describe the range of techniques to be employed. Please define any acronyms and abbreviations.

2. Host strain(s) used, including genus, species, parent strains, and class of each agent.

3. Vectors to be used. Include source.

4. Source and nature of inserted DNA sequences. Include size, gene name(s) and function of gene(s), and sequence(s), if known.



ANNUAL RENEWAL FORM FOR PROJECTS INVOLVING RECOMBINANT DNA

James Madison University Institutional Biosafety Committee

(Please fill out a separate form for each project.)

Principal Investigator:
Department:
Phone Number:
Project Number:
Project Title:
Funding agency(ies)

1. Current status (check one)

____ Initiated Date ________________

Expected completion date_________

____ Will be initiated Date_________________

____ Continuing

____ Will not be initiated or will be discontinued

____ Completed Date_________________

2. This project is being conducted as originally submitted, or all amendments to this proposal have been previously approved.

____ Yes ____ No

If amendments are being proposed , please describe on a separate sheet. Upon review, the Principal Investigator may be requested to complete a new proposal. If containment level or class has changed, please submit a new proposal.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

Received and approved by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



REGISTRATION DOCUMENT FOR RESEARCH INVOLVING INFECTIOUS AGENTS

James Madison University Institutional Biosafety Committee

In addition to overseeing the use of recombinant DNA technology the Institutional Biosafety Committee (IBC) of James Madison University also oversees the use of infectious agents in biological research. To ensure the proper and safe usage of such agents in teaching and research laboratories at the University, all investigators are required to abide by the regulations and procedures described in Biosafety in Microbiological and Biomedical Laboratories published by the U.S. Department of Health and Human Services (May 1993). In order to monitor activities involving infectious agents, this form must be submitted by all instructors and primary investigators employing infectious agents in their research. It should be updated when any changes occur and at the very least be updated annually. Those investigators who have provided all the information regarding infectious agents on the "Registration Document for Research Involving Recombinant DNA" need not complete this form.

General Registration Information
1. Principal Investigator:

2. Department:

3. Phone:

4. Building and room number(s) where research is to be conducted:

5. Project title:

6. Project start date:

7. If part of grant proposal, list agency, grant title: (if pending, list requested funding dates; if funded, list number and funding dates)

8. Does this project contain proprietary information?: If yes, please describe.

Description of Activities Employing Infectious Agents

Describe in detail; (a) the nature and goals of the project, (b) the basic procedures employed, (c) each of the infectious agents used (including full name, source, genotype, pathogenicity, antibiotic resistance pattern), (d) the biosafety level chosen and the rationale for choosing this level.

Agreement Sheet

I agree to abide by the regulations and procedures described in the CDC/NIH publication Biosafety in Microbiological and Biomedical Laboratories published by the U.S. Department of Health and Human Services (May, 1993).

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____ Received and reviewed by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



Approval Sheet

I agree to abide by the Guidelines for Research Involving Infectious Agents (NIH Guidelines) as published in the Federal Register 7/5/1994 in conducting all work using infectious agents.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____Received and reviewed by the Institutional Biosafety Committee

____Approved

____Approval not required

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)

Approval Sheet

I agree to abide by the Guidelines for Research Involving Recombinant DNA Molecules (NIH Guidelines) as published in the Federal Register 7/5/1994 in conducting all work using recombinant DNA molecules.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____ Received and reviewed by the Institutional Biosafety Committee

____ Approved

____ Approval not required

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



ANNUAL RENEWAL FORM FOR PROJECTS INVOLVING INFECTIOUS AGENTS

James Madison University Institutional Biosafety Committee

(Please fill out a separate form for each project.)

Principal Investigator:

Department:

Phone Number:

Project Number:

Project Title:

Funding agency(ies)

1. Current status (check one)

____ Initiated Date ________________

Expected completion date_________

____ Will be initiated Date_________________

____ Continuing

____ Will not be initiated or will be discontinued

____ Completed Date_________________

2. This project is being conducted as originally submitted, or all amendments to this proposal have been previously approved.

____ Yes ____ No

If amendments are being proposed , please describe on a separate sheet. Upon review, the Principal Investigator may be requested to complete a new proposal. If containment level or class has changed, please submit a new proposal.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

Received and approved by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



Approved May 1, 1998 by Linwood H. Rose, President





4305 Recycling

1. PURPOSE

This policy sets the parameters for James Madison University’s commitment to effective environmental management through recycling.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3.  The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

In 1990, legislation was passed in the Commonwealth of Virginia mandating that all state agencies establish programs for the collection of all recyclable material.

3. DEFINITIONS

Recycling:
The three-part process that includes the collection of recyclable materials, the manufacturing of these materials into recycled-content goods and the purchase of these products made from recycled material.

Recyclable Materials:

  • Paper - White paper, newspaper, colored paper, magazines, paperboard. This does not include transparencies, paper towels, napkins, wax paper or candy wrappers.
  • Used Beverage Containers - Aluminum, steel, and tin cans, all color glass bottles.
  • Plastics #1 through #7. Styrofoam is not recyclable.
  • Cardboard - Corrugated cardboard only.
  • Scrap metal - Copper, aluminum, stainless steel and other metal materials.
  • Batteries – Lead acid, alkaline, nickel cadmium, laptop, lithium ion, and automobile.
  • Fluorescent light bulbs including compact fluorescents
  • Plastic - #2 and #4 Plastic Bags - This includes grocery bags and shrink-wrap.
  • Compost - Waxed cardboard, food scraps, wet paper products and other organic materials.
  • Wood - Trees and tree branches, all other types of scrap wood. Laminated Wood products and any wood product that has been painted are not recyclable.

4. APPLICABILITY

This policy applies to all JMU employees and students.

5. POLICY

Offices at JMU are strongly encouraged to recycle all possible materials. In addition, the university will procure recycled materials whenever economically feasible. Members of the JMU community are permitted to bring recyclable material to campus if no program exists in their community. Please contact the recycling office at 568-3352 or 830-0177 to ensure proper handling of the material before bringing anything on to campus property. It is not permitted to bring any non-recyclable trash to JMU’s campus for any reason.

6. PROCEDURES

Designated recycling collection points have been established in each building. Individual staff members will separate and transport their recyclables to these locations. These materials will then be collected and transported to the recycling center.

7. RESPONSIBILITIES

The Office of Recycling/Integrated Waste Management is responsible for the following:

  • Meet with the building coordinators of each building to implement and monitor the recycling program
  • Transport the recyclable materials from each building to the recycling center
  • Furnish educational information on recycling and provide any other needed assistance
  • Keep a record of all materials recycled
  • Make reports to the state office

The recycling manager will meet with building coordinators on an as-needed basis as determined by the recycling manager to discuss the following:

  • Types and volumes of recyclable materials
  • Feasible locations for recycling collection points
  • Education of department employees
  • Procurement of recyclable equipment and supplies
  • All other matters that may arise pertaining to recycling and waste disposal

University employees, in conjunction with specific housekeeping and recycling personnel, will collect and transport their recyclable materials to the established collection point for each office.

Department heads and building coordinators will be responsible for encouraging staff participation in the recycling program. In addition, department heads are responsible for reporting any purchases of recycled equipment and supplies made by the department to the JMU Office of Procurement.

Procurement Services will provide information to departments on available recycled equipment and supplies, and maintain a record of all purchases made by the university.

8. SANCTIONS

None

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Associate Vice President for Business Services.

Previous version:  March 2012
Approved by the President: April 2002

Index Terms

Recycling
Waste Management

 

1107 Intellectual Property

1. PURPOSE

This policy is designed to:

  1. Establish ownership criteria for intellectual property developed by members of the JMU community, and protect the equities of the creator as well as the University,
  2. Define the responsibilities, rights and privileges of those involved, and
  3. Establish basic guidelines for the administration of this policy.

2. AUTHORITY

JMU as a public institution of higher education in Virginia is required to adopt patent and copyright policies consistent with the policy guidelines promulgated by the State Council of Higher Education. See Code of Virginia, Section 23- 4.3, 23-4.4, and 23-9.10:4.

3. DEFINITIONS

Throughout this policy, where it is appropriate, the singular form of a noun also includes the plural: "creator" also means "creators" if there are more than one, etc.

Assigned duty:
(Required by legislation for determining when transfers of intellectual property must be approved by the Governor) - "Assigned duty" is narrower than "scope of employment," and is an undertaking of a task or project as a result of a specific request or direction. A general obligation to do research, even if it results in a specific end product such as a vaccine, a published article, or a computer program, or to produce scholarly publications, is not a specific request or direction and hence is not an assigned duty. In contrast, an obligation to develop a particular vaccine or write a particular article or produce a particular computer program is a specific request or direction and is therefore an assigned duty. At the same time, if the University has contributed time or resources to the discovery or creation of a product, it would claim an equity interest in such discoveries or creations.

Claims an Interest:
The University "claims an interest" in intellectual property when it asserts a right in the property under its intellectual property policy. The University may choose not to "claim an interest" in some forms of intellectual property that it does not want to own, even though it might legally be able to assert ownership.

Creator:
Either an inventor in the context of patentable inventions, or an author in the context of copyrightable works of authorship.

Employee:
Full-and part-time faculty; classified employees, administrative staff; and students who are paid for specific work by the University. Students may be employees for some purposes and not for others. If they are paid as student assistants, for example, or given grants to do specific research, they will be employees. Students receiving general scholarship or stipend funds would not normally be considered employees.

Finance Officer:
The member of the administration appointed by the President to administer all royalty and licensing arrangements associated with the university's intellectual property.

Fund to Support Research and Innovation:
A fund established by this policy from net revenues resulting from commercialization of intellectual property, designed to support faculty, staff and students in research and development. The fund shall be administered by the Office of the President, and maintained by the Finance Officer.

Intellectual Property:
Anything developed by anyone covered by the University's intellectual property policy that fits one or more of the following categories:

  • A potentially patentable machine, article of manufacture, composition of matter, process, or improvement in any of these; or
  • An issued patent; or
  • A legal right that inheres in a patent; or
  • Anything that is copyrightable (in legal terms, this means anything that is an original work of authorship, fixed in a tangible medium of expression)


Intellectual Property Committee:
The committee appointed by the President to advise him on all intellectual property matters at the university. Intellectual Property Committee members are appointed by the President annually.

Intellectual Property Office:
The office in the Academic Affairs Division charged with administration of this policy.

Intellectual Property Officer:
The member of the administration appointed by the President to serve as the contact between the President and the Intellectual Property Committee as an ex officio member of the committee.

Reporting Period:
The period from July 1 of one year through June 30 of the following year.

Royalties Received:
Any value received during the reporting period, including cash payments as well as the market value of any property or services received, in consideration for a transfer of any intellectual property in which the University claims an interest.

Significant Use of General Funds:
(Required by legislation for determining when transfers of intellectual property must be approved by the Governor). This phrase, and the phrase "developed wholly or significantly through the use of general funds," means that general funds provided $10,000 or more of the identifiable resources used to develop a particular intellectual property. A reasonable cost should be assigned to those resources for which a cost figure is not readily available, such as salary, support staff, and other equipment and resources dedicated to the creator's efforts. Resources such as libraries that are available to employees generally should not be counted in the assessment of the use of general funds.

State Council of Higher Education for Virginia ("SCHEV"):
The Commonwealth of Virginia's coordinating body for higher education.

Student Course Work:
Copyrightable or patentable creations made during the course of activities leading to academic credit.

Substantial use of university resources:
What constitutes "substantial use" of university resources must be answered on the basis of the facts and circumstances of each situation. The university will not ordinarily construe the provision of office or laboratory space, access to the library, use of the university's information technology infrastructure, or the payment of employees' salary as substantial use of university resources. Any colleges, departments or offices that support the employee's activities must be consulted in any determination of substantial use. As a general guideline, the use of university resources, (other than the library, the employee's office or laboratory, and salary) will be considered substantial if the value of those other resources used exceeds $10,000 in any twelve consecutive month period. Examples of resources subject to the $10,000 limitation include computer charges, graduate assistant or technical salaries and wages, laboratory equipment and materials, and secretarial salary.

NOTE: If the combination of university resources and general funds exceeds $10,000 in any twelve consecutive month period, the university will consider the use of university resources to be substantial.

University Research Program:
Any university sponsored or supported program of research.

Works Made for Hire:
For the purpose of this policy, it shall be deemed that an invention has been "Made for Hire" if the employee is employed, directed or assigned to:

  1. Invent, improve, develop or perfect any art, machine, design, manufacture, or composition of matter,
  2. Conduct or perform research, development work, or both,
  3. Supervise, direct, coordinate, or review University financed or conducted research or development work, or both, or
  4. Act in a liaison capacity with agencies or individuals engaged in such research or development.

This assignment, however, does not preclude the sharing of royalties or other payments with the employee in accordance with this policy.

4. APPLICABILITY

This policy applies to all employees, students, visiting faculty and researchers, and employees and visitors covered by sponsored program agreements or other contractual arrangements.

Individuals outside the university who hold intellectual properties that they wish to exploit, may request inclusion under this policy. If it is in the university's interest to accept such a request, the university and the individual shall execute a legally binding contract, clearly stating the terms and conditions of the arrangement. The sharing of royalties will be explicitly stated. Requests should be made to the Intellectual Property Officer. The IPO, in consultation with the Intellectual Property Committee, shall consider its acceptance under this policy. An evaluation of and recommendation on a request for inclusion shall be made within ninety (90) days of the receipt of the formal request. If the request is honored, the Intellectual Property Officer will develop special royalty arrangements with the external property holder to mutual satisfaction.

5. POLICY

5.1 Patentable Discoveries and Inventions
University Ownership: Patentable materials developed by University employees shall usually be the property of the university. A discovery or invention developed by an employee that is a work made for hire, or that is developed or created using substantial university resources, or that is related to any university research program involving the employee within the past twelve (12) months, is the property of the university. Under this policy, the rights to all patentable discoveries and inventions are retained by the University unless that right is preempted by an external project sponsor. Different sponsors have different policies with respect to inventions resulting from work done under sponsored projects. In general, the University is unwilling to give up its patent rights unless the full cost of the research is supported by the sponsor. Should royalty income be generated from the application of technology, the university will share in that income according to the formula found in section 6.3.

Sponsored Research and Outside Ownership: Depending on the terms of the grant or contract, Sponsors of research projects may be entitled to ownership of a discovery or invention made by an employee of the University without payment of any royalty. This ownership may occur when the sponsor provides funds for the entire project and in research involving the testing of a product or products developed by the sponsor. Agreements on patent matters may be negotiated where it is necessary to do so as a prerequisite to University participation in the project or receipt of a grant or contract. The Principal Investigator on a project should be familiar with the patent policies of both the university and the sponsor. The Office of Sponsored Programs should be consulted prior to submitting a proposal that may result in patentable discovery or technology. The Intellectual Property Officer is authorized to ratify such agreements on patent matters where it is necessary to do so as a prerequisite to university participation in the project or receipt of a grant or contract.

Employee Ownership - A discovery or invention developed by an employee shall be the exclusive property of the inventor(s), only if: (a) the discovery or invention is not a work made for hire; (b) the University has not contributed substantial resources, and (c) the discovery or invention is not along lines related to any University research program then in progress or completed within the past twelve (12) months with which the inventor may have a connection.

Student Ownership - Ownership of patentable discoveries or inventions developed by students who are also employees of the university will be determined by the rules that apply to all university employees. In general, patentable works developed in connection with course work assignments belong to the student. However, in all cases of work made for hire or significant use of university resources in the development of the patentable discoveries or inventions, the university may exercise its right to ownership or position of equity.

5.2 Copyrightable Works
University Ownership - The 1976 Copyright Act (P.L. 94-553) provides that, when a copyrightable work is produced by one person who has been employed by another for that purpose, it is the employer and not the actual producer that is the copyright proprietor. At JMU, traditionally faculty members have been granted the copyrights in their works by the institution.

Sponsored Research and Outside Ownership - Funds and facilities provided by governmental, commercial, industrial, or other private organizations, which however are administered and controlled by the University, shall be considered to be funds and facilities provided by or through the University for the purpose of this policy statement. Agreement between the University and the sponsor pertaining to share of royalties and title to copyrightable materials shall be addressed in the contract between the University and the sponsor. University employees who contract with third parties for the development of copyrightable materials can relinquish no greater interest in the materials than they legally possess. Therefore, if substantial University resources are employed in the development of material subject to copyright, the University retains interests in the materials, regardless of the terms of a contract between the third party and the University employee, unless the University specifically waives its rights.

Employee Ownership - Copyrightable materials developed by University employees shall usually be the property of the employee. The University will exercise ownership under the work- made-for-hire rationale only when the employee was assigned to create the specific product whose ownership is in question. A faculty member's general obligation to produce scholarly works (for example, textbooks and related instructional materials) does not constitute an assigned duty for purposes of determining copyright ownership. If a copyrighted work, produced as an assigned duty of an employee, is marketed, the employee ordinarily will not share in any royalties from sales of the work. Online course components created for distance or distributed learning activities, including lecture recordings, are an exception to this provision under the section below.

Student Ownership - Ownership of copyrightable material developed by students who are also employees of the university will be determined by the rules that apply to all university employees. In general, copyrightable works developed in connection with course work assignments belong to the student. However, in all cases of work made for hire or significant use of university resources in the development of the copyrightable material, the university may exercise its right to ownership or position of equity.

Specific Applications:

  1. Audio and Video Recordings - When a faculty member has been assigned to teach a specific class, and that class is transmitted electronically to another site, on or off campus, and in the performance of those duties a recording is made simultaneously with such transmission, the resulting fixed work shall be considered University property. The retention and/or marketing of recordings for subsequent instructional use, on or off campus, will be undertaken only with the consent of the faculty member.
  2. Performance Recordings - This special case of audio and video recordings covers the live performing arts as well as those arts and events that otherwise use performance (such as film and video), excluding documentation of lectures (as above in (a)). For performance recordings the following policy measure apply without administrative review:
    • The university reserves the right to use the recordings made by the university of performances by its employees and students for archival, educational, and commercial purposes, as described below. Copyright in the recording itself, but not in the performance, is assigned to JMU. Recordings of musical and dramatic performances of university employees and students made in any format can be duplicated for preservation in the same or any other appropriate analog or digital format to maintain an archival record at the university.
    • The university can use such recordings, in whole or in part, for educational purposes, including activities in criticism, comment, news reporting, teaching, scholarship, research, library services and institutional promotion in any appropriate format.
    • When the university uses such recordings, in whole or in part, for commercial or profit-making purposes, it will normally obtain the permission of the performers for such endeavors before the recording is made. If no permission is obtained in advance, the university will make reasonable good faith efforts to obtain such permission from the performers when the decision to offer the recording for sale is made. If the university is unable to secure permission from the performers for such an endeavor, the university will make available to each performer a pro rata portion of any net profits realized from the commercialization of the recording. The university will determine the amount of the share of profits for each performer.
    • The university office that makes and archives the recording may provide each JMU performer involved in it with one personal copy, under a reimbursement arrangement determined by the university to provide reimbursement up to the cost for the duplication.
  3. Distance Learning Materials - Distance learning materials and courseware created by faculty without the substantial use of university resources remain the property of the faculty member. If the development of distance learning materials or courseware has required substantial use of university resources, the university will own the copyright, but the faculty member and the university will both retain a non-exclusive license to use these materials in educational settings, even if the faculty member leaves the university. Should there be any commercial potential for the materials or courseware developed with substantial use of university resources, the faculty member and the university shall share in any revenues per the royalty distribution matrix described in this policy.


5.3 Required Disclosure
All discoveries, inventions and copyrightable materials for which a university employee is responsible and which may involve an interest by the university must be reported to the Intellectual Property Officer as promptly as possible, but always prior to the start of any commercial exploitation, using the Intellectual Property Disclosure Notification form appended to this policy. The purpose of this disclosure is to determine whether, and to what extent, the University has a proprietary interest in the discovery, invention or material. This report shall include a full and complete disclosure of the discovery, invention or material concerned and identity of all persons participating in the development.

Each discovery, invention or copyrightable material should be disclosed regardless of whether or not the inventor or creator plans to exploit the discovery, invention or copyrightable material for financial gain.

6. PROCEDURES

Please note that disclosure forms and detailed filing instructions are located at the following two websites:

http://www.jmu.edu/sponsprog/ipdisclosures.html

http://www.jmu.edu/sponsprog/ipsubmit.htm

6.1 Disclosure
The Intellectual Property Office will receive all disclosures forms. The Intellectual Property Officer will promptly refer the submission to the Intellectual Property Committee for review and evaluation of possible proprietary interest on the part of the university. Confidentiality will be maintained on all disclosures to the extent possible by all parties. However, notice of filing will be sent by the Intellectual Property Office to the academic unit head or department head, dean, and appropriate vice president.

6.2 Evaluation
The disclosure should be reviewed by the university before information about the discovery, invention or copyrightable material is made available to any other party. The Intellectual Property Committee shall complete and report its evaluation to the Intellectual Property Officer and the inventor or creator within ninety (90) days from the date of receipt of the disclosure, unless it is mutually agreed by the Intellectual Property Committee and the inventor or creator that additional time is needed and an alternative deadline is established. The inventor shall have the right to make recommendations pertaining to such determinations.

The Intellectual Property Committee will determine that the university has a proprietary interest in discoveries, inventions and copyrightable materials resulting from work made for hire, from substantial use of university resources, or from significant use of general funds.

When the university does not claim an interest in an intellectual property about which it is notified, the Intellectual Property Committee will so advise the creator in writing.

If the evaluation report indicates that the University has a proprietary interest, the Intellectual Property Committee will recommend handling that interest by either royalty or licensing arrangements with the inventor or creator of the property.

The university may decide to commercialize an intellectual property on a case-by-case basis.

6.3 Royalty and Licensing Arrangements
The Intellectual Property Office will negotiate any license or royalty arrangements concerning property in which the university claims a proprietary interest. The contract for such license or royalty arrangement must conform to the university's contract approval process. The Finance Officer will administer all licensing and royalty arrangements associated with the intellectual property under such licenses or royalty arrangements.

If the university pursues commercial exploitation of an intellectual property created by a member of the JMU community in which it has a proprietary interest, the following royalty distribution matrix applies. The amounts listed are based on net revenues.

Of the first $25,000,
60% to creator
20% to creator's academic unit or department
20% to central Intellectual Property Office

From $25,001 - $50,000
50% to creator
20% to creator's academic unit or department
10% to creator's college or division
20% to central Intellectual Property Office

From $50,001 - $100,000
50% to creator
20% to creator's academic unit or department
10% to creator's college or division
20% to Fund to Support Research and Innovation

Above $100,000
50% to creator
20% to creator's academic unit or department
30% to central Fund to Support Research and Innovation

However, in cases in which the intellectual property is the result of a work for hire or the university is the original owner of the property, the appropriate vice president in whose division the intellectual property is created will determine the distribution of any royalties.

Joint creators must agree at the time of their notification on the fraction that each will share in any royalties. In the absence of such agreement, the creator's share of royalties will be split evenly between the joint creators.

If the university decides not to pursue commercialization, it retains the right to license intellectual property to the creator in return for an equitable royalty to be determined by the Intellectual Property Officer, 80% of which shall be returned to the creator's department or program for the purpose of supporting additional research and innovation, after any development costs have been recouped. The Finance Officer and the sponsoring academic unit head or department director will be responsible for determining the extent of any development costs. This licensing shall be in lieu of any additional royalties to the creator.

For all intellectual property, the University retains a non-exclusive license to use the intellectual property for its own educational and administrative purposes.

6.4 Dispute Resolution
Should any issues develop as to the ownership of the intellectual property involved in an evaluation, the Intellectual Property Committee shall document the dispute and notify the Office of the President. The parties involved shall be entitled to appear before the Committee and to present evidence with respect to the disputed ownership. The Committee's determination shall be made in writing and shall contain a statement of the basis for its decision and recommendation. The President of the University, on his/her own motion or at the request of any interest party, may review any determination of the Committee. The President may affirm, modify, or reject any determination of the Committee. The decision of the President is final.

6.5 Transfers of University Intellectual Property
Except when the Governor's prior written approval is required, the Board of Visitors may transfer any intellectual property in which the university claims an interest.

The Governor's prior written approval is required for transfers of title to patents and copyrights that were:

  1. Developed wholly or significantly through the use of State general funds, by an employee of the university acting within the scope of his or her assigned duties; or
  2. Developed wholly or significantly through the use of state general funds, and are to be transferred to an entity other than the following:
    • The Innovative Technology Authority; or;
    • An entity whose purpose is to manage intellectual properties on behalf of nonprofit institutions; or
    • An entity whose purpose is to benefit the university.


When prior written approval is required, the university will send a description of the intellectual property and the proposed transaction to the State Council of Higher Education for Virginia ("SCHEV"). Within thirty (30) days, SCHEV will recommend action to the Governor, including any conditions SCHEV thinks should be attached to the proposed transfer. The Governor may also attach conditions to the transfer.

Approval is not required for the grant of a license to use an intellectual property, but only when the actual title is to be transferred.

When an employee creates intellectual property on his or her own initiative, or as part of his or her general obligation of scholarship, the university may transfer title to the property without approval if the transfer is to one of the entities noted under this section above.

If the development of an intellectual property by an employee is a work made for hire, and is done with significant use of state funds, the university must obtain the Governor's approval before transferring the property, whether or not the transferee is one of the entities listed under this section above.

6.6 Reporting Requirements
The Intellectual Property Officer will compile and submit annual reports to SCHEV. Each annual report will include the following information:

  1. The name of the university;
  2. The name of the IPO submitting the report;
  3. The number of intellectual properties in which the institution claims an interest under this policy, divided into patentable subject matter and copyrightable subject matter;
  4. The names of all transferees to whom the university has transferred any interests, including licenses, in intellectual properties (If the university is not able publicly to identify the transferee, the university will identify the particulars of the transfer as well as the reasons why such information should not be reported.);
  5. The total royalties received by the university during the reporting period.

7. RESPONSIBILITIES

The Intellectual Property Officer is responsible for compiling and submitting the annual reports to SCHEV.

The Finance Officer has responsibility for the administration of applicable royalty and licensing arrangements associated with intellectual property in which the university has a proprietary interest. The Finance Officer will also maintain the Fund to Support Research and Innovation.

The Finance Officer and the sponsoring academic unit head or department director will be responsible for determining the extent of any development costs to the university of any intellectual property.

The Committee on Intellectual Property has the following authority and responsibility with respect to intellectual property.

  • To publicize and administer existing policy and guidelines for the evaluation, disposition and exploitation of intellectual property in which the university has a propriety interest;
  • To develop and recommend University policy to the President dealing with intellectual property;
  • To hear and make recommendations to the President on disputed ownership of discoveries, inventions, and copyrightable materials;
  • To hear and make recommendations to the President on disputed equities of the University, the creators and other parties associated with the intellectual property concerned;
  • To make recommendations to the President for the sharing of royalties between the University and the creator of the intellectual property in which the University has a proprietary interest;
  • To promulgate such guidelines and procedures as may be necessary for the implementation of this policy, subject to review and approval of the President.

8. SANCTIONS

Failure to make a required disclosure may result in a forfeiture by the creator of any proceeds or profits that the University would otherwise be obligated to pay pursuant to this policy. Failure to disclose is considered professional misconduct under the terms of the Faculty Handbook and Staff Handbook, and a violation of university disciplinary policy under the Judicial Conduct standards in the Student Handbook, and may subject the creator to sanctions up to expulsion for students.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The university claims no interest in an invention, discovery or copyrightable work if the work is produced completely outside of and using no university resources, facilities or personnel other than the inventor. An example would be inventions or copyrightable works resulting from pursuance of a hobby, not related to the employee's university activities, and conducted off-campus.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Intellectual Property Officer.

Date of Last revision: June 1, 1997

Approved:
December 31, 2002
Linwood H. Rose, President

INDEX TERMS:

Copyright
Patent
Intellectual Property
Licensing
Technology Transfer
Inventions
Discoveries
Research

SAMPLE FORM FOLLOWS


Appendix A
JAMES MADISON UNIVERSITY
INTELLECTUAL PROPERTY DISCLOSURE NOTIFICATION
for Copyrighted works

NOTE: INVENTION DISCLOSURES ARE CONSIDERED CONFIDENTIAL AND PRIVILEGED INFORMATION. EXCEPT FOR INDIVIDUALS ENGAGED IN THE EVALUATION AND APPROVAL PROCESS, THE INFORMATION WILL NOT BE DIVULGED TO OTHERS WITHOUT THE PERMISSION OF THE CREATOR(S).

1. Title of the Copyrighted work:
____________________________________________________________

Type of Copyrighted work:
Software; _____Book;_____Article; _____Video; _____Film; _____Other (Describe)__________________________________________________ ____________________________________________________________

I. List of originators (writers or other creators)

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

II. SPONSORSHIP INFORMATION

A. Was the labor that led to this work undertaken as part of a sponsored project: _____Yes _____No
If no, please move to Section II.E. If yes, complete the appropriate blanks below.

B. Provide name and signature of Principal Investigator (if sponsored project funding was involved in development of the work)

Name:
Title:
Signature: Date:

C. JMU Grant or Project Number
_________________________________

Name of Sponsoring Agency or Company ____________________________________________________________

Grant or Contract Period.

D. As far as you know, does the sponsor have any prior claims to the work? (_____Yes _____No)
If yes, please indicate the nature of these commitments.

____________________________________________________________
____________________________________________________________

E. Were University facilities, equipment, materials, funds, information, or the time or services of other University employees used in the production of the work?
_____Yes _____No
If yes, please indicate the nature of these contributions.

____________________________________________________________
____________________________________________________________

What is the estimated value of these contributions?____________________________________________

F. Do you consider that this work resulted from your normal work activities? (_____Yes _____No)

III. DESCRIPTION (Attach separate documents if needed)

Please provide a description of the work you are submitting. Your description should describe:
  • The content of the copyrightable work;
  • The work's relationship to other similar works;
  • Novel or unusual features of the work;
  • Advantages of the work;
  • Possible uses of the work;
  • And, limitations of the work.


Appendix B
JAMES MADISON UNIVERSITY
INTELLECTUAL PROPERTY DISCLOSURE NOTIFICATION
for Inventions and Discoveries

Invention and Intellectual Property disclosures are considered confidential and privileged information, except for individuals engaged in the evaluation and approval process. The information will not be divulged to others without the permission of the creator(s). Title of the Invention or Discovery:
____________________________________________________________

I. List of originators (inventors)

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

II. SPONSORSHIP INFORMATION

A. Was the labor that led to this work undertaken as part of a sponsored project:
_____Yes _____No
If no, please move to Section II.E. If yes, complete the appropriate blanks below.

B. Provide name and signature of Principal Investigator (if sponsored project funding was involved in development of the work)

Name:
Title:
Signature: Date:

C. JMU Grant or Project Number
_________________________________

Name of Sponsoring Agency or Company
____________________________________________________________

Grant or Contract Period.

D. As far as you know, does the sponsor have any prior claims to the invention or discovery?
(_____Yes _____No)
If yes, please indicate the nature of these commitments.

____________________________________________________________ ____________________________________________________________

E. Were University facilities, equipment, materials, funds, information, or the time or services of other University employees used in the production of the invention or discovery?
_____Yes _____No
If yes, please indicate the nature of these contributions.

____________________________________________________________ ____________________________________________________________

What is the estimated value of these contributions?____________________________________________

F. Do you consider that this work resulted from your normal work activities? (_____Yes _____No)

III. DESCRIPTION (Attach separate documents if needed)

A. If you are submitting an invention, is it a new process, application or method; composition of matter; a device or one or more products for a new use or an improvement to an existing product, process, application or method?

B. Identify and expand on the novel or unusual features. How does the invention differ from present technology? What problems does it solve, or what advantages does it possess?

C. If not indicated previously, what are possible uses of the invention? In addition to immediate applications, are there other uses that might be realized in the future?

D. Does the invention possess disadvantages or limitations? If so, can they be overcome? How?

E. Attach sketches, drawings, photographs and other materials that may help illustrate the description. Rough art work, flow sheets, Polaroid photographs, and penciled graphs are satisfactory as long as they tell a clear and understandable story.

IV. OTHER PERTINENT DATA

A. Has the invention been described in specific detail or in a general way in a publication? (For this purpose, "publication" includes abstracts of public presentations, news stories, etc. as well as published scientific papers.) Has the invention been described orally at meetings? Please provide exact details including dates and copies of any publications.
B. Is a publication or oral disclosure descriptive of the invention planned within the next six months? Give date (estimate if unknown) and attach copies of any existing manuscripts, preprints, or abstracts.

C. Has the invention been tested experimentally? Are experimental data available?

D. Are there known inventions by other research workers that are related to this one? Please describe, including information on relevant patents and publications, if available.

E. Has the material been disclosed to industry representatives?

F. Has any commercial interest been shown in the invention?

G. Do you know of other firms that might be interested in the material?

If yes, name companies and specific individuals and their titles.
 

1320 Providing and Obtaining Employment Reference Information

The purpose of this policy is to outline the procedures for obtaining as well as providing employment-related reference information at James Madison University, and to establish the university’s commitment to open, truthful, job-related reference information sharing.

1108 Internal Controls

This policy provides guidelines for implementation of internal control programs.

1505 Use of University Owned Telephones & Services by University Employees

This policy prescribes procedures for the use of university-owned telephones and services by JMU employees. It is designed to implement applicable policies of the Commonwealth of Virginia.

2112 Student Privacy

1. PURPOSE

The purpose of this policy is to outline the university's responsibility for compliance with laws concerning access to and privacy of student records and student information. 

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3.  The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The Family Educational Rights and Privacy Act of 1974 (“FERPA,” 20 USC 1232g et. seq.) is a federal law that addresses access to and confidentiality of student education records.  The Health Insurance Portability and Accountability Act of 1996 (“HIPAA,” 42 U.S.C. 1301 et seq.) is a federal law that addresses protections for personal health information. The Virginia Government Data Collection and Dissemination Practices Act (“Privacy Act,” Code of Virginia 2.2-3803(A)) is a state law that addresses the use of personal records held by state agencies.  The Virginia Freedom of Information Act (“FOIA,” Code of Virginia 42.1-76) is a state law that addresses public access to records maintained by state agencies. The Fair Credit Reporting Act (“FCRA,” 15 USC § 1681 et seq.) is a federal law that addresses fair and accurate consumer credit reporting. The Fair and Accurate Credit Transactions Act of 2003 (“FACTA,”) amended the FCRA and added requirements concerning protection of consumers from identity theft. The Gramm-Leach-Bliley Act (“GLBA,” 15 U.S.C. §6801 et seq.) is a federal law that addresses confidentiality of consumer financial information.

3. DEFINITIONS

Consumer Financial Information:
This information includes Social Security Numbers, financial account numbers, credit card numbers, dates of birth, names, addresses, and phone numbers when collected with financial data, and details of any financial transactions between the university and a student.

Directory Information:
This information includes a student’s name, telephone numbers, addresses, date and place of birth, major and minor fields of study, college of major and year (first year student, sophomore, etc.), enrollment status (full-time/part-time) including credit hours, dates of attendance, degree sought and time, degrees conferred, awards and honors conferred, participation in officially recognized activities and sports, weight and height of members of athletic teams; the most recent previous educational agency or institution attended by the student, fraternity and/or sorority and educational societies.  This list may be amended from time to time by the university. For the current list, consult the current Undergraduate Catalog.

Education Records:
Records directly related to a student and maintained by the institution or a party acting for the institution related to the student’s education. The term "education record" does not include the following:

a. Records of an instructional, supervisory, administrative, and educational nature, maintained by university officials for their personal use only.
b. Student employee records. These records may be covered by the Privacy Act.
c. Alumni records (generated after a student is no longer enrolled at the institution).
d. Student health records. These records are covered by HIPAA.
e. Records concerning a student who is deceased.
f. Law enforcement records.

FACTA:
The Fair and Accurate Credit Transactions Act of 2003.

FERPA:
The Family Educational Rights and Privacy Act.

FOIA:
The Virginia Freedom of Information Act.

GLBA:
The Gramm-Leach-Bliley Act.

Health Records:
Student health, psychiatric, and counseling records maintained in connection with the treatment of the student.

HIPAA:
The Health Insurance Portability and Accountability Act of 1996.

Hold:
An administrative action taken by the university to flag a student’s record, thus prohibiting the student from changing his or her status without clearing the administrative action by specific procedures.

Legitimate Educational Interests:
Those interests that are essential to the general process of higher education. Legitimate educational interests would include teaching, research, public service, and such directly supportive activities as academic advising, general counseling, therapeutic counseling, discipline, vocational counseling and job placement, financial assistance and advisement, medical services, academic assistance, and audit activities. In addition, legitimate educational interests include appropriate co-curricular activities that are generally supportive of overall goals of the institution and contribute to the general well being of the entire student body and specifically to many individuals who participate in these activities. These activities include varsity and intramural sports, social fraternities, specific interest clubs, and student government.

Personally Identifiable Information:
Data or information which include 1) the name of the student, the student's parent(s), or other family members; 2) the student's address; 3) a personal identifier such as a social security number or student number; or 4) a list of personal characteristics, or other information which would make the student's identify easily traceable.

Privacy Act:
The Virginia Government Data Collection and Dissemination Practices Act.

Privacy Flag:
An indication on a student’s record that he or she has requested that Directory Information not be disclosed. 

School Officials:
University employees with general or specific responsibility for promoting the educational objectives of the university. Employees whose responsibilities place them within this category include: teachers; faculty advisors; admissions counselors; academic advisors; counselors; employment placement personnel; deans, department heads, directors, and other administrative officials responsible for some part of the academic enterprise or one of the supporting activities; administrative and faculty sponsors of officially recognized clubs, organizations, etc; members, including students and alumni, of official university committees, and clerical personnel employed to assist university officials in discharging professional responsibilities.

University Health Care Provider:
University health care providers include all providers of services (e.g., the student health center, the counseling center, the athletics training facilities) and providers of medical or health services (e.g., physicians, trainers, nurses, counselors and other medical practitioners) as defined by Medicare, and any other person or organizational unit that furnishes, bills, or is paid for health care of students.

4. APPLICABILITY

This policy applies to all employees, students and individuals acting on behalf of the university.  It applies to all personally identifiable information maintained by the university concerning current or former students. For health records of a student, it applies to any university health care provider who transmits health information about a student in connection with claims, benefit eligibility inquiries, referral authorization requests, or other transactions.

5. POLICY

5.1 Although the university’s records are public documents covered by FOIA, which must be disclosed upon request by a citizen of Virginia or a representative of media doing business within Virginia, an exception within FOIA provides that FERPA protects personally identifiable information in student education records. Student health records are protected under HIPAA.  Student employment records are protected under the Privacy Act. Student consumer financial information is protected under GLBA and FACTA, and includes protection against identity theft.  

5.2 Students have privacy rights in their education records, including: 

a. The right to inspect and review their own education records, except as noted in 5.3 below.

b. The right to challenge (seek correction of) the contents of their own education records, and to have a formal hearing, if necessary, for a fair consideration of such a challenge, and the right to place an explanatory note in their own education record in the event that a challenge of contents is unsuccessful.

c. The right to control, with certain exceptions listed in 6.3 below, the disclosure of the contents of education records. This includes the right to place or remove a Privacy Flag on their education records under 6.3.B below.

5.3 The university is not required to permit students access to the following types of information in their own education record:

  • Financial information submitted by parents.
  • Confidential letters of recommendation submitted prior to January 1, 1975.
  • Confidential letters and recommendations on which a student has waived the right of inspection.
  • Any part of a record pertaining to another student.
  • Information specifically excluded under FERPA's definition of "education records.”

5.4 Under FERPA, employees and officials at the university are prohibited from disclosing personally identifiable information from student education records without the express written consent of the student.  However, the university is allowed to release information maintained in education records concerning a student without obtaining the student’s permission in certain limited circumstances outlined in 6.3 below.

5.5 A request for information that does not reveal personally identifiable information concerning any individual student is subject to disclosure under the terms of FOIA.  For responses to FOIA requests, see Policy 1103, Responding to External Requests for Information.

5.6 Student health information and student employment records will not be disclosed to individuals or entities outside of the university without the student’s permission.  Within the university, only those individuals who have a legitimate need to know the information will be given access to such information. The university will take appropriate steps to secure student health information.

5.7 The university will safeguard student financial information and take appropriate steps to protect students against identity theft. 

6. PROCEDURES

6.1 Inspection
Students who wish to inspect and review their education records may do so by submitting a written request to the official responsible for the specific record desired. The responsible official must respond within 45 days of the request by sending the student a copy of the requested record or arranging an appointment for the student to review the requested data.

6.2 Copies
Copies of education records or record entries, with certain exceptions, may be obtained by the student at the cost of $.15 per page. Unofficial copies of a student's permanent academic record (transcript) will be provided at no charge. The university reserves the right to deny a copy of an education record for which a financial hold exists, or for a transcript of an original source document which exists elsewhere.

6.3 Consent
University employees who maintain education records on students generally must receive written consent from the student before releasing personally identifiable information, evidenced by a signed document.  Only in the following limited circumstances may information be released without the written consent of the student:

A. A student's education records may be released without consent to officials within the university having a "legitimate educational interest" in such information. Access by these officials is restricted only to students for whom they have professional responsibility and only to that portion of the student record necessary for the discharge of assigned duties.

B. At its discretion, the university may provide directory information concerning an individual student to anyone, unless the student specifically requests in writing that this information not be released. This request for a Privacy Flag must be submitted in writing to the Office of the Registrar within five days of the first day of classes of each school year. The request for a privacy “flag” may be withdrawn at any time by the student.

C. The university may also release personally identifiable information contained in a student's record to:

a. Officials of other institutions in which a student seeks to enroll. 
b. Government officials in connection with the audit and evaluation of federal and state-supported education programs. 
c. Persons and organizations providing the student with financial aid. 
d. Persons or organizations conducting research, studies or data collection on behalf of the university for the development of tests, administration of financial aid, or the improvement of instruction.  
e. Accrediting agencies. 
f. Parents of dependent students as defined by the United States Internal Revenue Code of 1954. Under Virginia law, the university will release information to parents of dependent students at the parent’s request. Dependency must be established by the student’s signing a dependency form in the Registrar’s Office or by the parent’s providing to the university the most recent year’s federal tax return.
g. Appropriate persons in an emergency in order to protect the health and safety of the student or of others. 
h. Parents of dependent students when the student has received mental health treatment at the health center or counseling center, if in the opinion of the treating health care provider the student is likely to be a danger to himself or others, unless the treating health care provider determines that notification will result in harm to the student, according to the Virginia Privacy Act.  
i. Courts, agencies or individuals in compliance with a validly issued judicial order or subpoena. In this case, the student will be notified in advance of disclosing the records (generally with two weeks notice), unless the subpoena specifically mandates that no notice be given.
j. Parents of a dependent student when the student has violated university rules or criminal laws concerning alcohol or drugs.

6.4 Challenging the Contents 
Students may challenge the contents of an education record that they consider to be inaccurate, misleading or otherwise in violation of their privacy rights. Students may initiate a challenge by submitting a written request to the custodian of the particular record in question who shall attempt to resolve the problem through informal discussions. If a challenge to a record is not satisfactorily resolved by this procedure, students will be informed of their right to a formal hearing, the procedures to be followed concerning such a hearing, and its composition. Students requesting a hearing will be notified in writing of the date, place, and time of their hearing. At the hearing, students may present evidence in support of their request and may be assisted by an advisor or attorney. Decisions of the hearing panel are final. If decisions of the hearing board are unsatisfactory to students, they may place in the education records their own statement commenting on the information contained in the record and setting forth any reason for disagreeing with the decision of the hearing panel. 6.5 Waivers/permission

Students may waive any of their FERPA rights including the release of their education records by providing written consent. Such permission must be signed and dated by the student and specify the exact records to be released and the individual to whom the records should be released.  

6.6 Student Employment Records
A student wishing to see his or her employment records may request them from the office that maintains the records.

6.7 Student Health Records
A student wishing to see his or her health records may request them from the office that maintains the records, but the health care provider may decline to provide access to the student in appropriate circumstances.

7. RESPONSIBILITIES

7.1 It is the responsibility of university health providers maintaining student health information to safeguard the privacy of student health records.  

7.2 It is the responsibility of university officials maintaining student employment records to safeguard the privacy of those records. It is also the responsibility of these officials to arrange for access by the student to his or her own employment records.

7.3 It is the responsibility of university officials maintaining education records to comply with this policy and safeguard the privacy of student records.  It is also the responsibility of these officials to arrange for access by the student to his or her own education records.

7.4 The university offices maintaining education records shall keep a record of all parties obtaining access to the contents of student records (except in case of requests by students for access to their own record; by school officials with legitimate educational interests; by parties with specific written consent of the student; or by parties requesting directory information). This record of requests must identify the person(s) seeking and obtaining information contained in a record, the nature of the information disclosed, the date of the disclosure, and the notice to the student of the disclosure, if any.  The record of disclosures is available for inspection by the student identified by the record.

James Madison University maintains the following "education records" as defined by FERPA and responsibility for them as listed below.

RECORD OFFICE CUSTODIAN WEBSITE
Permanent Office of the Registrar University Registrar

http://www.jmu.edu/registrar/

Academic
(transcript)
Office of the Registrar University Registrar

http://www.jmu.edu/registrar/transcripts.shtml

Disciplinary Student Life-
Judicial Affairs
Director of Judicial Affairs

http://www.jmu.edu/judicial/

Financial Aid Financial Aid &
Scholarships
Director of Financial Aid &
Scholarships

http://www.jmu.edu/financialaid/

Financial
Accounts
Student Financial
Services
Director of Financial Services

http://www.jmu.edu/financialaid/

Placement Academic Advising &
Career Development
Director of Academic
Advising & Career
Development

http://www.jmu.edu/cap/


8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The following records are not covered by this policy:

• Records of an instructional, supervisory, administrative, and educational nature maintained by university officials for their personal use only.

• Alumni records (generated after a student is no longer enrolled at the institution). 

• Law enforcement records.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Vice President for Academic Affairs.

Previous version:  May 2002

Index of Terms

Consumer financial information
Education Records
FACTA
FCRA
FERPA
FOIA
GLBA
Health Records
HIPAA
Identity Theft
Privacy
Privacy Act
Student Employment Records
Student Records

1109 Records Management

1. PURPOSE

The purpose of this policy is to authorize a university records management program in accordance with State law and the university's need for proper records management.

Some major considerations in records retention and disposition are:

  • Legal requirements must be met.
  • Audit requirements must be met. This includes the university's ongoing internal audit program as well as the requirements of the Auditor of Public Accounts and other external agencies.
  • Limitations of space. The university has very limited storage space. Departments are restricted as to both the volume of records that can be maintained, and the duration for which records may be stored.
  • Historical and research information about the university must be preserved. In addition, records with historic value should be kept in a manner that makes them readily accessible to researchers.

2. AUTHORITY

The Virginia Public Records Act, Code of Virginia, Sections 42.1-76 through 42.1-91, requires that state agencies with public records maintain an active and continuing program for the economic and efficient management of the records of the agency. The Freedom of Information Act, Code of Virginia, Sections 2.2-3700 through 2.23-3714, provides that public records are to be made available for public inspection, except those records that are specifically excluded from public disclosure by the Act. The Government Data Collection and Dissemination Practices Act, Code of Virginia, Sections 2.2-3800 through 2.2-3809, restricts the public's right of access when records show personal information on individuals. The Family Educational Rights and Privacy Act, USC Title 20, Section 1232g, requires the establishment of a written institutional policy regarding the confidentiality of and access to student educational records.

3. DEFINITIONS

Public Records:
Recorded information that documents a transaction or activity by or with any public officer, agency or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. The medium upon which such information is recorded has no bearing on the determination of whether the recording is a public record. Materials made or acquired and preserved solely for reference use or exhibition purposes, extra copies of documents preserved only for convenience or reference, and stocks of publications are not considered public records for the purposes of this policy.

Original Record:
The first generation of the information which is the preferred version of a record. Archival records should to the maximum extent possible be original records. In cases where the original copy has been sent outside of the university, the institutional copy that resides in the originating office is to be treated as the original record. The requirement for records retention and disposition schedules relates specifically to original records.

Administrative Value:
Records or documents that have continuing utility in the operation of the university.

Legal Value:
Records that document actions taken in the protection and proving of legal or civil rights and/or the obligations of individuals and agencies. This includes records relating to pending or proposed litigation.

Fiscal Value:
Records that are needed to document and verify financial authorizations, obligations, and transactions. This includes records relating to pending audits.

Historical Value:
Records that contain unique information, regardless of age, that provides understanding of some aspect of the government and promotes the development of an informed and enlightened citizenry.

Archival record:
A public record of continuing and enduring value useful to the citizens of the Commonwealth and necessary to the administrative functions of public agencies in the conduct of services and activities mandated by law that is identified on a Library of Virginia approved records retention and disposition schedule as having sufficient informational value to be permanently maintained by the Commonwealth.

Records Manager:
The Records Manager for the university is the Registrar.

Private record:
A record that does not relate to or affect the carrying out of the official duties of the employee, the office, the department, or any aspect of the university, including private correspondence, diaries, journals, or notes that are not prepared for, utilized for, circulated, or communicated in the course of transacting public business.

Current Records:
Records needed to conduct the daily business of the university. Current records must be maintained in appropriate filing or retrieval equipment for immediate access in a working office.

Semi current Records:
Records not required for immediate access, but retained for information, audit, or legal purposes. When possible, semi current records should be retired from storage in working office space and moved to a designated storage area. Some semi current records, such as certain student and personnel records, are permanent in nature.

Noncurrent Records:
Records not needed to conduct current business and have no further use to the originating office. If noncurrent records have historic value, they should be transferred to the special collections of the Carrier Library or to the Records Manager, who will arrange for their storage. If disposable, they should be destroyed or disposed of in accordance with an approved records retention and disposition schedule.

4. APPLICABILITY

This policy applies to all university employees with the responsibility to maintain or manage university records or data. All such information is covered under this policy unless specifically excluded.

5. POLICY

Departments, offices and all employees are responsible for the storage of public records that they generate and receive. Current records must be maintained in appropriate filing or retrieval equipment for immediate access in the office. Different types of records must be retained for varying amounts of time before they can be destroyed. No public records may be destroyed without an approved retention and disposition schedule.

Public Records are subject to the provisions of the Virginia Public Records Act. In accordance with the Freedom of Information Act, public records are to be made available for public inspection, except those records that are specifically excluded from public disclosure by the Act. See Policy 1103, Responding to External Requests for Information. The public's right of access is also restricted by the Government Data Collection and Dissemination Practices Act when records show personal information on individuals. See Policy 1316, Release of Information From Employee Records. The Family Educational Rights and Privacy Act requires the establishment of a written institutional policy regarding the confidentiality of and access to student educational records. See Policy No. 2112, The Family Educational Rights & Privacy Act.

Departments, offices and employees must use the Library of Virginia published standard forms in administering the records management program.

6. PROCEDURES

6.1 Records Retention and Disposition Schedules.

General Records Retention and Disposition Schedules ("General Schedules") have been prepared for use by all state agencies by the Library of Virginia. Departments should refer to those General Schedules to determine how long a particular record must be retained before it can be destroyed. Copies of General Schedules are available from the Records Manager, from the JMU Web Site: www.jmu.edu/recordsmgmt or the Library of Virginia Records Management Services Web Site: http://lva.virginia.gov/agencies/records

6.2 Destruction and Disposal of Records.

State Form RM-3, Certificate of Records Disposal, must be used to obtain permission to destroy records.

All departments and offices must contact the Records Manager before destroying any original or institutional files, series of records, or correspondence files. To meet this requirement, the department or office must submit State Form RM-3 to the Records Manager for review. Instructions on filling out Form RM-3 may be obtained from the JMU Web Site: www.jmu.edu/recordsmgmt or the Library of Virginia Records Management Services Web Site: http://www.lva.virginia.gov/agencies/records.

The Records Manager will review the completed RM-3 for adherence to approved records retention and disposition schedules. The Records Manager will not approve of the destruction if there is pending litigation, audit, investigation, request for records pursuant to the Virginia Freedom of Information Act, or renegotiation of the relevant records retention and disposition schedule pending at the expiration of the retention period for the applicable records series.

After approving the form, the Records Manager will notify the department to proceed with the destruction of the records. At the discretion of the Records Manager, records not scheduled for transfer to the university Library but thought to be of possible historical value will be made available to the Records Manager for review prior to being destroyed.

Most records can be destroyed simply by throwing the records away or disposing of the records in the university's recycling system. In some cases, however, the records must be destroyed by burning or shredding under the supervision of a university employee. The General Schedules state which records must be destroyed in this manner. Regardless of the method, the department that owns the records must assure that they are destroyed in a proper manner, and that all destructions are reported to the Records Manager, who in turn notifies the Library of Virginia.

6.3 Records Storage.

Records should be filed and arranged by an accepted standard method that allows for determination of when a records series passes from a current status to a semi current or noncurrent status. When possible, semi current records should be retired from working office space and moved to a designated storage area.

6.4 Microfilming.

It is much less expensive to store records for many years than to microfilm them. The State will not allow the microfilming of records merely for convenience. Only records of sufficient administrative, legal, fiscal, and historical value to warrant their permanent preservation will be approved for microfilming. Any department or office which intends to microfilm records must budget for its own filming. The Library of Virginia's Records Management Services Office maintains a large microfilming operation and will submit bids, if requested through the university's Purchasing process. Microfilming of records must be approved by the Records Manager and the Library of Virginia.

7. RESPONSIBILITIES

The University Records Manager is responsible for administering the Records Management Program in accordance with state law and university policy. The Records Manager ensures that records appraisals and records retention and disposition schedules are systematically updated, maintained, and enforced. In addition, the Records Manager evaluates and reports the program's progress and achievements to management.

All departments, offices and employees that generate, receive or maintain public records as defined above are responsible for preparing the certificates of records disposal for those records. They are further responsible for compliance with procedures regarding records storage and destruction as established by this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Private records owned or maintained by university employees are not covered by this policy.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Records Manager.

Previous version: July, 2007
Approved by the President: April, 2010

Index of Terms

Records
Record retention
Files
Public Records
Destroying Public Records

1324 Discrimination and Harassment UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

1. PURPOSE

This policy sets out the university's commitment to providing a workplace and learning environment free from illegal discrimination and harassment. It also provides procedures for university community members and visitors to file internal complaints alleging discrimination or harassment against any employee or affiliate of the university, or against any visitor whose discrimination or harassment interferes with the complainant's workplace or learning environment. Procedures for complaints filed against students can be found in the JMU Student Handbook.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND / OR REGULATION

This policy is written in accordance with Title VI and Title VII of the Civil Rights Act of 1964 (42 U.S.C. §§2000d and e), Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), the Age Discrimination in Employment Act (29 U.S.C. § 621 et seq.), the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.) the ADA Amendments Act of 2008 (ADAAA) (42 U.S.C. § 12,101 et seq.), Section 504 of the Rehabilitation Act of 1973 (29 USC section 791, et seq.), and the Equal Pay Act (29 U.S.C. § 206 et seq.), as well as the Virginia Human Rights Act (Code of Virginia §2.2-3900 et seq).

3. DEFINITIONS

Affiliate
An individual who has a formal affiliation with the university under the terms of Policy 1337.

Complainant
A university community member or visitor who files a formal complaint under this policy.

Complaint
The signed and written document used to file a formal complaint under this policy.

Complaint Commencement Date
The date on which the complainant provides the Title IX Officer with the written and signed complaint.

Day
A calendar day. When the end of a specified period of days falls on a weekend or on a day when classes are not scheduled, that period shall be deemed to end on the next scheduled class day. (Example: A specified time period will not end during spring break or on any day between the end of the last summer session and the first scheduled class day of the fall semester. The specified time period will be continued until the next official class day.)

Director of Equal Opportunity (DEO)
The person the president has charged with oversight of this policy and procedure. The DEO is the Title IX Coordinator for the university.

Discrimination
To take an adverse action or provide unequal treatment based on a person's age, color, disability, national origin, parental status, gender identity, genetic information, political affiliation, race, religion, sex, sexual orientation or veteran status when such action deprives a person of a privilege or right (such as a benefit, an equitable evaluation, a grade, a position or a promotion), or otherwise adversely affects the person. This also includes retaliation for filing a complaint and harassment on the basis of one of the bases listed above. It also includes denial of a reasonable accommodation for a disability.

Faculty Member
An instructional or Administrative & Professional (AP) faculty member employed by the university.

Harassment
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

Respondent
An employee or affiliate of the university or visitor against whom a complaint under this policy is filed.

Retaliation
Overt or covert acts of discrimination, harassment, interference, intimidation, penalty, reprisal or restraint against a group or individual exercising rights under this policy. Retaliation shall be deemed to constitute harassment and, therefore, will be considered a separate violation of this policy.

Staff Member
A full- or part-time classified employee or wage employee.

Title IX Coordinator
The individual designated by the university to coordinate the institution's compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.). The Title IX Coordinator for the university is the DEO. The DEO has oversight of this policy, coordinates the actions of the various Title IX officers on campus and is responsible for reporting on the university's compliance with Title IX.

Title IX Officer
The officials within the university charged with receiving, investigating and processing complaints under this policy. The Title IX Officer who is assigned to handle complaints by student athletes under this policy is the Associate Athletics Director for Compliance (AAD). The Title IX Officer who is assigned to handle complaints by all other students under this policy is the Director of the University Health Center (UHC). The Title IX Officer who is assigned to handle complaints by staff members under this policy is the Director of Human Resources (HR). The Title IX Officer who is assigned to handle complaints by faculty members and visitors under this policy is the DEO.

University Community Member
An individual employed or affiliated with the university in one or more of the following full-or part-time capacities:

  • Administrative & Professional (AP) faculty member
  • Classified employee or other employee (such as wage or part time)
  • Instructional faculty member
  • Affiliate
  • Student (graduate or undergraduate)

Visitor
For the purposes of this policy, a person who is not enrolled at, compensated by or an affiliate of the university but is engaged in a university sponsored or contracted working or learning activity.

4. APPLICABILITY

This policy applies when a member of the university community or visitor believes that s/he has been subjected to harassment or discrimination by an employee or affiliate of the university or by a visitor. All acts of discrimination and harassment are covered provided that at least a substantial portion of the alleged wrongful behavior either occurred on university-controlled, university-leased or university-owned property or otherwise had a significant connection to or effect on the activities of the university or the learning or working environment for the complainant.

A person who is no longer a member of the university community or a visitor but who was when at least a substantial portion of the alleged wrongful behavior occurred is eligible to file a complaint. A complaint filed by a complainant who has no further connection with the university or against a respondent who has no further connection with the university may be dismissed by the DEO if the university has no means to take appropriate steps to eliminate the harassment, prevent its recurrence or address its effects.

5. POLICY

The university is committed to providing a work and learning environment that is free from discrimination or harassment based on protected criteria. Conduct that constitutes discrimination or harassment is a violation of university policy and is sanctionable.

This policy prohibits discrimination against an individual on the basis of age, color, disability, national origin, gender identity, genetic information, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status. It applies in the employment relationship, including job application procedures, hiring, advancement, discharge, compensation, job training, or other terms and conditions of employment. It applies in the educational relationship with students, including application procedures, admissions, grades, discipline, dismissal, or other terms and conditions of matriculation. It applies in the provision of services that are provided by the university to students or other individuals, including visitors. It is also a violation of this policy to retaliate against or harass an individual who files charges or participates in proceedings under this policy.

Any member of the university community or visitor who is subjected to discrimination or harassment by an employee, affiliate or visitor may bring a complaint under this policy to attempt to address the situation.

Any member of the university community who is subjected to abuse or harassment by a student may bring a complaint under the terms of the Student Code of Conduct. See http://www.jmu.edu/judicial/handbook/JudicialPolicies.html

6. PROCEDURES

6.1 Informal Resolution Attempts

6.1.1. Before bringing a complaint to the Title IX Officer, the complainant is encouraged to discuss the complaint with the respondent to attempt to resolve it, except in cases involving sexual violence where encouraging such a discussion is never appropriate. In any case, if the complainant does not feel comfortable discussing the matter directly with the respondent, the complainant is encouraged to discuss the matter promptly with any of the following university resources:

  • The DEO
  • The complainant's supervisor
  • A Counseling and Student Development Center staff member
  • Human Resources staff member
  • the faculty, staff or student ombudsperson
  • The respondent's supervisor
  • Another Title IX Officer
  • Another university official who the complainant believes to be an appropriate adviser given the nature of the situation (i.e., a coach, a faculty mentor, a residence hall adviser, etc.)

Any university official contacted by a complainant is encouraged to communicate the general nature of the matter to the DEO, without disclosing the identities of the parties if necessary, to assist the DEO in developing effective campus educational programs and assessing the campus climate.

6.1.2. If the complainant meets informally with a Title IX Officer or any other university official and asks that the information disclosed be kept confidential, the university official contacted informally by the complainant must determine whether to keep the information confidential or whether it must be communicated to the DEO to protect the university. However, in cases involving allegations of conduct that appear to constitute sexual harassment, including sexual violence, the university official contacted has an affirmative duty to disclose the information to the DEO and does not have the discretion to keep the disclosed information confidential. University officials should inform any individual who has disclosed information concerning sexual harassment that such information will not be kept confidential and should encourage the potential complainant to cooperate with the investigation of the matter.

6.1.3. If any discussions between the complainant and the respondent or between the complainant and any other university official do not lead to a resolution that is satisfactory to the complainant or if the complainant does not pursue such discussions, the complainant should contact the Title IX Officer not later than 30 days after the last behavior date. Failure to make a timely report to the Title IX Officer may impede the university's ability to effectively investigate the charge, but such failure will not prohibit the complainant from filing a formal complaint, as long as such complaint is timely filed under 6.2.1.

When the complainant contacts the Title IX Officer, that person will discuss with the complainant the procedures that will be followed with respect to any ensuing investigation, resolution attempts and referral for a potential hearing. The Title IX Officer will also notify the DEO, who will advise the appropriate vice president (organizationally above the respondent) of the existence of the complaint, whether it is formal or informal.

6.1.4. If the complainant decides not to file a formal complaint of discrimination (except sexual harassment or sexual assault), the Title IX Officer will inform the DEO. The DEO will advise the appropriate vice president that no complaint was filed, and the matter will be closed.

6.1.5. If the complainant decides not to file a formal complaint in the case of an allegation of sexual harassment, including sexual assault, the Title IX Officer will, even without the cooperation of the complainant if necessary, investigate the allegations to the extent possible under the circumstances. It is within the discretion of the Title IX Officer to decide whether the respondent must be notified of the informal charge before or in the course of the investigation.

6.1.6. If the investigation into potential sexual harassment reveals information that indicates that the policy applies and that the evidence justifies a preliminary finding of a violation of the policy, the Title IX Officer will report this finding to the DEO. The DEO will advise the complainant, respondent, and the respondent's supervisor or sponsoring department of the preliminary finding. The appropriate vice president (organizationally above the respondent) will also receive notice of the finding. The Title IX Officer will turn over the findings to the DEO, who will decide whether to give them to the respondent's supervisor or sponsoring department. The DEO will not supply the findings to the complainant or the respondent but will inform them that the matter has been turned over to the respondent's supervisor or sponsoring department.

6.1.7. If the investigation into potential sexual harassment reveals information that indicates that the policy does not apply or that the evidence does not justify a preliminary finding of a violation of the policy, the Title IX officer will report this finding to the DEO, who will advise the respondent's supervisor or sponsoring department that the informal complaint will be dismissed. The Title IX officer will inform the complainant and the respondent that the informal charge is dismissed. This decision is final and may not be appealed.

6.1.8. If the complainant decides to file a formal complaint, the Title IX Officer may, with the permission of the complainant, contact the respondent and attempt to help bring about a resolution. The Title IX Officer may suggest that the complainant and the respondent participate in mediation, but participation is not mandatory and is never appropriate in cases involving sexual violence. Mediation is entirely voluntary, and failure to participate in mediation shall not be considered adversely against either the complainant or the respondent in any ensuing investigation or hearing.

6.2 Complaint Process

6.2.1. The formal complaint must be filed by the complainant not later than 180 days after the last date of discriminatory or harassing behavior by providing the Title IX Officer with a signed, written document detailing the allegations, naming the respondent and providing as much detail as possible about the charges. The Title IX Officer may extend this period to no more than 300 days if an informal resolution procedure under 6.1.8. is in progress. A formal complaint may not be filed anonymously or on behalf of another person, although an anonymous complaint or third party complaint alleging sexual violence may be investigated by the Title IX Officer if sufficient information is provided. The Title IX Officer will confirm the complaint commencement date with the complainant in writing and will notify the respondent and the DEO, supplying both with a copy of the complaint.

6.2.2. Upon receipt of the complaint, the Title IX Officer shall determine whether this policy applies and will dismiss a complaint if the policy does not apply. The Title IX Officer will notify the complainant, the respondent and the DEO in writing of the dismissal. A decision by the Title IX Officer that this policy does not apply is final and may not be appealed.

By way of example, the Title IX Officer may find that this policy does not apply upon determining any of the following:

  1. That even if the complainant's allegations are true, the respondent's conduct would not constitute harassment or discrimination as defined in this policy.
  2. That the alleged conduct did not occur on university-owned, university-leased or university-controlled property or did not otherwise have a significant connection to the activities of the university or the working or learning environment for the complainant.
  3. That the complainant or respondent is not a university community member or a visitor with whom the university has any continuing relationship.
  4. That the complaint was not timely filed.
  5. That the complainant was not the party harmed by the discrimination or harassment, and the party harmed cannot be identified or has no interest in pursuing the matter. However, in cases involving sexual harassment, the unwillingness of the party harmed to be involved in the matter will not necessarily result in a dismissal.

This list is not exclusive, and other situations may result in the Title IX Officer determining that the policy does not apply.

6.2.3. If the Title IX Officer determines that this policy applies, the Title IX Officer shall conduct an investigation of the complaint in any manner the Title IX Officer deems appropriate. All members of the university community are required to cooperate in the investigation.

6.2.4. Not later than 60 days after the complaint commencement date, the Title IX Officer shall provide the appropriate office with authority over the respondent (i.e., the supervisor for an employee or the sponsoring department for an affiliate) with a confidential written report of the Title IX Officer's recommendations and findings, with a copy to the DEO and the appropriate vice president organizationally above the respondent. The Title IX Officer may also report to the appropriate office the Title IX Officer's opinion on whether the evidence justifies a preliminary finding by the Title IX Officer that the respondent violated this policy and whether the respondent should be charged with misconduct under the appropriate disciplinary procedures, if any. Any such preliminary finding by the Title IX Officer shall be based on a preponderance of the evidence available. Such a preliminary finding is not binding on the fact-finders in any subsequent misconduct hearing or procedure and shall not be available to the complainant or the respondent. Its function is entirely advisory to the appropriate office concerning the office's subsequent handling of the allegations in the appropriate process. It is then up to the appropriate office to determine what steps to take, including whether to institute disciplinary procedures against the respondent for misconduct, subject to review by the appropriate vice president.

6.2.5. The university will take prompt and effective steps reasonably calculated to end discrimination and harassment, eliminate any hostile environment and its effects, and prevent the discrimination or harassment from recurring. Appropriate steps to end discrimination and harassment may include separating the complainant and the respondent, providing counseling for the complainant and/or respondent or taking disciplinary action against the respondent or against a complainant who makes a false report.

6.2.6. A classified staff member may be disciplined or discharged for violation of this policy under the Commonwealth's Standards of Conduct. See Policy 1317. A wage employee may be disciplined or discharged for violation of this policy under the terms of Policy 1325. An AP faculty member may be disciplined or discharged for violation of this policy under the terms of Policy 1335. An affiliate may have his/her status as affiliate removed for violation of this policy under the terms of Policy 1337. An instructional faculty member may be disciplined or discharged for violation of this policy under the terms of the Faculty Handbook, Section III.A.25.

6.2.7. If the Title IX Officer finds by a preponderance of the evidence available that the evidence does not justify such a preliminary finding of violation, the Title IX Officer will dismiss the complaint and will send a notice of such dismissal to the complainant, the respondent, the DEO and the appropriate vice president organizationally above the respondent.

6.2.8. A decision by the Title IX Officer that the evidence does not justify such a preliminary finding of violation may be appealed by the complainant to the DEO within five days by presenting a written appeal detailing the reasons the decision should be overturned.

6.2.9. If no appeal is timely filed, the complaint will be dismissed by the DEO, and the complainant, respondent and vice president will be notified.

6.2.10. If an appeal is timely filed, the DEO will decide whether to refer the case to the appropriate office for further proceedings or to uphold the dismissal. The DEO's decision will be sent in writing to the complainant, the respondent and the appropriate vice president. The DEO's decision on whether to refer the case to the appropriate office for further proceedings or to dismiss the case is final and may not be appealed.

6.2.11. If the Title IX Officer finds that the evidence justifies a preliminary finding of violation, the Title IX Officer will notify the DEO, the appropriate vice president organizationally above the respondent, the complainant and the respondent that s/he is referring the complaint to the appropriate office for further proceedings.

6.2.12. The DEO will serve as a resource for any hearing officer or body who is charged with conducting a hearing or reaching a decision on the issue of the respondent's misconduct under the terms of this policy. Upon request, the DEO may serve in an advisory capacity in any such hearing or meeting. The Title IX Officer may serve as a witness or as the responsible official presenting the allegations of misconduct against the respondent in any such hearing or meeting.

6.3 Other provisions:

6.3.1. Exceptions to Provisions
It is not intended that the outcome of a complaint be determined by a procedural violation that does not unduly prejudice the complainant or the respondent. Therefore, the Title IX Officer, the DEO, the appropriate vice president organizationally above the respondent or the appropriate office to whom the case is referred may make exceptions to the provisions (including time deadlines) of this policy provided, however, that any exception is intended to bring about a just outcome and does not unreasonably adversely affect another participant in the process.

6.3.2. Confidentiality, Other Consequences
All participants in all proceedings under this policy will observe confidentiality to the extent reasonably possible. However, in the event of any final determination of a violation of this policy, the appropriate vice president organizationally above the respondent will provide information about the final determination to appropriate university officials and to the complainant and respondent. The university may also use any information obtained in the proceedings to defend itself against any claims, complaints or allegations brought against it.

6.3.3. Education
The DEO will provide educational materials to appropriate university officials and community members in order to enable them to better fulfill their responsibilities under this policy.

6.3.4. Suspension Pending Outcome
Pending the outcome of any investigation and pending the completion of the procedures in this policy and in the policies concerning misconduct referenced herein any member of the university community charged with discrimination or harassment may be temporarily suspended from employment and/or issued a no-trespass notice banning the person from campus. Additionally, any person charged through a formal or informal complaint under this policy will be notified that retaliation is prohibited and may result in a separate charge under the policy.

6.3.5. Attorneys in Procedures
The person filing a complaint and the person accused of violating this policy have the right to obtain advice of private counsel concerning this policy and the procedures in it. However, the role of counsel is purely advisory in this policy and procedure, and absent exceptional circumstances attorneys are not to be active participants in the process. The DEO, the administrators involved in the decisions, and any committees operating under this policy and procedures shall have access to advice from the Legal Services Office for the university.

6.3.6. Criminal Proceedings
The existence of criminal proceedings will not necessarily delay or interrupt the procedures outlined in this policy, unless the law enforcement agency or prosecution requests that the university procedures be suspended, in which case the university will determine whether and for how long to suspend its procedures.

7. RESPONSIBILITIES

University community members and visitors are responsible for behaving in a nondiscriminatory and non-harassing manner toward other university community members and visitors, are responsible for reporting allegations of conduct that would constitute sexual harassment to the DEO and are responsible for abiding by the terms of this policy.

The DEO is responsible for accepting and investigating complaints by faculty members, determining the applicability of this policy to specific complaints, coordinating with the UHC, AAD and HR on the processing of complaints, notifying the appropriate vice president (organizationally above the respondent) of complaints, making recommendations, and disseminating information as provided in this policy.

The UHC is responsible for accepting and investigating formal complaints by students, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

The AAD is responsible for accepting and investigating formal complaints by student athletes, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

HR is responsible for accepting and investigating formal complaints by staff members, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

The employee respondent's supervisor is responsible for determining whether a report and recommendation under this policy should be handled through the misconduct procedures for an employee.

The sponsoring department is responsible for determining whether an affiliate's status should be revoked for violation of this policy.

The vice presidents are responsible for making final decisions concerning referral of all complaints filed against members of the university community under their division.

The DEO is responsible for recommending appropriate actions against a visitor who is found to have violated this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment, removal of affiliate status, exclusion from future learning or working opportunities at the university, and/or issuance of a no-trespass notice.

9. EXCLUSIONS

9.1. This policy does not provide procedures for complaints filed against students. Any allegation of harassment or discrimination against a student (except in the student's capacity as a university employee) should be reported to the Office of Judicial Affairs for disposition pursuant to the Student Judicial System as set forth in the JMU Student Handbook.

9.2. Even if an allegation of harassment or discrimination is one of the exclusions from the scope of this policy, any affected person may discuss it with the DEO.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the DEO.

Previous Version: August, 2012
Approved by the President: August 2012

Index Terms

Director of Equal Opportunity
Discrimination
Harassment
Sexual Harassment
Sexual Violence

2202 Care and Use of Laboratory Animals

1. PURPOSE


This policy provides the university community with procedures for the appropriate care and use of laboratory animals at the university.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

In compliance with the Public Health Service (PHS) policy, "The chief executive officer shall appoint an Institutional Animal Care and Use Committee, qualified through the experience and expertise of its members to oversee the institution's animal program, facilities and procedures."

4. APPLICABILITY

According to the Assurance of Compliance with PHS Policy on the Humane Care and Use of Laboratory Animals, it is the responsibility of the university to provide direction and oversight for the use and care of live vertebrate animals in the conduct of scholarly research or other academic activities.

The policy applies to all student/faculty research and teaching whether funded from external or internal sources.

5. DEFINITIONS

Animal:
Any live, vertebrate animal used or intended for use in biological testing, experimentation, or instructional, research, research training or related purposes.

Animal Facility:
Any and all areas, buildings, enclosures, rooms or vehicles, including satellite facilities used for animal confinement, breeding, experiments inclusive of surgical manipulation, maintenance or transport. A satellite facility is any containment outside of a core facility or a centrally designated or managed area in which animals are housed for more than 24 hours.

Animal Welfare Act:
Title 9, Code of Federal Regulations (CFR), Chapter 1, Subchapter A, Parts 1 - 4. Public Law 89-544, 1966, as amended, (P.L. 91-579, P.L. 94-279 and P.L. 99-198) 7 U.S.C. 2131 etc. seq. Administered by the U.S. Department of Agriculture (USDA).

Animal Welfare Assurance or Assurance:
The documentation from an institution assuring institutional compliance with the PHS policy, Appendix B of the Guide.

Guide:
Guide for the Care and Use of Laboratory Animals, Author: National Research Council. Publisher: National Academies Press, ISBN-10: 0-309-15400-6 2011 edition or succeeding revised editions.

IACUC:
Institutional Animal Care and Use Committee

Institutional Official:
An individual who has the authority to sign the university's Assurance, making a commitment on behalf of the university that the requirements of the Public Health Service policy will be met.

Public Health Service or PHS:
The Public Health Service includes the Alcohol, Drug Abuse and Mental Health Administration; the Centers for Disease Control; the Food and Drug Administration; the Health Resources and Services Administration; the National Institutes of Health; and the Office of the Assistant Secretary for Health, Department of Health and Human Services.

Standard Operating Procedures (SOPs):

A list of procedures that govern the operation of an animal care facility on campus to assure the health and welfare of all animals used in research, teaching or both.

5. POLICY

It is university policy that the care, housing, use and procurement of animals should conform to the National Research Council Guide for the Care and Use of Laboratory Animals or succeeding editions and other relevant federal policies and procedures.

6. PROCEDURES

6.1 Institutional Animal Care and Use Committee or IACUC
Membership or Composition - Described in the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals. http://grants.nih.gov/grants/olaw/references/phspol.htm See IACUC Membership Requirements at the following URL: http://grants.nih.gov/grants/olaw/tutorial/iacuc.htm
The IACUC will consist of not fewer than five members who shall include the following:

  • A doctor of veterinary medicine with training in laboratory animal science and medicine, who has direct or delegated authority and responsibility for activities involving animals at the institution.
  • A member whose primary concern is a nonscientific area
  • A practicing scientist experienced in research involving the use and care of animals
  • One individual not affiliated with the university other than as a member of this committee

6.2 Categories of Animal Use Subject to Review
The IACUC reviews all classroom and research projects involving the use of living non-human vertebrate animals to ensure the humane care and use of animals including, but not limited to the following:

  • Classroom exercises, demonstrations and lab projects
  • Faculty or staff research projects (including those that are funded)
  • Graduate student projects
  • Undergraduate student honor projects
  • University-approved research by investigators not affiliated with the university who propose to involve university students, staff or faculty members as part of a proposed research project

6.3 Criteria Used for Review of Proposals
Review Criteria
The JMU IACUC in its review of proposed animal use protocols involving animals will determine that the proposed activity meets the following requirements as spelled out in JMU's institutional assurance to the U.S. Public Health Service Office of Laboratory Animal Welfare:

  • Procedures involving animals must be designed and performed with due consideration of their relevance to human or animal physical or mental health, the advancement of knowledge, or the good of society.
  • Animals selected for a procedure must be of an appropriate species and quality, and the number of animals used must be the minimum required to obtain valid results. Alternate approaches such as mathematical models, computer simulation and in vitro biological systems should be considered whenever possible.
  • Consistent with sound research design, procedures with animals must avoid or minimize discomfort, distress and pain to the animals.
  • Procedures that may cause more than momentary or slight pain or distress to the animals must be performed with appropriate analgesia, anesthesia or sedation; animals to undergo surgery or other painful procedures must always be properly anesthetized. Any variation from this requirement must be justified for scientific reasons in writing and must be reviewed and approved by the IACUC.
  • Animals that would otherwise experience severe or chronic pain or distress that cannot be relieved must be painlessly sacrificed at the end of the procedure or, if appropriate, during the procedure.
  • Multiple major surgical procedures on the same animal are discouraged and may be justified only when the procedures are related components of a research protocol. Such multiple surgical procedures require written justification and IACUC approval; approval will not be granted on the basis of cost savings alone.
  • The living conditions of animals will be appropriate for their species and contribute to their health and comfort. The housing, feeding and non-medical care of animals will be directed by a scientist trained and experienced in the proper care, handling and use of the species being maintained or studied.
  • Medical care for animals will be available and provided as necessary by a qualified veterinarian.
  • Personnel conducting procedures on the species being maintained or studied will be appropriately qualified and trained in those procedures.
  • All animals must be held in IACU-inspected and -approved facilities. Surgical procedures must be performed only in facilities that have been approved by the IACUC for that purpose.
  • Methods of euthanasia used will be consistent with the recommendations of the American Veterinary Medical Association Panel on Euthanasia. Any variation from this requirement must be justified for scientific reasons in writing and must be reviewed and approved by the IACUC.

6.4 Procedures for Submitting Proposed Animal Use Protocols to the IACUC

  • Submit an electronic copy and forward one signed original of the completed protocol package - Attachment A (including the description of the methodology involving animals and abstract) to the Office of Sponsored Programs for review, approval and distribution. The electronic version can be submitted at: http://www.jmu.edu/sponsprog/iacucsubmit.html or e-mailed to jmu_grants@jmu.edu.
  • Protocols will not be accepted for review unless the hard copy of the protocol cover page provided to the Office of Sponsored Programs contains signatures of the instructor or principal investigator, each co-investigator named and the appropriate director or unit head.
  • Protocols to be reviewed should be received by the IACUC not less than 30 days prior to the date approval is required.
  • IACUC approval must be received before starting the project.
  • On approval, commencement and expiration dates will be assigned for the project, and a copy of the Action of the Board Form will be returned to the principal investigator or instructor.

Post-Approval IACUC Procedures

  • Application approval will be valid for a maximum of three years.
  • The principal investigator or instructor will contact the IACUC chairperson annually to verify the status of the project.
  • If no significant change in the protocol has occurred, approval may be extended for a year.
  • Amendments will be filed for minor and major changes during the approval year.
  • Any significant change in the protocol requires a new application and approval.
  • Approval will be canceled for discontinued projects.
  • Significant departure from the original protocol requires prior approval from the IACUC.

6.5 Statement of Concern/Complaint Concerns about animal abuse or infractions of animal care and user regulations, use the following chain of command to report the situation:

Principal Investigator

or →

Attending Veterinarian

Department Head

or →

IACUC Chairperson

Should circumstances exist that prevent the use or implementation of this chain of command, concerns may be directed to the IACUC chairperson or a member of IACUC. Concerned parties may file a report to research compliance at http://www.jmu.edu/sponsprog/research_compliance_reports.html.


In grievous matters, the university, after verification of the report and the situation, will take appropriate actions to ensure the humane care and use of animals and will report the matter to the appropriate authorities. No committee member, facility employee, laboratory personnel or student shall be discriminated against or be subject to any reprisal for reporting violations of any regulation or standard in accordance with Misconduct in Research and other Scholarly Work, Policy No. 2205.

6.6. All animal care facilities (vivaria) will follow the SOPs that apply to their particular species. These SOPs are posted on the IACUC website at http://www.jmu.edu/sponsprog/iacuc_sops.html.

6.7 This policy will be posted inside the vivarium for use by any person reporting an animal care and use issue.

7. RESPONSIBILITIES

7.1 The IACUC reviews research applications proposing the use of vertebrate animals to ensure that the described care and use of animals are in compliance with federal rules and regulations and university policy. The IACUC is responsible for the following:

  • Reviewing the institution's program for the humane care and use of animals at least once every six months using the Guide as a basis for evaluation.
  • Inspecting all of the institution's animal facilities at least once every six months using the Guide as a basis for evaluation.
  • Preparing reports of IACUC evaluations as set forth in the PHS policy and submitting the reports to the provost/institutional official.
  • Reviewing concerns involving the care and use of animals at the institution.
  • Making written recommendations to the provost/institutional official regarding any aspect of the institution's animal program, facilities or personnel training.
    The provost/institutional official will apprise the appropriate university offices of the committee's recommendations and concerns. In addition, the provost/institutional official will provide the Office of Facilities Planning with an up-to-date list of approved animal facilities and a separate list of facilities where vertebrate animal research is currently taking place.
  • Reviewing and approve, require modifications (to secure approval or withhold approval) of those activities related to the care and use of animals as set forth in the PHS policy.
  • Reviewing and approving, require modifications in (to secure approval or withhold approval) proposed significant changes regarding the use of animals in ongoing activities as set forth in the PHS policy.
  • Notifying investigators and the university in writing of its decision to approve or withhold approval of those activities related to the care and use of animals or of modifications required to secure IACUC approval as set forth in the PHS policy.
  • Authorizing the suspension of an activity involving animals as set forth in the PHS policy.
  • Overseeing lawful procurement of vertebrate animals.
  • Reviewing and approving all new, continuing or revised protocols involving use of animals in university-supported and/or externally funded research or instructional activities.
  • Overseeing adherence to the SOPs.

7.2 The principal investigator or instructor is responsible for the following:

  • Submitting a properly executed application for Use of Animals in Research and Teaching for each project to the Office of Sponsored Programs, the administrative arm for IACUC. The protocol will be distributed for review and approval to the IACUC. No work may commence until IACUC approval has been obtained.
  • Ensuring that all animals are obtained lawfully.
  • Ensuring that arrangements are made for obtaining any special permits necessary for the acquisition of certain exotic, wild and restricted species.
  • Ensuring that personnel are adequately trained in the care, handling and restraining of all animals used in relevant experimental procedures.
  • Establishing proper procedures in their laboratory or study area for all aspects of animal care and use such as anesthesia, postoperative care, preoperative care, sampling techniques and euthanasia, as well as disposing of animal carcasses and waste. The principal investigator or instructor is not responsible for the physical removal of animal carcasses and waste. However, the principal investigator or instructor is responsible for implementing procedures for preparation of wastes according to the Guide for collection and disposal. Waste disposal will be collected and disposed of in a safe and sanitary manner under the auspices of the Environmental Health Coordinator.
  • Ensuring that instructions to laboratory personnel are implemented, including the health-care program.
  • Ensuring that aseptic surgery is performed in a facility designed in accordance with the recommendations in the Guide for the Care and Use of Laboratory Animals 2011 or succeeding editions).
  • Ensuring that procedures are in compliance with all campus policies, including regulations concerning the use of agents such as radionuclides, biohazardous agents, etc., as well as those involving the use of vertebrate animals. Experimentation with such agents may require registration with or approval by other campus committees or offices.
  • Laboratory animals are not allowed outside the approved laboratory facility for more than 12 hours.
  • Major amendments to protocol require IACUC review.
    • Examples of major amendments include:
      • Change in purpose or specific aim of study
      • Change of principal investigator
      • Change of species
      • Addition of species
      • 10% or more increase in animal numbers over the number approved on the initial protocol and any subsequent committee reviewed amendments
      • Addition of a survival surgery
      • Addition of a painful procedure
      • Unanticipated marked increase in clinical signs or proportion of animal deaths
      • Addition or change of anesthetic or analgesic agent or a change in dosage
  • Minor amendments are processed through the IACUC office as administrative changes.
    • Minor amendments include:
      • Changes to contact information of the PI or study personnel
      • Changes to training updates of the PI or study personnel
      • Addition or deletion of study personnel
      • Addition of faculty collaborator
      • Addition of another strain of the same species
      • Change of sex in the animal to be used
      • <10% increase in animal numbers over the number approved on the initial protocol and any subsequent committee reviewed amendments
      • Addition of sample collection times (if not exceeding standard limits - with veterinary consult as needed)
      • Additional non-invasive sampling (if not exceeding standard limits - with veterinary consult as needed)
      • Reducing or eliminating previously approved water or feed restrictions
      • Addition of or change in dosage of an experimental drug in the same class as one previously approved
      • Addition or deletion of animal usage location

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Provost and Senior Vice President for Academic Affairs.

Approved by the President: November, 2002
Previous Version: November, 2002

Index Terms:


Animal care
IACUC
Laboratory animals
OSP
Research

Appendices

http://www.jmu.edu/sponsprog/allforms.html

1213 Information Technology Project Management

James Madison University is committed to continually improving the delivery of information technology solutions within budget, on schedule, within scope and in such a way as to best contribute to accomplishing the university's mission and strategic plans. This policy furthers that goal by establishing the common and consistent application of project management best practices in the management of information technology (IT) projects.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology project management and project auditing activities. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its project management and project auditing activities.

4401 University Supported Travel

This policy outlines requirements for all official travel for James Madison University.

1308 Family and Medical Leave

It is the objective of James Madison University to provide eligible employees with up to 12 weeks of paid or unpaid, job-protected family or medical leave for specified family and medical reasons with continuation of group health insurance coverage under the same terms and conditions as if the employee had not taken leave. Eligible employees are entitled to:

Twelve workweeks of leave in a 12-month period for:

  • the birth of a child and to care for the newborn child within one year of birth
  • the placement with the employee of a child for adoption or foster care and to care for the newly placed child within one year of placement
  • to care for the employee’s spouse, child, or parent who has a serious health condition
  • a serious health condition that makes the employee unable to perform the essential functions of his or her job
  • any qualifying exigency (as defined by the Department of Labor) arising out of the fact that the employee’s spouse, child or parent is called to active duty or has been notified of an impending call or order to active duty in the Armed Forces in support of a contingency operation
  • up to 26 workweeks of leave during a single 12-month period to care for a spouse, child, parent or other family member (if the nearest blood relative) with an illness or injury incurred in the line of duty while in the Armed Forces
2114 Part-Time Instructional Faculty

1. PURPOSE

This policy provides the procedures concerning employment of part-time instructional faculty members at James Madison University.

2. AUTHORITY

The Board of Visitors has the authority to enact personnel policies for all employees of the university. Where this authority has not been exercised by the board, it is delegated to the president.

3. DEFINITIONS

Administrative & Professional Faculty:
Sometimes referred to as 'A&P Faculty', this is a faculty member whose primary responsibility is management or administration but is not teaching (as opposed to instructional faculty). In the past, A&P Faculty were sometimes referred to as 'T&R Administrators.' However, that terminology is no longer used commonly.

At-will employee:
A faculty member who has no legitimate expectation of the continuation of his or her employment relationship with the university.

Expiration:
The natural and automatic termination of a fixed term contract of employment.

Fixed term contract:
An employment contract with a specific termination date or length of duration.

Instructional Faculty:
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties. Sometimes referred to as 'T&R Faculty'.

PAR:
Personnel Action Request form.

Part-time faculty:
Faculty members who are employed for less than a full academic year, or who are employed for at least an academic year at less than a full work load for that academic unit.

4. APPLICABILITY

This policy relates to the employment of all part-time instructional faculty members, including adjunct and visiting appointments; academic year, calendar year, fixed term appointments and interim appointments.

5. POLICY

5.1 All part-time faculty member contracts are for a fixed term, and they expire automatically at the end of the contract term. No notification of the faculty member is needed to effect termination, and the expiration is not an appeal-able action.

5.2 There is no limit to the number of successive fixed-term contracts that may be awarded to a part-time faculty member. A part-time faculty member may be hired each semester for as long as needed by the academic unit.

5.3 Except with the written permission of the Vice President and appropriate dean, a part-time faculty member should not be given a full-time teaching load for more than two academic semesters in a row. Any employment in the next succeeding academic semester should be for a teaching load of less than full-time, so that there are never three semesters in succession where the part-time faculty member carries a full-time teaching load. For the purposes of this rule, the summer semesters do not constitute a break in service, allowing a full-time teaching load in the succeeding fall semester.

5.4 James Madison University does not utilize part-time employment contracts for tenured, tenure-track, or renewable term faculty members.

5.5 A part-time faculty member may be terminated during the term of a contract for misconduct, unsatisfactory performance, or any other reason that does not violate academic freedom. Part-time faculty members do not have any appeal rights for the termination of a contract before its expiration except on the grounds of a violation of academic freedom.

5.6 The Faculty Handbook and all other policies relating to faculty members generally apply to part-time faculty members, unless the policy specifies otherwise. Part-time faculty members are bound by the same responsibilities as full-time faculty members, including academic responsibility, professional ethics, academic honesty and integrity, and the responsibility to abide by all university rules and policies. They also enjoy most of the same privileges, including academic freedom, equal opportunity, and privacy protection as state employees. Part-time faculty members are not eligible for state employment benefits.

5.7 The procedures in this policy must be followed in the hiring, assigning, and separation of part-time faculty members at James Madison University.

5.8 Part-time faculty members are at-will employees.

6. PROCEDURES

6.1 Hiring
Part-time faculty members may be hired using an offer letter written from the hiring department to the candidate. Such a letter must contain, at a minimum:

  • Dates of employment (first day of the semester and employment termination date)
  • Pay
  • Rank (most often, 'Instructor')
  • Academic unit
  • Classes to be taught and class schedule
  • A statement that part-time employees do not qualify for state benefits
  • A statement that employment is contingent on the class/classes being held, noting that the employment offer may be rescinded if the class/classes are canceled for any reason
  • A statement listing the documentation required for hiring (from Policy 2101) if not already submitted
  • The academic unit head signature
  • The signature of the part-time employee accepting the assignment

Part-time hiring is subject to the hiring procedures set out in Policy 2101, including the requirement for transcripts, a completed application, etc. However, a full search is not required to hire a faculty member as a part-time employee.

6.2 Termination
For part-time faculty members who are terminated during the term of the contract, the academic unit head must generate the PAR immediately upon termination of the faculty member and send the PAR to the Office of Human Resources.

No campus clearance form is needed by the office of human resources for part-time faculty members who are separated from employment with the university. It is the department's responsibility to ensure that all part-time faculty properly clear with appropriate offices. Departmental clearance forms completed by terminating part-time faculty will be retained by the department for its use.

6.3 Assignments
Workload for a part-time faculty member shall be negotiated between the faculty member and the academic unit head, and should be set out in writing each semester of employment, signed by both parties. Changes during the academic year should also be set out in writing and signed.

Generally, part-time faculty members are not required to participate in scholarly activity or service except as specified and negotiated between the faculty member and the academic unit head.

7. RESPONSIBILITIES

Academic unit heads and direct supervisors are responsible for following the procedures for regarding part-time faculty members.

Deans are responsible for reviewing and approving all part-time faculty practices and procedures used within their colleges.

The Vice President for Academic Affairs is responsible for reviewing and approving all part-time faculty practices and procedures for instructional faculty.

The Director of Human Resources is responsible for processing the PARs regarding part-time faculty members.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The procedures detailed in this policy do not apply to A&P faculty or to full-time faculty members.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Vice President for Academic Affairs.

Approved:
May 2002
Linwood H. Rose, President

Index Terms: 
Part-time faculty
Temporary faculty

3107 Parking

Parking regulations are enforced to encourage the responsible use of parking facilities. This policy provides a mechanism for consistent application of the rules and regulations governing parking. Parking Services relies on permit fees and citation revenue to support the direct and indirect costs of operating parking facilities, including but not limited to construction of new parking areas, maintenance of existing parking areas, enforcement, snow removal, lighting, etc.

1404 Mediation

While James Madison University has established procedures for the resolution of grievances, the university also has alternative dispute resolution processes. Employee Mediation Services, a mediation program for university employees, provides a more collegial, less adversarial, and thus a more satisfying means to resolve conflicts.

3106 Lost and Found Property

This policy outlines the procedures for recording, storing and returning or disposing of items turned in to a Lost and Found Center at any of the following locations:

  • Bookstore
  • Carrier Library
  • Convocation Center
  • East Campus Dining Hall
  • Godwin Hall
  • Gibbons Hall
  • Harrison Hall
  • ISAT/CS Building
  • Madison Union / TDU
  • Memorial Hall
  • Moody Hall
  • Off Campus Life / Festival
  • Public Safety
  • Residence Life
  • Rose Library
  • Student Success Center
  • Surplus Property
  • University Recreation
  • Zane Showker Hall

Each of these areas has access to a central computer database for posting lost and found items.

1338 Faculty Leave

1. PURPOSE

This policy provides a uniform method for faculty members to take leave from work.

2. AUTHORITY

The JMU Board of Visitors is responsible for policies related to the employment of JMU faculty members. The board designates the president with the responsibility for the day-to-day management of those policies and, therefore, the establishment of a leave policy for faculty members.

3. DEFINITIONS

Administrative Leave:
Leave granted to serve on a jury or appear in court as a witness under subpoena, for testing or interviewing for other positions, or for other reasons approved in advance by the faculty member's supervisor.

Annual Leave:
Typically referred to as "vacation." This does not include such special provisions as educational leave or administrative leave.

Compensatory Leave:
Leave granted to a faculty member who is required to work on a scheduled holiday or inclement weather day.

Disability Leave:
Leave granted to an employee who has a qualified, documented disability as an accommodation under the ADAAA (Americans with Disabilities Act Amendments Act) to ensure equal access and equal opportunities with regard to university employment.

Educational Leave:
Leave granted to a faculty member to pursue full-time independent study, graduate/post-graduate study, research or creative activities that will enhance their teaching abilities, professional growth and intellectual renewal.

Emergency/Disaster Leave:
Leave granted to employees who are called away from their regular jobs to provide specific kinds of emergency services during defined times of state and/or national disaster.

Family and Medical Leave:
Leave granted following

  • the birth of a child or the placement of a child with the employee for adoption or foster care,
  • because the employee is needed to care for a family member (child, spouse, or parent) with a serious health condition,
  • because the employee's own serious health condition makes him or her unable to do his or her job
  • because of any qualifying exigency (as defined the Department of Labor) arising out of the fact that a spouse, child or parent of the employee is called to active duty or has been notified of an impending call or order to active duty in the Armed Forces in support of a contingency operation; or up to 26 weeks of leave to care for a spouse, child, parent or nearest blood relative with an illness or injury incurred in the line of duty while in the Armed Forces,.

Leave Through Peer Coverage:
The allowance for a faculty member to be absent from work and be paid during the absence, with the stipulation that his or her critical assignments and work will be completed by other employees.

Military Leave:
Leave granted for federally funded military duty.

Political Activity Leave:
Unpaid leave granted to serve on an election campaign or to serve a term of office.

Sick Leave:
Leave taken when the faculty member is unavailable to work due to illness.

Workers Compensation Leave:
Leave granted to an employee for a certified job-related illness or injury.

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent (50%) of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, dean, assistant or associate vice president or dean, assistant or associate vice provost. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy, and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Faculty:
References to "all faculty members" or simply "faculty" in this policy refer to:

  • All full-time instructional faculty, both those on 12-month and 10-month contracts
  • All full-time administrative & professional faculty members

Instructional Faculty:
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties.

12-month Instructional Faculty:
Instructional faculty members who are not employed on the standard academic year faculty contract but instead are contracted on a12-month basis.

10-month Instructional Faculty:
Instructional faculty who are employed on the standard academic year instructional faculty contract.

4. APPLICABILITY

This policy applies to all faculty members as well as those who supervise them.

5. POLICY

Classification

Sick Leave

Annual Leave

10-month faculty enrolled in VSDP

VSDP

None

12-month faculty enrolled in VSDP

VSDP

Peer coverage

10-month faculty not enrolled in VSDP

Peer Coverage

None

12-month faculty not enrolled in VSDP

Peer Coverage

Peer Coverage

A&P Faculty enrolled in VSDP

VSDP

20 days annually

A&P Faculty not enrolled in VSDP

Peer Coverage

20 days annually

Less-than-12-month A&P Faculty

Peer Coverage

Pro-rated amount

5.1 Supervisor Approval
All leave, paid or unpaid, must be approved in advance (unless an emergency makes an advance request for leave impossible) by the supervisor.

5.2 Compensation for Unused Leave
There is never payment for unused sick leave or annual leave for faculty members.

5.3 Sick Leave for All Faculty Members Not Enrolled in the Virginia Retirement System and the Virginia Sickness and Disability Program (VSDP)
Faculty members not enrolled in the VSDP will only be eligible for paid leave for qualifying illness through the peer coverage process and any limitations on sick leave granted will be related to the availability of peer coverage and the supervisor's approval of the duration.

5.4 Sick Leave for All Faculty Members Enrolled in the Virginia Retirement System and the Virginia Sickness and Disability Program
Faculty members who enroll in the Virginia Retirement System and the Virginia Sickness and Disability Program will have sick leave and disability-related benefits as provided by the VSDP and are not eligible for peer coverage provisions. Faculty members may choose either VSDP or peer coverage, but not both. Specifics of the VSDP program are available on-line.

5.5 Annual Leave for Administrative & Professional Faculty Members
Full-time administrative and professional faculty members may receive approval to use 20 paid workdays for annual leave each fiscal year. Administrative and professional faculty members with contracts of less than 12 months receive a prorated amount (1.67 days per month) of annual leave. Administrative and professional faculty member may not carry leave over from one fiscal year to the next. The prorated amount may apply to appointments for less than 12 months as well as those hired during the academic year.

5.6 Annual Leave for 12-month Instructional Faculty Members
All 12-month Instructional Faculty members may receive paid leave, whether annual, educational leave, etc., through the approval of their supervisor and the peer coverage process. (For more details on leave provisions for instructional faculty, such as educational leave, please see the University Faculty Handbook).

5.7 Annual Leave for less-than-12-month Instructional Faculty Members
Less-than-12-month Instructional Faculty members are not eligible to receive paid annual leave.

5.8 Family and Medical Leave
Faculty members may be eligible for up to 12 weeks of paid or unpaid family/medical leave

  • following the birth of a child
  • the placement of a child with the employee for adoption or foster care
  • because the employee is needed to care for a family member (child, spouse, or parent) with a serious health condition
  • because the employee's own serious health condition makes him or her unable to do his or her job,
  • because of any qualifying exigency (as defined the Department of Labor) arising out of the fact that a spouse, child or parent of the employee is called to active duty or has been notified of an impending call or order to active duty in the Armed Forces in support of a contingency operation.

Faculty members may be eligible for up to 26 weeks of leave to care for a spouse, child, parent or being the nearest blood relative to the injured service member with an illness or injury incurred in the line of duty while in the Armed Forces.

Departments are responsible for notifying Human Resources for any faculty member's approved FMLA qualifying leave. For details, see Policy 1308, Family and Medical Leave.

5.9 Disability Leave
Faculty members who have a qualifying, documented disability may be eligible for paid or unpaid leave as an accommodation to ensure equal access and equal opportunities with regard to the university employment. For details, see Policy 1331, Disabilities and Reasonable Accommodations.

5.10 Educational Leave
Paid Educational Leave is granted to approximately 20 faculty members each year. Grants of education leave provide opportunities for faculty members to pursue full-time independent study, graduate/post-graduate study, research or creative activities that will enhance their teaching abilities, professional growth and intellectual renewal. For details, see Faculty Handbook, Section III.J.1.a.(1).

5.11 Emergency/Disaster Leave
Faculty members may qualify for paid leave if they are employees who are called away from their regular jobs to provide specific kinds of emergency services during defined times of state and/or national disaster. For details, see Policy 1113, Emergency/Disaster Leave.

5.12 Compensatory Leave
Faculty members are considered exempt from the overtime provisions of the federal Fair Labor Standards Act, and are not eligible for compensatory leave, except for hours worked on a scheduled holiday or inclement weather day. For details, see Policy 1303, Provisions for Granting Overtime & Compensatory Leave.

5.13 Workers Compensation Leave
Faculty members may be eligible for Workers compensation leave if they suffer a work-related illness or injury. For details, see Policy 1312, Workers Compensation/Return to Work.

5.14 Administrative Leave
Faculty members may be eligible for administrative leave to serve on a jury or appear in court as a witness under subpoena, for testing or interviewing for other positions, or for other reasons approved in advance by the faculty member's supervisor. Such leave may be paid or unpaid, depending on the circumstances. For details, see Faculty Handbook, Section III.J.1.a.(2).

5.15 Military Duty Leave
Faculty members may be eligible for military duty leave for federally funded military duty. For details, see Faculty Handbook, Section III.J.1.a.(5).

5.16 Political Activity Leave
Faculty members may be eligible for unpaid leave for political activity, on an individually negotiated basis. For details, see Faculty Handbook, Section III.J.1.b.(1).

5.17 Personal Leave
A faculty member may be granted a leave with or without pay with the approval of the department head, dean, AVP, vice provost and provost & senior vice president for academic affairs for personal reasons. For details, see Faculty Handbook, Section III.J.1.b.(3).

6. PROCEDURES

6.1 Leave Tracking
All faculty members enrolled in both the VRS and VSDP must track any sick leave used through a tracking report, which must be signed by the supervisor and submitted annually to Human Resources.

6.2 Requests for Leave
A faculty member who is requesting leave must make the request in a timely manner to allow the faculty member's supervisor an opportunity to arrange for coverage of the faculty member's duties and obligations during the term of the leave. If an emergency prohibits a timely request, the supervisor must be notified as soon as possible of the request for leave.

The supervisor must notify Human Resources of the faculty member's request for use of family and medical leave. Human Resources will determine whether the faculty member meets the eligibility criteria. The supervisor must notify the faculty member in a timely manner if the request is being granted.

If the faculty member is not eligible for the leave requested or if the leave is not approved, the supervisor will notify the faculty member as soon as possible. Any absence of the faculty member from regular duties that is not pursuant to approved leave may be considered a disciplinary matter.

7. RESPONSIBILITIES

Supervisors are responsible for approving and overseeing their employee's use of leave under the provisions of this policy. They are also responsible for ensuring that the leave report is appropriately signed and submitted to Human Resources by the end of each month in which the faculty member enrolled in VSDP uses sick leave.

Faculty members are responsible for complying with this policy; including reporting and tracking leave as described in this policy. They are also responsible for requesting leave in a timely manner, unless an emergency makes a timely request impossible.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

10-month faculty members, part-time faculty members and adjunct faculty members are not eligible for paid annual leave.

This policy does not apply to part-time faculty, adjunct faculty, graduate assistants, classified employees or wage employees.

Faculty members enrolled in the Virginia Retirement System and the Virginia Sickness and Disability Program before August 1, 2002 will be allowed to continue in the sick-leave-through-peer-coverage program. All other faculty members who enroll in the Virginia Retirement System must choose between either sick-leave-through-peer-coverage or the Virginia Sickness and Disability Program.

10. INTERPRETATION

The interpretation of this policy is the responsibility of the president and is normally delegated to the Director of Human Resources.

Previous Version: August, 2009
Approved by the President: July, 2001

Index Terms
Administrative Leave
Administrative and Professional Faculty Leave
A&P Faculty Leave
Annual Leave
Compensatory Leave
Disability Leave
Educational Leave
Emergency/Disaster Leave
Faculty Leave
Faculty Sick Leave
Family and Medical Leave
Instructional Faculty Leave
Leave
Military Leave
Political Activity Leave
Sick Leave
T&R Faculty Leave
Workers Compensation Leave

4502 Collection of Debts Owed by Employees to the University

The purpose of this policy is to provide guidelines for James Madison University to collect all debts owed to it by its employees.

3110 Recording Student Complaints

This policy is designed to provide a standard for recording and collecting written student complaints across all divisions of the university.

1703 Sustainable Construction

The purpose of this policy is to outline requirements and procedures for ensuring the use of sustainable building practices in the design and construction of new or renovated university facilities.

2105 Emeritus Faculty

1. PURPOSE

James Madison University recognizes the important contributions to the institution that have been made by those faculty members who rendered many years of dedicated service before retirement. This policy is designed to provide procedures for the appointment of emeritus status for faculty members at the university.

2. AUTHORITY

The Board of Visitors has the authority to enact personnel policies for all employees of the university. Where it has not exercised that authority, it is delegated to the president.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Faculty
For the purposes of this policy, a person who is categorized either as instructional faculty or administrative & professional faculty.

Instructional Faculty
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties. Sometimes referred to as"T&R Faculty".

4. APPLICABILITY

This policy applies to all emeritus faculty appointments, to include instructional faculty as well as administrative and professional faculty.

5. POLICY

In appropriate cases, retired faculty members may be recognized by the award of emeritus faculty rank.

6. PROCEDURES

6.1 Eligibility for Instructional Faculty
A retired instructional faculty member is eligible for emeritus status if the individual has served full-time for a minimum of 10 years on the James Madison University faculty, has attained the academic rank of Lecturer, Assistant Professor, Associate Professor, or Professor, and has retired in good standing.

Emeritus rank is a privilege and not a right of any retired faculty member.

6.2 Eligibility for Administrative & Professional Faculty
A retired administrative and professional faculty member is eligible for emeritus status if the individual has served full-time for a minimum of 10 years at James Madison University and has retired in good standing.

Emeritus rank is a privilege and not a right of any retired faculty member.

6.3 Posthumous Eligibility
A faculty member may be approved for emeritus status posthumously, whether death is prior to retirement or after. If prior to retirement, the faculty member is eligible for emeritus status if all other criteria, other than retirement in good standing, are met.

6.4 Rank as Emeritus
The emeritus rank will be that held by the faculty member once the written nomination has been approved.

6.5 Privileges
An emeritus faculty member has many of the same rights and privileges to use university facilities and to participate in university activities as an active full-time faculty member. These include the use of recreational facilities, use of the libraries, access to university dining services meal plans, bookstore discounts, a JAC card, an email account, on-campus waiver of tuition, listing in the catalog, and other appropriate publications, and participation in appropriate university events.

Emeritus faculty members do not normally receive remuneration, although they may be hired by the university on a part-time basis for a limited time.

Retiring faculty members who have been granted emeritus status will be eligible for membership in the James Madison University Emeriti Association. They are also eligible to obtain a limited use emeritus parking decal.

6.6 Procedures for appointment
Emeritus appointments are made by the Board of Visitors upon the recommendation of the president. Nominations for appointments to emeritus status are made by the appropriate academic unit head or director to the president through the dean or AVP and the appropriate division head. Recommendations should be accompanied by appropriate supporting data.

6.6.1 When the president has approved the recommendation for instructional or administrative and professional faculty, a letter will be sent to the recipient indicating their designation of emeriti status pending approval by the Board of Visitors.

6.6.2 A copy of this letter will be sent to the Office of the Provost for proper processing.

6.6.3 The Office of the Provost will complete an Affiliate form for the faculty member.

6.7 Duration of appointment Emeritus status is normally granted on a permanent basis. However, emeritus status may be removed by the university for cause at any time.

7. RESPONSIBILITIES

The academic unit head is responsible for nominating a retired faculty member for emeritus status.

For instructional faculty, the dean is responsible for making a recommendation on the nomination for emeritus status to the Provost and Vice President for Academic Affairs. The Provost and Vice President for Academic Affairs are then responsible for making a recommendation on the nomination for emeritus status to the president.

For administrative & professional faculty, the AVP or dean is responsible for making a recommendation on the nomination for emeritus status to the appropriate senior vice president or the Executive Assistant to the President. The senior vice president or the Executive Assistant to the President is then responsible for making a recommendation on the nomination for emeritus status to the president.

The president is responsible for recommending emeritus status for a faculty member to the Board of Visitors.

The Board of Visitors is responsible for granting emeritus status.

8. SANCTIONS

None

9. EXCLUSIONS

This policy does not address the emeritus staff designation. See policy 1318.

10. INTERPRETATION

The authority to interpret this policy rests with the president.

Previous version: April, 2008
Approved by the President: April, 2008

Index of Terms

Emeritus faculty

1305 Performance Evaluation for Classified Employees

The purpose of this policy is to ensure a high standard of work performance for every classified employee and to provide for a more fulfilling work experience. In addition, this policy is designed to foster communication between supervisors and classified employees which includes a clear statement of performance expectations and a workable performance plan. The university’s Performance Management Program is an integral part of the Compensation Management System, as is regular and consistent communication between the supervisor and the employee.

1502 University Communications and Marketing

1. PURPOSE

Communications that are visually and editorially consistent create and maintain a strong cohesive institutional identity. To ensure that all official university communications preserve and promote a consistent image of the university while accurately conveying its message, this policy provides for the establishment of the James Madison University Identity System, found at http://www.jmu.edu/identity/index.shtml. The online version is the authoritative source for the JMU Identity System.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Official University Communications and Marketing:
Official university communications include but are not limited to advertising, printed and electronic communications, promotional items, signage, web sites, and social media. Examples include:

  • All communications and marketing bearing the university name or subunit name as the publishing or sponsoring entity.
  • All communications and marketing produced by people acting in their capacities as university employees or using university equipment.
  • All communications and marketing for which production costs are paid for with budgeted university funds.
  • All communications and marketing targeting media.
  • Paid advertising.

James Madison University Identity System:
A system of editorial style, graphics, photography, school colors and Web presence representing James Madison University, found online at http://www.jmu.edu/identity/index.shtml.

4. APPLICABILITY

This policy applies to all James Madison University employees and other non-university personnel and/or contractors and vendors who prepare official university communications intended for external dissemination.

5. POLICY

All official university communications and marketing must comply with all James Madison University Identity System standards. Employees who prepare official communications are responsible for the following standards specified in the university's identity system.

6. PROCEDURES

6.1 The Division of University Advancement Office of Communications and Marketing offers guidance and services to departments and offices to help ensure that all official university communications comply with the James Madison University Identity System, http://www.jmu.edu/identity/index.shtml.

6.2 The Office of Communications and Marketing coordinates all university paid advertising. Please refer to Policy 1501 - Advertising for more detailed policy and procedure information on placing advertising.

6.3 The Office of Communications and Marketing coordinates all university interaction with news media and social media. Please refer to Policy 1508 - Media Relations and Social Media Publishing for more detailed policy and procedure information on dealing with news media and social media.

6.4 The Office of Communications and Marketing provides photographic images for official university communications, media relations and sports media relations activities, and other public relations uses. This office maintains the university's photography library and ensures that a broad base of high-quality images is on file. Please refer to Policy 1509 - Use of Images for more detailed policy and procedure information on using university images.

7. RESPONSIBILITIES

It is the responsibility of the head of a unit to ensure that the information contained in an official communication is accurate and current, and that all official communications of that unit comply with James Madison University Identity System editorial and graphic standards and all other pertinent policies.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Communications that do not conform to this policy can be restricted or terminated. The university also reserves the right to reject delivery of materials that violate or deviate from these standards.

9. EXCLUSIONS

This policy does not apply to the following:

  • Advertisements placed by the Office of Human Resources for employment-related activities are excluded from the provisions of this policy.
  • Student communications serving journalistic functions and/or those that are paid for or produced using student activities funds (e.g., Panhellenic organizations, SGA, The Breeze).
  • Any communication that is paid for by a grant and does not carry the university logo/name other than when JMU is used to indicate address and/or contact information for the publisher.
  • Any communication that is produced by or for outside contractors such as Aramark and Follett.
  • Any communication or item that is produced for sale in the university bookstore.
  • Internal communications (i.e., e-mails and memoranda).
  • Communications produced by JMU faculty, staff and students acting in their private capacities, not as university employees.
  • Communications intended for internal purposes (for the campus community) and/or which are covered under the definition of "Official Communication" in Policy 1209 - Electronic Messaging, section 5.1.

10. INTERPRETATION


The authority to interpret this policy rests with the president and is generally delegated to the Vice President for University Advancement.

Previous version: September 2010
Approved by the President: December 2013

Index of Terms

Advertising
AP Style
Associated Press Stylebook
Branding
Communications
Copyright
Editing
Editorial Style
Graphics
Image
Identity
JMU Logo
Logo
Marketing
Media
Photography
Printing
Publishing
Social Media
Trademark
Video
Web Pages
Web Sites
Web Development

1601 Auditing Program/Charter

Audit and Management Services was established by the Board of Visitors and president to provide an independent, objective assurance and consulting activity designed to add value and improve university operations. The department helps the university accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. This policy describes the general purpose, authority and responsibility of the office of Audit and Management Services.

1507 Academic Coursepack Service

1. PURPOSE

The university's Academic Coursepack Service (ACS) has been established within the university's copy center as a centralized service for providing the means for university faculty, staff and students to obtain copyright permissions and to collect and pay royalty fees and publishers' payments for the use of copyrighted material. The authorizations and fees for this service apply to the making of photocopies and photocopy anthologies for sale and/or distribution to the university community. This policy is designed to ensure compliance with current federal laws and regulations prohibiting copyright infringement.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6;23-9.2:3. The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Anthology:
Collection of literary selections.

Copyright:
The sole right to reproduce, publish and sell a literary or artistic work.

Bibliographic data:
A history or description of writings or publications.

Requester:
The person requesting the Copy Center to make copies of copyrighted materials under this policy.

User:
The person for whom such copies are made, usually a student in a requester's class.

4. APPLICABILITY

This policy applies to the use of state or university funds to produce photocopies of copyrighted materials by all members of the university community. All course packets that contain copyrighted material and are used for classes shall be considered as photocopy anthologies and will be required to conform to this policy.

5. POLICY

If state or university funds are used to produce photocopies of copyrighted materials, requesters are required to use the university's copyright permission service. The Copy Center has no control over whether a copyright owner will grant permission for use of copyrighted material and can make no guarantee that such permission will be granted. Unless and until such permission is granted, the Copy Center will not create the coursepacks requested.

Copyright laws apply to reproduction, email, translation, on stage enactment and postings on the internet.

6. PROCEDURES

6.1 Requests for copying services will be accepted by the Copy Center only with the appropriate copyright permission request form, one for each request. The form may be obtained from the Copy Center located in the Medical Arts complex, CISAT Copy Center or from the Copy Center web page.

6.2 Requests for copying service should be submitted to the Copy Center by the published deadline for each semester on the Copy Center webpage. Requesters will be required to provide base bibliographic data for each item in the anthology before the request will be processed. Requests will be handled in order of submission.

6.4 When copyright permission is granted by the copyright holder, the copying of the material must be completed by the Copy Center, and all fees for use of the copyrighted materials will be added to the cost of producing the request, and charged to the user.

6.5 All Coursepacks are sold through the JMU Bookstore. The Copy Centers typically produce only 80% of the class enrollment to avoid waste and additional copies are produced within 24 hours.

7. RESPONSIBILITIES

The Associate Vice President for Business Services oversees the operation of the Copy Center.

The General Manager of the Copy Center is responsible for facilitating the copyright permissions process, and for approving, monitoring and supporting the services available at the copy centers.

8. SANCTIONS

The requester is solely liable for any use of copyright materials in violation of U.S. law or for failure to follow the proper procedures for obtaining permission for the use of copyrighted materials. The university will not be liable for any judgments, awards, damages, fees (including attorney's fees) costs or other expenses incurred in the investigation, defense or settlement of any claims arising out of such use in violation of this policy.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Copies of copyrighted materials made using non-state funds are not controlled by this policy, and are the sole responsibility of the person paying for and making the copies outside of the rules and protections of this policy. The university will provide no protection for such activity.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Associate Vice President for Business Services.

Previous Version: November 2010
Approved by the President: August 2002

Index Terms:
Coursepack
Copy Center
Copyright
Copying
1206 Contingency Management for Technology-based Information Systems

This policy establishes the requirement for departments to create and maintain written contingency management plans for all information-based systems/applications that support critical functions.

1322 Probationary Period for Classified Employees

To establish the university's policy for the mandated probationary period for all classified employees.

5103 Naming Opportunities

1. PURPOSE

This policy establishes guidelines for naming facilities, places, colleges, schools, institutes, centers, programs, and other units at the university.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president. As a part of that management, the president has directed the development and implementation of university policies and procedures.

3. DEFINITIONS

Naming Opportunity:
For purposes of this policy, a naming opportunity includes all occasions on which a specific name, beyond a merely functional description or designation, may be bestowed upon a facility or place, a college or school, an institute, center, or program, or any other unit of the university.

4. APPLICABILITY

This policy applies to all JMU facilities, places, colleges, schools, institutes, centers, programs, and other units of the university, regardless of location or administrative assignment. The Division of University Advancement is the central point of contact by virtue of its relationships with all constituent groups of the university, and its role in maintaining the image and communications functions of the university.

5. POLICY

5.1 Each naming opportunity shall be considered individually, as appropriate, to ensure that the requirements, expectations, and desires of all parties are respected. The overarching objective is that the university shall maintain a coherent system by which decisions on naming opportunities are made in a timely manner.

5.2 All members of the university community are encouraged to consider potential naming opportunities that have the capacity to advance the mission of the university.

5.3 To name an entity in recognition/'honor of a retired employee of the University or an employee who left the University in good standing, at least three years shall have passed since their involvement with the University. Exceptions may be granted by the President or the Board of Visitors. To name an entity in recognition of an employee of the University who has passed away, at least three years shall have passed since their death. Exceptions may be granted by the President or the Board of Visitors.

The university reserves the right to remove a name from use if circumstances merit such action.

6. PROCEDURES

6.1 In all cases, The Division of University Advancement will coordinate the university's consideration of a naming opportunity, upon submission by the initiating party of a written proposal to the Senior Vice President for University Advancement. As a first step, prior to making a formal written submission, recommenders should present naming proposals to their respective Division Head.

6.2 Upon receipt of a written proposal, the Division of University Advancement shall review the proposal. If it reflects a bona fide naming opportunity, the proposal will be presented to the President for consideration and action. The Division of University Advancement will work closely with the initiator of the proposal to ensure an appropriate consideration of the particular naming opportunity occurs. The Division of University Advancement will maintain the university's official records of all open naming opportunities as well as all names in use by the university. Upon a determination by the Board of Visitors or the President, as the case may be, the Division of University Advancement shall coordinate notification to all appropriate parties.

6.3 A proposed naming opportunity may or may not be associated with a charitable gift by a donor. In the case of a naming opportunity associated with a charitable gift, reference shall be made to the schedule for naming opportunities and gift levels approved by the President of the university and available from the Division of University Advancement. A copy of the schedule is attached as an appendix to this policy.

6.4 For naming opportunities requiring a resolution by the Board of Visitors, the President reviews such proposals prior to a consideration and determination by the Board of Visitors.

6.5 For all other naming opportunities, the vice presidents review such proposals prior to a consideration and determination by the President.

6.6 Honorary, memorial and all naming opportunities may be granted or removed at the sole discretion of the Board of Visitors or the President, as the case may be.

7. RESPONSIBILITIES

The President gives the Senior Vice President for University Advancement the responsibility and authority to ensure that the guidelines of this policy are respected university-wide.

The Division of University Advancement is responsible for the administration of this policy. The Senior Vice President for University Advancement may delegate responsibility within the Division to ensure the policy and procedures are carried out in an efficient and effective manner.

8. SANCTIONS

Any violation of this policy may subject the individual to discipline, commensurate with the severity and/or frequency of the offense, and may include termination of employment.

9. EXCLUSIONS

None.

10. INTERPRETATION

Authority to interpret and apply this policy rests with the President and is generally delegated to the Senior Vice President for University Advancement.

Approved:
February, 2006 by
Linwood H. Rose, President


Index Terms
Bequests
Building names
Center names
College names
Facility names
Gifts
Institute names
Place names
Program names
Room names
School names
 
Appendix
Schedule of naming opportunities and gift levels.

1333 Retirement Incentive Plan for Faculty

This policy exists to describe the James Madison University Retirement Incentive Plan for Faculty. The James Madison University Retirement Incentive Plan for Faculty provides supplemental retirement benefits to participating faculty members to meet critical university objectives. The objectives of the plan include:

1. To provide the university with increased flexibility in the allocation of faculty positions among programs in order to better meet enrollment demands, curricular needs, and other university objectives.

2. To facilitate the hiring of new faculty members who have credentials and experiences that will best support and enhance the mission of the university

3. To help alleviate the financial strain of retirement that may prevent some faculty who would like to do so from retiring.

1311 Personnel Action Request Form (PAR)

1. PURPOSE

Because personnel actions often affect pay and always affect employees and supervisors directly, it is important that the process of submitting, recording and tracking information related to these actions be clear and well managed. This policy serves to define the current business process and assist in ensuring timely and accurate transactions.

2. AUTHORITY

The university has charged the Human Resources Department with coordinating, monitoring and being accountable for the transaction of personnel-related data. Therefore, the Human Resources Department has the authority to establish policies and procedures related to that responsibility.

3. DEFINITIONS

I-9 Form
An I-9 Form is used to verify identity of an individual and authenticate eligibility to work in the United States.

New Hire and Personal Information Changes form
A New Hire and Personal Information Changes form is used to submit personal information (i.e. address, birth date, gender) for all newly hired employees. It is also used when personal information changes for current or rehired employees.

PAR Form
Personnel Action Request form. The paper document used to affect any personnel action related to employment status or salary including but not limited to hire/rehire, separation, pay increase/decrease, role change, change of working title, etc. It is available at: http://www.jmu.edu/humanresources/_files/par.doc. The PAR Form is neither a contract nor an offer of a contract.

PAW form
The Pay Action Worksheet is used to provide supporting information for pay action requests.

Transcripts
A transcript is a document used to verify the award of educational degree(s).

4. APPLICATION

This policy applies to all employees of the university.

5. POLICY

Personnel actions and status changes are generally processed by submitting a completed and approved PAR form to the Human Resources Department. The PAR form must be accompanied by appropriate attachments and include authorized signatures.

6. PROCEDURES

6.1 Approval Signatures

All PAR forms must have an authorized signature. If the PAR form is missing this signature, the Human Resources department is unable to process the action and will contact the initiating department and return the form to the department for completion.

All actions funded by grants must be approved by the Office of Sponsored Programs. PAR forms received in HR without the authorized signature will be sent to Grants Accounting for consideration.

All actions originating from the Division of Academic Affairs must have approval from the division designee before Human Resources is able to process the request. Incomplete PAR forms will be forwarded to the Academic Affairs designee for an authorized signature.

6.2 Required Documentation

All PAR forms must be accompanied by the appropriate supporting documentation in order to be processed and submitted to the Payroll department. Incomplete requests will be returned to the originator. An Onboard Form (electronic) is required prior to the submission of the PAR form before all newly hired and rehired employees can be processed.

  • Employee References:
    • Newly hired employees require at least three complete, job-related references
    • Rehired employees:
      • No references are required if the employees has a break in service of less than a year if there is at least one reference currently on file
      • One reference is required for any rehired employee for whom no references were previously on file
  • PAW: A completed Pay Action Worksheet is required for all classified and wage PAR forms that initiate a pay action. This may include newly hired employees, rehired employees, pay rate changes, bonuses, etc.
  • Transcripts: Official transcripts are required for all employees teaching a credited class at JMU.

7. RESPONSIBILITIES

The department head/director/ budget authority is responsible for determining the availability of funds prior to initiating any personnel action. The employee designated to complete PAR forms is required to ensure that all documentation is accurately completed and received in Human Resources prior to the effective date of the action or applicable payroll calendar deadline. For all newly hired and rehired employees, the PAR originator must submit an Onboard Request Form prior to the first day of employment. Termination PAR forms must be submitted within three business days once the supervisor becomes aware of the employee's separation (Policy 1314).

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

PAR forms are not generally required for individuals whose relationship with the university is in a non-working capacity (e.g. volunteer).

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous Version: December, 2011
Approved by the President: May, 2002

Index of terms

PAR Form
Personnel Action

1503 Space Management

1. PURPOSE

Physical facilities must be managed in a manner that best supports the university's mission and provides for the efficient utilization of the university's limited supply of space. This policy establishes procedures for (1) allocating and assigning space to and between departments and operating units of the university; (2) maintaining an inventory of space and numbering rooms, and; (3) dealing with space emergencies which might arise as a result of facility construction, renovation, or disaster.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 12-164.6;23-9.2:3. The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

None

4. APPLICABILITY

This policy is applicable to all departments, offices, university employees and other members of the university community occupying space owned or leased by the university.

5. POLICY

No department or operating unit owns the space it occupies or uses. Changing requirements may dictate that space be reallocated from one unit to another. Moreover, departments or units moving into new facilities may not retain control over their old facilities.

The vice presidents establish priorities for space within their respective divisions and manage the allocation of space to and between departments and units in their divisions. Intradivisional space allocation decisions will be made at the division level, with ultimate authority resting with the vice president. Heads of departments and operating units control the use and occupancy of the space assigned to their departments or units.

The assignment and reassignment of departmental priorities on classrooms is determined in consultation with the Provost. The Provost is the final authority regarding class scheduling and the assignment of priorities on classrooms.

The Senior Vice President for Administration and Finance is the final approval and appeal authority for space allocation transactions other than the assignment of priorities on classrooms.

6. PROCEDURES

6.1 Requests For Space
In those circumstances where the resolution of a space problem is not possible at the divisional level, a written request should be submitted through the appropriate vice president to the Associate Vice President Business Services (AVP/BS). The request should state the specific purpose for which the space will be used, contain a narrative justification for the request, and provide any supporting data that may be available. The AVP/BS will review and evaluate the request and make a recommendation to the Senior Vice President for Administration and Finance.

6.2 Space Inventory And Room Numbering
Transfers of space between departments or operating units, changes in the use or function of space within a department, the numbering of new rooms and renumbering of existing rooms, and physical modifications that create a new room or reduce the number of rooms at a given location require the department to contact the Office of Real Property and Space Management. Under no circumstances may room numbers be assigned, changed, or modified without the approval of the Director of Real Property and Space Management.

6.3 Classrooms
The Division of Academic Affairs is responsible for the scheduling of classrooms. Specific procedures for scheduling classes are determined by the Office of the Registrar.

6.4 Emergencies
Upon recommendation of the AVP/BS, or as otherwise deemed necessary, the Senior Vice President for Administration and Finance may declare a condition of space emergency. Circumstances which could lead to a declaration of space emergency include but are not limited to:

  1. the need to vacate a building during a major renovation;
  2. the loss of a leased facility;
  3. damage due to fire or other natural disaster;
  4. the existence of a hazard which requires that a facility be removed from service.

In dealing with space emergency situations, the Associate Vice President Business Services will give consideration to the possible use of all physical resources available to the university, irrespective of their current assignment. It may be necessary to temporarily reassign space used by one activity to meet the needs of other activities in order to maintain the integrity of the total university program. Once a plan of action has been approved by the Senior Vice President for Administration and Finance, the AVP/BS will be responsible for coordinating the actions necessary to implement the plan.

7. RESPONSIBILITIES

The AVP/BS is responsible for coordinating requests for space allocation, reallocation, or assignment that cannot be resolved within a single division. The AVP/BS provides written notification of space assignment actions.

The Director of Real Property and Space Management is responsible for assigning room numbers, maintaining the facilities room inventory, and conducting space utilization studies.

The Provost is responsible for class scheduling and the assignment of priorities on classrooms.

The Senior Vice President for Administration and Finance is responsible for space allocation transactions other than the assignment of priorities on classrooms.

Heads of departments and operating units are responsible for the use and occupancy of the space assigned to their departments or units.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Associate Vice President for Business Services.

Previous version:  February 2011
Approved by the President: May 2007

Index Terms
Rooms
Room scheduling
Room use
Space use

1303 Provisions for Granting Overtime and Compensatory Leave

1. PURPOSE

This policy establishes an overtime and compensatory leave policy at James Madison University as provided by the Fair Labor Standards Act (FLSA) which applies to all JMU employees.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The Fair Labor Standards Act, 29 USC 201, et seq., directs, among other things, that employees be paid at a rate of time and a half for every hour worked in excess of 40 hours in one workweek. This is the case unless an employee is considered 'exempt' from the Act's overtime provisions.

3. DEFINITIONS

Exempt Employee
An employee who is exempt from the overtime provisions of the FLSA and accordingly is not eligible to be paid overtime by the university. Such positions are normally supervisory, management, and administrative positions, or specialized positions such as faculty members and information technology, and must meet the specific criteria for exemption established by the FLSA. The FLSA status of each position is evaluated using the primary duties and responsibilities of that position and not the working title.

Fair Labor Standards Act
The Fair Labor Standards Act (FLSA) establishes overtime pay affecting full-time and part-time workers. Overtime pay at a rate of not less than one and one-half times the regular rate of pay is required after 40 hours of work in a workweek.

Non-Exempt Employee
An employee who is not exempt from the overtime provisions of the FLSA and thus must be paid at a rate of one and one-half times her/his regular rate of pay for hours worked in excess of 40 in a workweek.

4. APPLICABILITY

This policy applies to all employees of the university. Overtime provisions apply only to non-exempt employees.

5. POLICY

All employees of James Madison University are covered by the FLSA, although some employees are exempt from its overtime provisions depending upon the type of positions the employees occupy. For purposes of FLSA, each position must be designated exempt or non-exempt. Exempt employees will not receive overtime pay regardless of the number of hours worked. They are also exempt from receiving compensatory leave except for hours worked on a scheduled holiday or inclement weather day. Under rare circumstances, certain exempt employees may qualify for extra pay for additional work performed. Contact Human Resources for details.

All positions in pay bands 1 and 2 will receive a non-exempt status. The status of positions in pay bands 3 and 4 are determined by the duties and responsibilities of the position. Positions in pay bands 5 and higher are generally exempt positions. Hiring supervisors will inform employees of their exempt/non-exempt status.

Senior Administrators, department heads, or supervisors are required to approve overtime before any non-exempt employee performs the work in excess of 40 hours per week. Authorization will be granted only to cover emergencies and to provide for staff coverage during peak workloads.

Departments have the option of choosing to offer Overtime Leave for classified non-exempt employees in lieu of cash compensation (see section 6.5 below). However, this choice is strictly at the department's discretion.

6. PROCEDURES

6.1 Although pay is processed on a semi-monthly schedule, the FLSA requires that hours worked in excess of 40 in a regular workweek by non-exempt employees be compensated at one and one-half times the regular rate of pay. The regular workweek begins 12:01 a.m. Sunday and ends at midnight the following Saturday, except for those employees whose workweek is designated differently.

Non-exempt employees will be granted compensatory leave that is hour for hour for time worked beyond the required hours in a workweek in which no more than 40 hours are actually worked. This may happen when an employee has used annual, sick or compensatory leave during the workweek. Eligible exempt and non-exempt employees will be granted compensatory leave when required to work on a holiday or inclement weather day. For further clarification please refer to DHRM Policy 3.10-Compensatory Leave and Policy 4.25-Holidays.

6.2 For classified non-exempt employees, department heads or supervisors must submit an authorized Record of Overtime Pay to Payroll Services or an authorized Record of Overtime Leave to Human Resources.

6.3 For wage (i.e., part-time and student) employees, overtime hours must be properly reported to Payroll Services on the JMU Time Entry panels. Care should be taken not to report overtime hours as regular hours. When determining overtime, ALL hours worked for the university are calculated.

6.4 The Student and Wage Employee Time Sheet (or alternative time sheet that contains the same information) must be maintained for each non-exempt wage (part-time and student) employee. A Time and Attendance Record for non-exempt classified employees must be maintained. Both time records must include a daily record of all paid and non-paid leave used. The paid leave includes annual leave, sick leave, holidays, workers' compensation, civil leave, inclement weather days, and military leave. The unpaid leave would include leave without pay and suspension. In addition, the employee and supervisor's signature must be on the Time and Attendance Record and Student and Wage Employee Time Sheet (or alternative time sheet) for each payroll period to certify that the time recorded is accurate. Refer to Financial Procedures Manual section 5005.321.

Time and attendance records are retained in Human Resources for at least four years or until audited, whichever is longer.

6.5 As an alternative to cash payments for overtime hours worked, a department head/supervisor may choose to give their non-exempt employees the option of receiving Overtime Leave instead of cash payments for hours worked in excess of 40 during the regular workweek. When choosing to use this option, the supervisor should discuss the option with the employee who is expected to incur overtime hours. The employee may then choose either to receive cash payment for overtime hours worked or Overtime Leave as compensation. If the employee chooses cash payment, the current procedure of reporting the hours directly to the Payroll Office applies. However, if the employee chooses the Overtime Leave option, his or her supervisor will complete the Overtime Leave Form for the overtime hours worked, sign the form and submit it to Human Resources. The form must include the information used by the supervisor to calculate the Overtime Leave hours earned (essentially, one and one-half times the number of hours actually worked in excess of 40 in the workweek.)

The following stipulations and limitations apply to this Overtime Leave provision:

  • All overtime must always be authorized in advance by the supervisor or reviewer.
  • The decision regarding whether to offer this option to an employee is at the discretion and initiation of the department and/or supervisor.
  • Once a department offers the Overtime Leave option to one employee, it must offer the option to all qualified employees in the department.
  • This option is available only to full-time non-exempt classified employees. Wage employees never qualify for paid leave and must be paid cash for any and all overtime hours worked.
  • This option does not apply to exempt employees.
  • If an employee chooses the Overtime Leave option, that choice will be confirmed in writing by the supervisor in a memo to the employee with the policy attached.
  • Once an employee chooses the overtime leave option, he or she will be paid in leave for the next 40 consecutive overtime hours worked, thereby accumulating the maximum limit of 60 Overtime Leave hours. No employee may accumulate more than 60 hours of Overtime Leave. When the employee accumulates the maximum amount of hours, he or she must revert to payment for overtime hours. The supervisor is responsible for making certain that the employee does not exceed the maximum of 60 hours of Overtime Leave. Employees whose overtime leave hours have reached the 60 hour limit must be compensated with time and one-half overtime pay for additional overtime hours worked until the overtime leave balance has been reduced through the use of leave or the payment of leave hours.
  • An employee who separates from the university with an overtime leave balance will be reimbursed for that leave at the hourly rate being earned at the time of separation from the university OR the employee's average hourly pay rate over the last 3 continuous years of employment, whichever is higher.
  • An employee who is transferred, promoted, or demoted to another non-exempt classified position at JMU will retain any Overtime Leave accrued.
  • An employee who is transferred, promoted, or demoted to an exempt position at JMU will be compensated for the accumulated Overtime Leave at the hourly rate being earned at the time of leaving the non-exempt position OR the employee's average hourly pay rate over the last 3 continuous years of employment, whichever is higher.
  • Overtime Leave may not be used in leave sharing.

7. RESPONSIBILITIES

Hiring supervisors must inform all new employees of their exempt or non-exempt status. Human Resources is available to assist with this function.

It is the responsibility of supervisors to ensure that hours worked and leave records are maintained on all non-exempt employees and are accurately reported to Human Resources or Payroll Services.

Questions related to the application of this policy should be directed to the appropriate supervisor or Human Resources.

Supervisors in departments choosing to use the Overtime Leave option are responsible for completing the Overtime Leave form and ensuring that no employee accumulates more than 60 hours of Overtime Leave.

8. SANCTIONS
 
Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Employees whose positions are classified as 'exempt' are not eligible to receive overtime pay or overtime leave.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: December 2011
Approved by the President: January 2004

1321 Criminal Background Checks

This policy is intended to protect the university’s interests and the well-being of its students, faculty, staff, and the public. This policy establishes parameters for criminal background checks on individuals who are offered employment, employed, or reemployed and those who associate with the university in various capacities. Convictions disclosed or discovered in the criminal background check process may influence the selection of the applicant where the conviction is job-related or such that the university deems the employment/affiliation of the individual poses high risk to the university community.

1336 On-Call Status and Compensation

1. PURPOSE

To establish a consistent procedure to identify and compensate classified employees who are required by the university to respond to emergency or essential work situations related to their official duties and responsibilities.

2. AUTHORITY

This policy is in compliance with the Fair Labor Standards Act (29 U.S.C. 201, et seq.) which outlines specific employment policies including overtime and on-call stipulations.

3. DEFINITIONS

Call-Back Status
When a classified employee is called back to work in response to emergency or essential work situations directly related to his/her official duties and responsibilities.

Essential Work
Work that is deemed by a department to be critical enough to justify the employee's extended availability beyond the normal work schedule.

Exempt Employee
An employee who is exempt from the overtime provisions of the Fair Labor Standards Act and is therefore not required to receive overtime pay for hours worked in excess of 40 in a workweek.

Non-Exempt Employee
An employee who is not exempt from the overtime provisions of the Fair Labor Standards Act and therefore must be paid at a rate of time and a half for every hour worked over 40 in a workweek.

On-Call Status
A classified employee who is required by his or her supervisor/department to be available to respond to emergency or essential work situations related to his/her official duties and responsibilities shall be considered on-call.

4. APPLICABILITY

This policy applies to all non-exempt classified employees who are working in a position that requires their availability to be called back to work in response to emergencies or work that is deemed essential, and that is related to official duties and responsibilities. It also applies to the manager of any department with at least one classified employee required to be on on-call status.

5. POLICY

The university maintains specific requirements and procedures related to compensation for positions that require on-call status.

6. PROCEDURES

Restricted On-call Status
A non-exempt employee is considered in restricted on-call status if the employee is required to remain by a telephone or at a certain location and cannot use his/her personal or non-duty time effectively while on-call. Restricted on-call hours are to be counted as hours worked and compensated accordingly.

Unrestricted On-call Status
A non-exempt employee is considered in unrestricted on-call status if he/she is free to spend non-duty time as he/she chooses. If an employee only has to leave word as to how he/she can be contacted or carry a pager/cell phone, he/she is considered unrestricted and therefore not entitled to compensation.

Call-Back Pay
A non-exempt employee who is called back to work shall be compensated for the hours actually worked or three hours, whichever is more, and in compliance with the Fair Labor Standards Act. Travel time to and from home is not considered hours worked.

7. RESPONSIBILITIES

Supervisors of classified employees in an on-call status are responsible for strict adherence to this policy.

Directors of departments with employees in on-call status are responsible for regularly monitoring department practices to ensure compliance with this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Exempt employees who are on-call or called back to work are not compensated for hours worked nor granted compensatory time.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous version: March 2009
Approved by the President: November 2002

Index of Terms

Call-back status
Essential Work
Exempt Employee
Non-exempt Employee
On-call

1211 Information Technology Accessibility

This policy is established to support the James Madison University community in promoting equal access opportunity to information technology by the application of accessibility standards, guidelines, training, tools and methods consistent with higher education. The aim is to provide this opportunity in a setting that fosters independence and meets the guidelines of the Americans with Disability Act (ADA) and the Rehabilitation Act of 1973. This policy sets forth accessibility standards and guidelines that reflect best practices for achieving the accessibility of information technology for use by persons with disabilities.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology architecture, infrastructure and ongoing operations, of which IT accessibility is a part. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its IT accessibility activities.

1312 Workers Compensation/Return to Work

1.PURPOSE

The purpose of this policy is to outline the university's plan for compliance with applicable Workers Compensation law, providing resources for employees who are injured on the job, and the reporting procedure for accidental injuries or occupational diseases arising out of and in the course of university employment.

2.AUTHORITY

The university is charged with managing the treatment and the processing of employees work-related injuries or illnesses that are covered under the Virginia Workers' Compensation Act § 65.2-100and the Governor's Executive Order 52 (94). The Americans with Disabilities Act Amendments Act, and the Family and Medical Leave Act also may be related to the execution of this policy.

3.DEFINITIONS

University Panel of Physicians:
This is a list of local participating physicians who have agreed to treat JMU employees for work related illnesses or injuries. This list will be provided to injured/ill employees. Injured employees must choose one of these physicians to provide medical care in order to be compensated for eligible job-related injuries or illnesses. No other physician will be compensated for services rendered unless referred by the panel physician or prior approval from the Workers Compensation Coordinator is obtained. If the university Panel Physician cannot schedule a timely appointment with the injured or ill employee, the employee must choose another physician from the panel. The panel physician will file claims directly with the State Workers Compensation Program's designee. Billing information is available from the Workers Compensation Coordinator. In the event the employee is treated at the Emergency Room and was unable to choose a panel physician for treatment in a critical situation, the employee is required to choose a physician from the panel of Physicians for follow-up care unless the ER Physician has made a referral to a specialist.

VSDP:
The Virginia Sickness and Disability Program (VSDP) provides covered employees with income protection if they become unable to perform normal job duties because of an illness or injury. The program pays an income during periods of short and/or long-term disability. In addition to disability income, VSDP provides sick leave and family/personal leave that may be taken for short-term absences throughout the year.

Workers Compensation:
A state-administered insurance program designed to provide compensation to employees who are injured on the job or contract an occupational disease resulting from their employment. University employees are covered by Workers Compensation Insurance.

Workers Compensation Coordinator:
The Workers Compensation Coordinator works with employees who suffered a work related illness or injury and their supervisors to assist the employee in returning to work.

4.APPLICABILITY

This policy applies to all employees.

5.POLICY

James Madison University is committed to providing a working environment that is free from recognized health or safety hazards. In the event of an accidental injury or occupational illness, the university will work to balance the needs of the employee and the organization by providing restricted duty assignments when possible for up to a 90-day period. The university will analyze accidents and illnesses with the intention of gaining knowledge to assist in avoiding future accidents or occupational illnesses.

5.1 Determination of Compensability
The State Workers Compensation Program, or their designee, determines if an accident or illness is compensable under the Virginia Workers Compensation Act after the case is properly investigated.

5.2 Time Lost from Work
Only the treating panel physician or specialist can order days away from work due to the work related injury or illness.

For accidents/illness that have been certified as compensable the first seven periods of time (often, workdays) away from work will be charged to the employee's leave. If the employee is away from work for twenty-one (21) calendar days, the first seven days of leave will be reimbursed as describe by the Virginia Workers Compensation Act.

On the eighth calendar day, the State Workers Compensation Program's designated insurance carrier will begin to pay 66 2/3% of the average weekly salary. If the employee is enrolled in VSDP, VSDP will pay the remaining portion according to the published guidelines. Employees who are participants in the Traditional Sick Leave program and are absent from work on Workers' Compensation leave for more than seven calendar days will receive supplements in the form of the difference between payments required by the WCA and their regular salaries, for a period of up to 92 calendar days from the beginning of their absences from work on Workers' Compensation leave. Agencies have the discretion to extend payment of the supplements described above beyond employees' 92nd calendar day of absence on Workers' Compensation leave, provided that such extensions do not exceed 480 work hours.

Wage employees are not eligible for the additional supplement.

In the event the employee is unable to return to work after 90 consecutive calendar days, the employee will cease to earn leave.

Employees may be eligible for Family and Medical Leave as detailed in Policy 1308-Family and Medical Leave.

5.3 Restricted Duty
The panel physician will communicate in writing any altered duty restrictions for the injured or ill employee with the Workers Compensation Coordinator.

The Workers Compensation Coordinator will work with the supervisor to develop a plan for the employee's return to work. During transitional duty, the Workers Compensation Coordinator will meet with the injured/ill employee to discuss concerns and to evaluate progress. This duty can be altered, upgraded, or changed in a manner consistent with medical restrictions and in accordance with an individual's improved condition. The plan will include a defined period of disability, the physical restrictions recommended by the physician, specific duties that the employee will be expected to perform, and a defined begin and end date to the plan.

Transitional duty shall be made available to those employees who are expected to return to their pre-injury position and may not exceed 90 days. At the conclusion of 90 days, the supervisor, in consultation with Human Resources, may terminate the transitional duty assignment. If it is determined that the employee has permanent restrictions that result in his/her inability to perform the essential functions of his/her primary position, the provisions of the Americans with Disabilities Act Amendments Act (ADAAA) and other applicable laws will be applied to determine suitability for employment. The employee will continue to receive all Workers Compensation benefits for which they are eligible. Other university/state benefits would be treated as any other employee leaving employment.

6.PROCEDURES

6.1 Accidents or illnesses must be reported to the Workers Compensation Coordinator by using the following method:

6.2 If the injury/illness is serious in nature:

  • Call 911 for transportation to Rockingham Memorial Hospital.
  • Call campus police (86911) for immediate emergency medical treatment or traffic control
  • If the accident or illness is life threatening, the supervisor or designee should accompany the employee to the Emergency Room.
  • Call the Workers Compensation Coordinator, who will contact the family of the employee, if they have not already been contacted.
  • File the Accident/Incident Report and Panel of Physicians form with the Workers Compensation Coordinator within 24 hours.

6.3 If medical attention is needed, but the injury/illness is not life threatening:

  • The supervisor completes the accident report.
  • The employee chooses a physician from the university Panel of Physicians
  • The supervisor or Workers' Compensation Coordinator schedules an appointment for the injured worker and the employee goes to the panel physician for treatment.
  • Work Restrictions should be returned to the supervisor and a copy forwarded to the Workers Compensation Coordinator.

6.4 First Aid/For Record Only:

  • The supervisor completes the accident report.
  • The employee selects a physician from the panel in case the need for medical treatment arises at a later time.
  • File the accident report and the Panel of Physicians Selection Form with the Workers Compensation Coordinator.

6.5 Accidents while traveling
An employee traveling on university-approved business is covered under Worker's Compensation for injuries/illnesses incurred in the course of transacting business for the university.

Employees should report to a medical facility for appropriate treatment and inform the facility that it is a work-related claim. The facility may contact the Workers Compensation Coordinator for billing information.

The employee must inform their supervisor as soon as possible so the supervisor can file the appropriate paperwork.

A panel physician will administer follow-up treatment.

7. RESPONSIBILITIES

Employee Responsibility:

  • Perform the job in the safest manner possible, observing all safety and health rules. Report all accidental injuries/occupational illness to their supervisors regardless of the severity.
  • Choose a physician from the James Madison University Panel of Physicians for treatment.
  • Follow the recommendations made by the Panel Physician.

Supervisor Responsibility:

  • Understand and follow the university's safe workplace policies.
  • Encourage employees to understand and follow the university's safe workplace policies.
  • Assist the employee in getting medical treatment in the event of an accidental injury or illness.
  • Contact the Workers Compensation Coordinator (x82358) as soon as possible, but within 24 hours to report all accidental injuries/occupational illnesses to the Workers Compensation Coordinator even if there is no medical attention required.
  • Work with the Workers Compensation Coordinator to provide productive altered/transitional duty when possible for an employee who has been released by the Panel Physician.

Workers Compensation Coordinator Responsibility:

  • Report all accidental injuries and occupational illnesses to the State Workers Compensation Program.
  • Facilitate "Return to Work" for an employee by communicating with the Department Supervisor and the Employee to provide productive altered/transitional duty to an employee who has been released by the Panel Physician for restricted duty.
  • Coordinate with the Panel Physician and State Workers Compensation Program's designee regarding payment of bills for the employee.
  • Facilitate investigations of accidents or occupational illnesses by coordinating the appropriate parties, compiling accident data, communicating results of the data analysis to departments.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Injured employees who do not comply with this policy risk not being covered by Workers Compensation Insurance. They would therefore be subject to uncompensated medical bills and lost work time.

Employees and supervisors of injured employees who do not comply with this policy will be subject to disciplinary action up to and including termination.

9. EXCLUSIONS

The Virginia Workers Compensation Program, or their designee, may determine that an accident or illness is not compensable under the Virginia Workers Compensation Act. Such injuries or illnesses would not then be covered under this policy.

10.INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: April 2009
Approved by the President: April 2002

Index of terms

Workers Compensation
Injury
Illness
Lost time
Return to work
Workers Compensation Coordinator
VSDP
Accident

1326 Immigration Reform and Control Act

1. PURPOSE

The purpose of this policy is to ensure that the university complies with the Immigration Reform and Control Act (IRCA) in ensuring that all university employees' identity and eligibility to work in the United States are verified. The policy also sets guidelines for the university's responsibilities in hiring individuals who are not United States citizens or permanent residents, including the guidelines for payment of immigration fees necessary to employ such international workers at the university.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The regulations of the U.S. Citizenship and Immigration Services (USCIS) are contained in Title 8 of the Code of Federal Regulations.

3. DEFINITIONS

Asylee
An alien in the United States or at a port of entry who is found to be unable or unwilling to return to his/her country of nationality, or to seek the protection of that country because of persecution or a well-founded fear of persecution. Persecution or the fear thereof must be based on the alien's race, religion, nationality, membership in a particular social group, or political opinion. For persons with no nationality, the country of nationality is considered to be the country in which the alien last habitually resided. An asylee is eligible to adjust to lawful permanent resident status after one year of continuous presence in the United States.

Break in Service
For Form I-9 purposes, a break in service is considered any temporary discontinuation of employment that lasts longer than one year.

EB-2 Category
The most common category of employment-based permanent resident petitions for professionals holding advanced degrees, including teaching faculty. Some faculty and staff members may be eligible for green cards permanent resident status through other categories.

Federal Work-Study
A federally funded financial aid program to provide payment for work performed by students on campus or in the community, based on the needs of the student and the availability of funding. The employee must be a citizen of the United States or a lawful permanent resident to be eligible for federal student aid and therefore, eligible for federal work-study employment.

Fraud Prevention Fee
A fee associated with the H-1B filing process, which, by law, must be paid by the employer.

Green Card
Green Card is used interchangeably with Permanent Resident Card (Form I-551). When an employee holds a green card (i.e., has permanent resident status) he or she is treated identically to U.S. citizens for all employment purposes. Job restrictions applicable to employees in H-IB or other nonimmigrant status are lifted.

H-1B Category
The most commonly utilized temporary employment visa for professional workers. This is an immigration status that is available to certain professional international workers for a period of up to six years.

Immigrant Resident Alien, or Lawful Permanent Resident)
An alien admitted to the United States as a lawful permanent resident. Permanent residents are also commonly referred to as immigrants; however, the Immigration and Nationality Act (INA) broadly defines an immigrant as any alien in the United States, except one legally admitted under specific nonimmigrant categories (INA section 101(a)(15)). An illegal alien who entered the United States without inspection, for example, would be strictly defined as an immigrant under the INA but is not a permanent resident alien. Lawful permanent residents are legally accorded the privilege of residing permanently in the United States. They may be issued immigrant visas by the Department of State overseas or adjusted to permanent resident status by U.S. Citizenship and Immigration Services in the United States.

Immigration Fees
For these purposes, immigration fees refer to any fee associated with the filing of documents with either the Department of State or the Department of Homeland Security for the purposes of obtaining employment authorization under the H-1B category, PERM, or other employment-based immigration category.

Nonimmigrant
An alien who seeks temporary entry to the United States for a specific purpose. The alien must have a permanent residence abroad (for most classes of admission) and qualify for the nonimmigrant classification sought. The nonimmigrant classifications include: foreign government officials, visitors for business and for pleasure, aliens in transit through the United States, treaty traders and investors, students, international representatives, temporary workers and trainees, representatives of foreign information media, exchange visitors, fiancé(e)s of U.S. citizens, intracompany transferees, NATO officials, religious workers, and some others. Most nonimmigrants can be accompanied or joined by spouses and unmarried minor (or dependent) children.

OIP
Office of International Programs

Passport
An official governmental travel document that certifies the identity and nationality of a person and grants him/her permission to travel abroad (travel to certain countries may be limited).

PERM
The common name for the process under which professional workers apply for permanent residence in the United States through their jobs. This status is necessary for anyone who desires to be employed in the United States for more than six years. The PERM process must be started within 18 months of the beginning of a tenure-track, tenured or RTA instructional faculty appointment, an administrative & professional (A&P) faculty appointment, or a classified staff appointment. Faculty members on fixed term or temporary appointments and wage employees are not eligible for PERM processing.

Refugee
Any person who is outside his or her country of nationality who is unable or unwilling to return to that country because of persecution or a well-founded fear of persecution. Persecution or the fear thereof must be based on the alien's race, religion, nationality, membership in a particular social group, or political opinion. People with no nationality must generally be outside their country of last habitual residence to qualify as a refugee. Refugees are subject to ceilings by geographic area set annually by the President in consultation with Congress and are eligible to adjust to lawful permanent resident status after one year of continuous presence in the United States.

RTA
Renewable Term Appointment. See Faculty Handbook Section III.D.4.

U.S. Citizen
A person born in the United States, or naturalized, holding a U.S. passport.

U. S. Citizenship and Immigration Services (USCIS)
A government agency responsible for the admission, control and status of all aliens in the United States.

4. APPLICABILITY

This policy applies to all employees of the university. This policy also pertains to all hiring departments and to all international employees beginning their employment in a temporary visa category. For more guidance, see the OIP website.

5. POLICY

Under the Immigration Reform and Control Act (IRCA), when hiring, discharging, or recruiting or referring for a fee, employers with four or more employees may not:

  • Discriminate because of national origin against U.S. citizens, U.S. nationals, and authorized aliens.
  • Discriminate because of citizenship status against U.S. citizens, U.S. nationals, and the following classes of aliens with work authorization: lawful permanent residents, temporary residents (that is, individuals who have gone through the legalization program), refugees, and asylees.
  • Knowingly hire unauthorized aliens. Supervisors who do so are subject to both civil and criminal penalties. It is not illegal to give preference to a U.S. citizen over a non-citizen if the two individuals are equally qualified.

The university will comply with IRCA by following the verification (Form I-9) requirements and treating all newly hired and rehired employees the same. JMU verifies the identity and certifies citizenship status of all newly hired and rehired employees, including United States citizens, on or before the employee's first day of work.

All hiring authorities are required to coordinate the hiring of any person who is not a United States citizen or permanent resident through the OIP, before the offer of employment is extended.

6. PROCEDURES

6.1 The Act requires employers to have their employees complete Section 1 of the Form I-9 no sooner than a job offer has been accepted and no later than the first day of employment. For Form I-9 purposes, an employee's first day of employment is the first day that the employee is physically present on campus and performs work for the university. For employees who work off-campus, the first day of employment is the first day that an employee performs work for the university. The Form I-9 for departments hiring student employees is available at the following link http://www.jmu.edu/stuemploy/wm_library/2013_USCIS-New-Official-Form-I-9.pdf.

A representative from Human Resources or an HR authorized representative must examine the original document or documents the non-student employee presents and then fully complete Section 2 of the Form I-9. Documents examined must be originals, not photocopies and must include one document from List A, or one from List B and one from List C.

For student employees, the hiring department must examine the original document or documents the student employee presents and then fully complete Section 2 of the Form I-9. Documents examined must be originals, not photocopies and must include one document from List A, or one from List B and one from List C.

6.2 All employees must have one of the following in place by their first day of employment:

  • A correctly completed Form I-9 on file in Human Resources or the Student Work Experience Center (SWEC); or,
  • Receipts filed with Human Resources or SWEC proving that appropriate application has been made to obtain otherwise acceptable documents for completion of the Form I-9 where the document was lost, stolen or destroyed. If an employee submits a receipt in order to begin work, the employee's Form I-9 on file must be updated within 90 days of employment or the employee will be terminated. When an employee is hired for three days or less a receipt is not acceptable; an original document must be presented.

6.3 Documents that may be used to verify identity and employment eligibility are listed on the last page of the Form I-9. The applicant may select which document(s) to present.

6.4 The university may not specify which document(s) an employee must present, provided the employee is able to complete the Form I-9 with qualified documents from List A or List B and List C.

6.5 For Form I-9 purposes, a break in service is considered any temporary discontinuation of employment that lasts longer than one year. When an employee has a break in service from the university, the rehired employee must complete a new Form I-9 by the first day of employment following the same procedures noted in sections 6.1 through 6.4 of this policy. (Note: Human Resources or SWEC may require a rehired employee with a break in service of less than a year to complete a new Form I-9 when the Form I-9 on file with Human Resources or SWEC contains errors.)

6.6 A hiring official who has determined that a position will be offered to an individual who is not a United States citizen or permanent resident must contact the OIP before making the offer to arrange for the appropriate documents to be filed by that office in support of the immigration documentation of the new employee. Various federal regulations (see 20 CFR §656.12(b) and 20 CFR 655.731(c)(9)) apply to the responsibilities of an employer in hiring individuals who are not United States citizens or permanent residents, and require the employer to pay certain fees associated with the filing of immigration documents in order to employ these individuals. By law, employers must take certain responsibilities in hiring these individuals, and some of the fees associated with these regulations may not be passed on to the employee. Other fees associated with the filing of immigration documents may legally be borne by either the employer or the employee. The OIP will determine which fees will be paid by the university and which fees must be borne by the employee.

6.6.1. Payment will be made by the OIP to the Department of State, the Department of Homeland Security, or other government agency to pay the necessary fees. The funds will be drawn for any employee in a position requiring either a temporary visa or permanent resident status. The cost of the payment will be shared between OIP, the department and the employee as determined by OIP.

6.6.1.a. All immigration fees associated with H-1B and PERM filing for tenure-track faculty positions will be borne by the university and may not be passed on to the employee, assuming the PERM processing is under the EB-2 category. Should the international employee be interested in filing for his/her permanent residence in a category other than EB-2, s/he will be required to bear the cost on his/her own unless special permission is received from the OIP following a recommendation by the hiring department.

6.6.1.b. All immigration fees associated with obtaining appropriate dependent status for dependents of the employee will be borne by the employee.

6.6.1.c. All immigration fees associated with H-1B filing for non-tenure track faculty and other professional positions will be borne by the university. Fees may not be passed on to the employee.

6.6.1.d. The H-1B Fraud Prevention Fee will be borne by the OIP. This fee may not be passed on to the employee.

6.6.1.e. Should the employee elect to hire an attorney to file his/her own petition for the green card (Permanent Resident Card), the OIP will cooperate with that attorney, but attorney fees will be paid by the employee.

6.62. Should any question arise as to the appropriateness of a payment of any immigration fee not specified here, the OIP, along with the university's legal counsel, will make the decision about whether or not the fee should be paid by the university or the employee. If the OIP or other JMU department has a concern that any international employee is acting fraudulently or otherwise misusing this policy, the university reserves the right to refuse to make payments to any government office on behalf of that employee.

7. RESPONSIBILITIES

Hiring supervisors are responsible for the timely notification to Human Resources of all newly hired and rehired non-student employees through the Onboard @ JMU process. Hiring authorities are also responsible for contacting the OIP before making a job offer to an individual who is not a citizen or permanent resident of the United States.

Once notified by the hiring department, Human Resources is responsible for ensuring that each new non-student employee completes a Form I-9 correctly and timely.

Non-student employees are responsible for accurately completing the Form I-9 with Human Resources on, or before their first day of employment.

Departments hiring student employees are responsible for completing the Form I-9 with the student employee on, or before the first day of employment.

OIP is responsible for completing the Form I-9 with student employees who are aliens authorized to work.

The university is required to retain the Form I-9 for three years after the date of hire or one year after the termination date, whichever is later. Form I-9s must be available for inspection to the USCIS or Department of Labor upon request, and the Form I-9 must be on file in Human Resources for all non-student employees and on file in SWEC for all student employees at James Madison University.

The OIP is responsible for the monitoring of the immigration status of all international employees on a temporary visa. The OIP will also file paperwork necessary to obtain H-1B status where necessary and, in most cases, will file the petition for green cards (Permanent Resident Cards) for the international employees in permanent positions that qualify for green card processing. The OIP is responsible for determining the cost sharing for the fees which must be paid.

8. SANCTIONS

Failure to follow the requirements of this policy as stated will result in the termination of employment of the employee as specified.

Other sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Any office failing to comply with the requirements of this policy will be required to pay all fees and penalties from that office's budget and will not have access to funds from the OIP.

9. EXCLUSIONS

This policy applies only to JMU student and non-student employees. . University affiliates, such as those employed by Aramark, Follett, Pitney Bowes, etc., are the responsibility of their particular employer.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources and the OIP.

Previous Version: April, 2009
Approved by the President:

1328 Leave Sharing

1. PURPOSE

It is the Commonwealth's objective to allow eligible employees to participate in a leave-sharing program. This policy represents the university's participation in this objective. It is designed to permit a classified employee to donate annual leave to another classified employee who may need additional leave as a result of a qualifying illness or injury that has resulted in a leave without pay occurrence.

2. AUTHORITY

This policy complies with the Virginia Department of Human Resources Management pursuant to the authority provided in Virginia Code Title 2.2, Chapter 12, sections 2.2-1200 et seq. Additional Commonwealth policies that inform this university policy include: DHRM Policy 4.35, Leave Sharing; DHRM Policy 4.55, Sick Leave; and DHRM Policy 4.57, the Virginia Sickness and Disability Program.

3. DEFINITIONS

Leave Sharing:
The exchange of leave from one classified state employee to another for qualifying reasons and under qualifying circumstances.

Virginia Sickness and Disability Program (VSDP):
A program that provides various sickness and disability-related benefits to eligible Commonwealth employees as described in DHRM Policy 4.57.

4. APPLICABILITY

Full and part time classified employees who accrue leave and are not enrolled in VSDP are eligible to request donated annual leave under the terms of this policy. The policy also applies to employees enrolled in VSDP if the employee experiences an approved leave without pay due to a family member's illness or injury for which the employee is using Family and Medical Leave.

An employee who has met all the criteria in order to receive leave sharing donations and is able to return to work on a part time basis may continue to receive donated hours to cover the hours s/he is unable to work. The cause of the on going absence must be for the same medical condition for which the employee had originally qualified for leave sharing.

VSDP status does not affect one's eligibility to donate leave to the program.

5. POLICY

Under the circumstances described below, the university will allow classified employees to share leave from existing annual leave balances.

Eligible employees not covered under the Virginia Sickness and Disability Program may request donated annual leave as described in this policy if the employee:

  1. Experiences leave without pay due to a personal illness or injury, or
  2. Experiences leave without pay due to a qualifying family member's illness or injury for which the employee is using Family and Medical Leave.

6. PROCEDURES

6.1 Employees wishing to receive leave must initiate such requests by contacting Human Resources. Human Resources will then communicate the request to all potential donors, but will not reveal the identity of the requesting employee unless the employee gives his/her permission. In the event that an employee is physically or mentally unable to initiate a request through Human Resources, a family member or the supervisor may file the request.

6.2 For all purposes other than the receipt of salary, employees receiving donations through the Leave Sharing Policy shall be considered on leave without pay status (e.g., no accrual of annual or sick leave).

6.3 Donations to recipients shall be in the form of annual leave only.

6.4 Leave may be shared intra-agency and donations may be accepted from employees of other Executive Branch agencies.

6.5 Donors are not required to retain minimum balances of personal sick or annual leave, nor is there a limit on how many hours of annual leave may be donated.

6.6 Donations to a recipient shall be made in eight-hour increments.

6.7 Eligible recipients shall not be required to reimburse leave hours donated to them unless compensation is received from another source for the same period of time the employee received leave sharing hours, such as when monies are received from the leave share program and subsequently Workers' Compensation benefits are received retroactively for the same period of time;

  • If repayment is required, leave payment shall be made at the current salary rate of the recipient, not the donor. Reimbursed leave hours will be returned to the original donor(s).

6.8 Donors shall complete a Donor Form when contributing leave and submit it to Human Resources.

6.9 Leave donations can be reclaimed by the donor only if the Donor Form has not yet been processed.

6.10 Direct share hours will be prorated for part-time classified employees (e.g., if a classified part- time employee who works 20 hours per week receives 60 hours of donated leave, the donated leave will be paid to that employee at a rate of 20 hours per week).

6.11 Recipients shall have no balance of personal leave (annual, sick, compensatory, personal day, recognition leave) and shall have been placed on official leave without pay.

6.12 Use of leave under the program shall be for medical conditions defined as follows:

  • Any illness or injury that is certified by an approved health care provider and that requires medical attention and all leave balances have been exhausted. (See Section 9 for those medical conditions for which leave may not be donated.)
  • It is the responsibility of the employee to provide the required certification from an approved health care provider. The university has the option of selecting an health care provider to render a second evaluation/opinion and certification. Such certification will be at the university's expense. However, if the two health care providers disagree whether a medical condition exists, it is within the sole discretion of the university to determine which opinion prevails.

7. RESPONSIBILITIES

An eligible employee is responsible for requesting donated leave by contacting Human Resources. In a case where the employee is unable to request leave, a family member or the employee's supervisor may submit a request.

Donor employees are responsible for initiating the offer to donate leave by completing a leave donor form and submitting to Human Resources.

Human Resources is responsible for coordinating the exchange of leave through this program.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

9.1 Medical conditions resulting from the following will be excluded from eligibility for leave sharing benefits:

  • Any job-related injury or illness during the period for which Workers' Compensation benefits have been awarded:
  • Intentional self-inflicted injuries;
  • Injuries occurring in the course of violating a law or ordinance.

9.2 Employees are ineligible to use donated leave during the period of disciplinary suspension.

9.3 Wage employees and faculty (instructional and AP) are not covered by this policy.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous Version: November, 2009
Approved by the President: April, 2002

Index of Terms
Leave
Leave Sharing
Leave without Pay

1313 Recruiting, Selecting & Hiring Classified and Wage (non-student/part-time) Positions

The purpose of this policy is to provide requirements for the recruiting and selection process for classified and non-student wage employees at James Madison University.

1113 Emergency/Disaster Leave

1. PURPOSE

This policy provides a method to grant up to 80 hours of paid leave annually to qualifying employees who are called away from their regular jobs to provide specific kinds of emergency services during defined times of state and/or national disaster or who need to attend to the medical needs of self and/or immediate family members when communicable disease of public health threat conditions have been declared by the State Health Commissioner and the governor. This policy also provides a method to grant up to 80 hours of paid leave annually to employees who are victims of disasters that meet the criteria specified in this policy.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

Stafford Act (P.L. 93-288 as amended), VA Code § 32.1-48.05, § 32.1-48.06, § 44-146.16, § 44-146.17

3. DEFINITIONS

Affected Area
Any part or the whole of the Commonwealth, which has been identified as where persons reside, or may be located, who are known to have been exposed to or infected with or who are reasonably suspected to have been exposed to or infected with a Communicable Disease of Public Health Threat.

Communicable Disease of Public Health Threat
An illness of public health significance, as determined by the State Health Commissioner in accordance with regulations of the Board of Health, caused by a specific or suspected infectious agent that may be reasonably expected or is known to be readily transmitted directly or indirectly from one individual to another and has been found to create a risk of death, significant injury or impairment..

Emergency Services
The preparation for and carrying out of functions to prevent, minimize and repair injury and damage resulting from natural or man-made disasters. These include fire-fighting services, police services, medical and health services, rescue, engineering, warn­ing services, communications, radiological, chemical and other special weapons defense, evacuation of persons from stricken areas, emergency welfare services, emergency transportation, emergency resource management, existing or properly assigned functions of plant protection, temporary restoration of public utility services, and other functions related to civilian protection.

Exceptional Circumstances
When one or more persons within the Commonwealth are known or are reasonably expected to have been exposed to or infected with a communicable disease of public health threat.

Immediate Family Member
Immediate family includes parents, step-parents or persons who stood in place of the parent and performed parental duties and responsibilities; a spouse as defined by laws of the Commonwealth; children, including step-children, foster children, and legal wards; and, siblings, including step-siblings, residing within an affected area.

Major Disaster
An official status declared by the President of the United States when he/she deems that federal assistance is needed under the Stafford Act (P.L. 93-288 as amended) to supplement state, local and other resources to deal with the effects of a variety of natural or man-made catastrophic events.

Man-made Disaster
An event caused by the action of one or more persons that imperils life and property and produces danger or the imminent threat of danger through exposure to biological, chemical or radiological hazards. Examples include large spills resulting from transportation or industrial accidents, and effects of terrorist acts. Some man-made disasters may also be called technological disasters.

Natural Disaster
An event of nature that causes extensive and/or severe threat to or destruction of life and/or property. Typically, such situations are the result of wind, earth­quake, blizzard, ice storm, widespread fire or flood.

Primary Personal Residence
The home, apartment or dwelling in which the employee resides most of the time. This does not include vacation or second homes, nor property owned but not occupied by the employee. Normally, this location will bear the employee’s official address as recorded by the city or county where the dwelling is located.

Specialized Skills or Training
Specific, definable skills or training that enables an individual to provide certain identified services needed during periods of state or national emergency or disaster. These skills and training may or may not be related to the qualifications used in the employee’s state job.

State of Emergency
The status declared by the President of the United States, the Governor of Virginia or the governor of another state for conditions of sufficient severity and magnitude that assistance is needed to supplement the efforts of localities and other relief organizations.

4. APPLICABILITY

This policy applies to all full-time employees of the university, to include instructional faculty, administrative & professional faculty, and classified staff.

5. POLICY

5.1 Leave to Provide Emergency Services
An employee shall continue to receive his/her normal salary for up to 80 hours while using approved emergency/disaster leave under this policy. JMU will not pay for expenses related to provid­ing emergency service, such as travel, food or lodging.

Vice presidents (VP’s), deans, associate/assistant vice presidents (AVP’s),  and the executive assistant to the president have discretion for authorizing up to 80 hours of leave annually under this policy for employees who meet all criteria shown below:

  • The area is covered by an official declaration of major disaster by the President of the United States or a declaration of a State of Emergency by the Governor of Virginia or the governor of another state.
  • Public officials at the site of the disaster have requested the assistance of individuals with specialized skills or training.
  • The employee possesses the required specialized skills or training requested by the authorities.

5.2 Leave for Victims of Disaster
Leave may be available under this policy to an employee who has sustained severe or catastrophic damage to or loss of his/her primary personal residence or has been ordered to evacuate that residence as a result of a natural or man-made emergency or disaster. JMU will not pay for expenses incurred by an employee in recovering from the personal effects of a disaster such as travel, food or lodging.

VP’s, deans, AVP's and the executive assistant to the president have discretion for authorizing up to 80 hours of leave annually under this policy for employees who meet all criteria shown below:

  • The event resulted in a formal declaration of a State of Emergency or of federal disaster status.
  • The employee’s home was located in the officially declared disaster area.
  • Formal documentation from recognized disaster relief organi­zations or insurance companies verifies severe, extreme or catastrophic damage to or loss of personal property as a result of the declared emergency in which the damage or required evacuation rendered the employee’s home temporarily or permanently uninhabitable.

5.3 Public Health Emergency Leave
Upon declaration and within the period of a communicable disease of public health threat, an employee is eligible for up to 80 hours of paid leave per leave year to attend to his/her own medical condition and/or to care for immediate family members residing in an affected area.

An employee whose illness and/or isolation extends beyond 80 hours must use existing leave and/or disability policies to cover the remainder of their absence.

6. PROCEDURES

An employee must request the use of Emergency/Disaster Leave through his/her immediate supervisor prior to using leave under this policy. The request must be submitted in writing to and approved by the appropriate VP, AVP, dean, or the executive assistant to the president. VP’s, AVP’s, dean’s, and the executive assistant to the president possess the discretion to approve requests for paid leave in the emergency or disaster situations described in this policy.

An employee asked by emergency/relief service authorities to extend his/her service beyond 80 hours for the same event may request the use of appropriate leave or leave without pay. The request must be submitted in writing to his/her immediate supervisor and approved by the dean, appropriate AVP or the executive assistant to the president. Approval is at the discretion of the VP, dean, AVP and the executive assistant to the president.

An employee requesting the use of Emergency/Disaster Leave for a communicable disease of public health threat for himself/herself or an eligible family member is required to submit confirmation of the diagnosis that requires isolation, medical attention and/or removal from the workplace to his/her supervisor.

7. RESPONSIBILITIES

It is the responsibility of each VP, dean, AVP and the executive assistant to the president to evaluate employee eligibility for leave under this policy. Emergency/Disaster Leave shall be granted, in writing, at the discretion of the requesting employee’s VP, dean, AVP. In evaluating such requests, VP’s, deans, AVP’s and the executive assistant to the president should consider the need for the employee to provide the specified assistance and the expected impact of the employee’s absence on JMU’s ability to fulfill its mission.

VP’s, deans,/AVPs and the executive assistant to the president are responsible for ensuring that they have the required documentation prior to awarding paid leave.

For leave to provide emergency services, this includes:

  • confirmation of the declaration of disaster by the President of the United States, Governor of Virginia, or governor of another state; and
  • verification of the request for assistance by the appropriate officials; and
  • corroboration that the employee possesses the relevant specialized skills or training.

For leave for victims of disaster, this includes:

  • confirmation of the declaration of a State of Emergency or federal disaster status; and
  • documentation that the employee’s primary residence is in the official disaster area; and
  • verification as cited above of catastrophic damage to or loss of the residence, or requirement to evacuate the residence.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Employees activated under military orders, whether by state or federal authorities, are not covered by this policy. See Policy 1319-Classified Employee Leave Without Pay, Faculty Handbook section III.J.1.e- Military Duty Leave and DHRM Policy 4.50-Military Leave.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Director of Human Resources.

Previous version: March 2011
Approved by the President: October 2005

1310 Alternative Work Schedules

The university is receptive to alternative work schedules that allow for the effective delivery of academic, student and administrative services. The purpose of this policy is to improve the quality of work life for university employees by allowing the exploration of work schedules that allow balancing work and family/personal responsibilities. It is also important to understand that, in all cases, the accomplishment of university-related work must be considered first in determining when, and if, alternative schedules may be used. It is possible that in some units, workloads may not permit flexible schedules or allow flexibility on a limited basis.

5001 Annual Planning Policy

The purpose of this policy is to outline the university’s planning process in support of its mission, vision, core qualities and goals.

1339 Negotiated Amicable Separation Agreements for Administrative & Professional Faculty

1. PURPOSE

The purpose of this policy is to ensure uniform procedures to follow in negotiating amicable separation agreements between the university and administrative & professional faculty.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)

Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

4. APPLICABILITY

This policy applies to all employees designated as administrative or professional faculty and those who supervise them.

5. POLICY

The university may negotiate mutually amicable separation agreements with A&P faculty when such is determined to be in the best interest of the university. Such agreements provide a means for ending the employment relationship in a non-adversarial method. Supervisors of employees who are separated as a result of this policy are advised to reference JMU policy 1314 Transfer and Separation from Employment for separation procedures.

Agreements may be developed and implemented where unsuccessful job matches, irreconcilable personality conflict, or other circumstances lead the parties to agree that an end to the employment relationship is in the best interest of all parties. Decisions to enter into amicable separation agreements shall be voluntary on the part of the university and the employee. An employee and the university shall have the option to pursue traditional means of separation. The employee also has the option to pursue a review of a separation procedure in accordance with JMU policy 1335 Terms and Conditions of Employment for Administrative & Professional Faculty.

6. PROCEDURES

The appropriate senior vice president, in collaboration with the Director of Human Resources, may negotiate mutually amicable separation agreements with A&P faculty when such is determined to be in the best interest of the university.

Amicable separation agreements can be initiated by either party and shall be documented on a case-by-case basis. Such agreements must be approved by the appropriate senior vice president and the President and signed by both the A&P faculty member and the appropriate senior vice president. University General Counsel shall be informed before final execution and implementation.

7. RESPONSIBILITIES

The president is responsible for review and approval of each amicable separation agreement with an A&P faculty member.

The appropriate senior vice president is responsible for initiating and overseeing negotiations for mutually amicable separation agreements.

The Director of Human Resources is responsible for review and approval of each amicable separation agreement.

8. SANCTIONS

Sanctions for failure to comply with this policy will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: March, 2012
Approved by the President: May 2006

Index of terms

Administrative & Professional Faculty
Amicable Separation

ADDITIONAL RESOURCES

Administrative & Professional Faculty Resource Book

Faculty Handbook

DHRM Policy 1.57 Severance Benefits

Policy 1307-Performance Evaluation of Administrative & Professional Faculty

Policy 1335-Terms and Conditions of Employment for Administrative & Professional Faculty

4302 Facility Modification/Maintenance

1. PURPOSE

The purpose of this policy is to outline procedures for the initiation, funding and approval of university facility modifications and maintenance. This policy is designed to ensure the optimal condition of campus facilities and the prudent management of financial resources.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3.  The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Auxiliary Enterprises
Auxiliary areas are those that are self supporting and receive no general fund dollars from the state or tuition dollars.  Examples include Parking Services, Residence Life, Dining Services etc.

Departmental Work
When a department requests work to be completed that is outside of the normal maintenance cycle. For example; adding doors, painting walls a different color etc.

Education and General Budgets
Annual budget which is funded by the state with General Fund and by tuition and fees (Non-General Funds). E & G budgets begin with the number 3.

Emergency Maintenance 
Situations requiring immediate attention due to a failure in or around University facilities/infrastructure that could cause significant damage to buildings, systems, and/or equipment. These same situations could create an unsafe or unmanageable condition that would expose personnel to a significant possibility of harm.

Income Producing Events 
Any group/event that generates revenue for the sponsoring department or organization. The presence of the group/event requires housekeeping, landscaping and/or maintenance services to spend extra, unplanned hours to maintain campus facilities.

Integrated Workplace Management System (IWMS) 
A Facilities Management computerized system used for managing asset-intensive facilities and infrastructure by providing comprehensive business solutions: such as Maintenance & Operations Management, Capital Project Management, Real Estate & Lease Management, Space & Facilities Management, Sustainability & Compliance Management, Energy and Sustainability Management, Fleet  and Fuel Management. This includes the customer request, work order, preventive maintenance, storeroom,   and the accounting and billing processes. This campus-wide system is an AssetWORKS product called  AiM.

Major Maintenance
Repair/replacement of major equipment or systems made beyond the regular, normal upkeep of physical properties (i.e. Land, Buildings, and Equipment) for the repair or replacement of failed or failing building components as necessary to return a facility to its currently intended use, to prevent further damage, or to make it compliant with changes in laws, regulations, codes or standards. These projects do not modify or alter the function of a facility.

Major Projects 
Work that modifies or alters the function of any university facility, or portion thereof. Major projects typically include: renovations, the installation/removal of wall/doors and the connection of new equipment requiring utilities changes/accommodations (Equipment Trust Fund items, instructional technology, etc.) These projects are differentiated from Major Maintenance Projects (i.e. HVAC equipment replacement, building painting, maintenance reserve projects, etc.) that address facility repair needs.

Non Departmental work
Routine work completed for general upkeep of buildings such as paint and carpet.  The cost of this maintenance is covered by Facilities Management and is not charged to the department receiving the service.

Routine Maintenance 
Normal upkeep and repair required to maintain facilities including housekeeping, maintenance, landscaping and utility service operations. This includes Preventative Maintenance (routine inspections, cleaning, adjustment, etc.), Predictive Maintenance (planned repair or replacement prior to failure) and Deferred Maintenance (repairs delayed due to lack of resources).

VUSBC 
Virginia Uniform Statewide Building Code. Compliance with the VUSBC is required for all construction/renovation projects in accordance with the mandated annual permit process.

4. APPLICABILITY

The policy applies to all departments and all facilities that are owned, leased or operated by the university.

5. POLICY

All modifications and repairs to campus facilities must be coordinated with and accomplished by Facilities Management in order to ensure safe, efficient and code-compliant facilities. This policy addresses major projects, routine maintenance, preventative maintenance, emergency maintenance, deferred maintenance, income producing events, departmental improvements and other associated program requests.

6. PROCEDURES

6.1 Major Projects

6.1.1 A major project should be submitted to the Facilities Management Work Control Center as a work request. Anticipated major project work should be thoroughly discussed with the department and approved through the initial VP authorization to proceed with the concept prior to initiating the work request. Major Project work requests must clearly state the nature and location of the building modifications required. If a specific deadline applies it must be so noted on the work request. Accomplishment time frame is subject to program needs/requirements; the availability of manpower, materials and contractual services; and the priorities of concurrent projects as determined by Facilities Management.

6.1.2 Individual departments are responsible for obtaining the funding necessary to accomplish their major projects (based upon Facilities Management or Facilities Planning and Construction estimates including the cost for development of estimates). Projects that require design by outside consultants and/or are funded by capital accounts will usually be accomplished by the Office of Facilities Planning and Construction. All other projects will be designated for accomplishment by Facilities Management. Facilities Management will initiate the Annual Building Permit (if required).

6.1.3 In the event that a unit requires a project for which departmental or divisional funding is not available, the project may be submitted by the requesting department as part of the university's annual operating budget process. Projects funded through this mechanism will normally be restricted to larger projects which, while less than capital in scope, are beyond what could reasonably be accommodated within the unit's annual operating budget.

6.1.4 Budget submissions are normally due in January. Units considering funding requests should submit Major Project work requests to Facilities Management no later than October 16 in order for the estimates to be accomplished by the anticipated January operating budget submission deadline. If the estimate is approved, project funds will be available for use the following July 1. The requesting unit will be responsible for planning far enough in advance to fit their project within the university's operating budget cycle. Only true emergencies with health and safety considerations will be considered outside of this schedule.

6.1.5 Approved projects will be scheduled and communicated to all concerned by the Facilities Management Senior Planner. The project schedule will be established after consideration of manpower, materials and concurrent projects. Projects will be scheduled on a year-round basis and will not be limited to periods between semesters. The Building Services Coordinator will be responsible for the notification of non-availability of affected facilities to users and, if necessary, obtaining alternate facilities.

6.1.6 All maintenance reserve and anticipated major maintenance projects will be listed on the Facilities Management's Comprehensive Plan which will be updated on an ongoing basis by the Senior Planner and Facilities Engineering to provide an overview of anticipated needs.

6.2 Routine Maintenance

6.2.1 Routine maintenance requests should be directed to the Building Services Coordinator or Residence Hall Area Coordinator. Building Services Coordinators will initiate an electronic work request to the Facilities Management Work Control Center. Residence Hall Directors will follow the directions given by the Office of Residence Life. Work requests must clearly state the nature and location of the problem. If a specific deadline applies, it must be noted on the work request form.

6.2.2 Preventive maintenance work will automatically be initiated by Facilities Management as scheduled maintenance.

6.2.3 All equipment, materials and labor required for routine maintenance and major projects will be ordered and supplied through Facilities Management. Any department purchasing items that will alter their facility or the climate of their space must be approved through Facilities Management.

6.2.4 Maintenance response is subject to the availability of manpower and materials, and the priorities of concurrent projects. Normal initial response time is five working days. Estimates will be provided prior to performing work only if specifically noted on the Work Request Form. All estimating costs will be billed at the appropriate craft rate no matter if the estimate is approved or not.

6.2.5 Funding is provided by Facilities Management for Educational & General supported facilities (i.e. academic and administrative departments) for all non-departmental type work. Auxiliary Enterprise facilities (i.e. Residence Life and Dining Services) work is funded by the unit's operating budget from which Facilities Management is required to fully recover all related expenditures.

6.3 Emergency Maintenance

6.3.1 Emergency maintenance requests/calls should be submitted to Facilities Management Work Control by telephone (x86101) from 7:30 a.m. Monday through 7:30 a.m. Saturday. From Saturday at 7:30 am through Monday at 7:30 am, call Campus Police (x86911). The exact nature and location of the emergency should be identified to ensure that the maintenance staff can make a prompt response. Only emergency requests will be handled by telephone. The Work Control Center will be responsible for initiating a work order for emergencies.

6.3.2 Funding for emergency maintenance related to building/infrastructure needs in academic and administrative (E&G) facilities will be provided by Facilities Management. E&G departmental and Auxiliary Enterprise work is funded from the unit's operating budget from which Facilities Management will fully recover all related expenditures.

6.4 Income Producing Events

6.4.1 When any department or organization hosts an income producing event, the department or organization is responsible for any expenses required of housekeeping or landscaping, and maintenance used to maintain campus facilities for the event. The department or organization is required to submit a work request via the Work Control Center to alert Facilities Management of the event and to request services.

6.4.2 The Senior Planner for Facilities Management will work closely with departments and organizations to ensure that events are identified, tents permits are issued, and events are communicated and covered by facilities staff as required.

6.4.3 When departments or organizations do not submit work requests for income producing events, Facilities Management is authorized to submit work requests to cover any increased cost of operations.

6.4.4 In the event that no additional personnel or time is required to support an income-producing event, the work order will not be charged.

7. RESPONSIBILITIES

7.1 The Senior Vice President for Administration and Finance is the final approving authority for all major projects. Approval will be based upon the overall benefit(s) of the project in support of the mission of the university.

7.2 The divisional senior vice presidents have responsibility for evaluating all major projects submitted within their division for appropriateness, support of unit objectives and adequate funding.

7.3 The Director of Facilities Management is responsible for ensuring that proper action is taken to accomplish all necessary work required to maintain university facilities in a state of repair adequate to support the mission of the university.

7.4 The Facilities Management Assistant Director for Operations is responsible for coordinating all aspects of daily maintenance activities. This includes accomplishing emergency maintenance, preventive maintenance, routine maintenance and assigned major projects.

7.5 The Facilities Management Master Planner is responsible for coordinating all major projects and facilities related to support for campus events.

7.6 The Facilities Management Engineering Manager is responsible for reviewing all major projects and all major maintenance projects, consulting when necessary with the individual initiating the request, providing estimated project costs, coordinating the annual building permit process, developing the project schedule in coordination with the Senior Planner, and coordinating the accomplishment of assigned projects.

7.7 The Director of Facilities Planning and Construction is responsible for providing an estimate of project costs, developing project schedules and coordinating the accomplishment of Major Projects and Maintenance Reserve Projects that involve design by outside consultants and/or are funded by capital outlay accounts.

7.8 Building Services Coordinators are departmental designees appointed by the building's dean or department head and approved by the appropriate division head (JMU Building Coordinators).

7.8.1 Building Services Coordinators and Residence Hall Directors are responsible for initiating work requests for routine maintenance and emergency maintenance in their buildings.

7.8.2 Emergency maintenance requests should be called in directly to the Facilities Management Work Control Center.

7.8.3 Building Services Coordinators and Residence Hall Directors will work closely with Facilities Management to ensure that buildings are kept in a good state of repair.

7.8.4 Building Services Coordinators are responsible for informing all building occupants of maintenance activities that will affect building operations (i.e. electrical power outages).

7.8.5 Building Services Coordinators should coordinate the locking/unlocking of their buildings.

7.9 Maintenance Management System (AiM) security requirements shall comply with Policy 1204. AiM users may request specific reports from the Information Technology Department by completing a Computer Service Request.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Director of Facilities Management.

Previous version: May 2011
Approved by the President: May 2005

Index Terms
Buildings
Modification

1508 Media Relations and Social Media Publishing

1. Purpose

The university's employees may be called upon to interact with members of the traditional news media in conducting the business of the university. In addition, the university, its departments, employees and students may use social media websites to conduct the business of the university. This policy is designed to provide guidance for employees and students when called upon to conduct university business using traditional news media or social media in the following ways:

  1. To establish, sustain and manage a positive relationship between the university and traditional news media outlets;
  2. To establish, clarify and coordinate the university's role in the use of social media..; and
  3. To ensure the university's strategic priorities and messages are advanced in a consistent and effective manner through traditional and social media.

2. Authority

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. Definitions

Media outreach:
Any correspondence or activity that utilizes news or social media to raise awareness of the university or its departments and/or its operating units. Examples of media outreach efforts include, but are not limited to, press releases, media advisories, press conferences, calendar items, social networking, blogging, podcasting, micro-blogging and social bookmarking.

Traditional news media:
Organizations that report on current events via newspapers, magazines, journals, television, radio or the Internet.

Social media:
Online and mobile-based technologies used to share information, opinions, experiences and perspectives. Social media includes platforms designed to facilitate conversations and build relationships among targeted audiences. These tools include, but are not limited to, social networks, blogs, podcasts, micro blogs, bookmarks, online communities, wikis and sites that allow user-generated content.

4. Applicability

This policy applies to all James Madison University employees and other non-university personnel, vendors and/or contractors who may, during the course of their assigned JMU responsibilities, have responsibility to communicate on behalf of the university with members of the traditional news media or social media.

5. Policy

5.1 All traditional news media outreach on behalf of the university or its departments or operating units should be initiated by or coordinated through the Office of Public Affairs. All news media outreach shall be consistent with the university's strategic priorities and messages.

5.2 Any university employee who has a responsibility to communicate in their official university capacity with the university's targeted audiences through social media is encouraged to complete social media training conducted or approved by the Office of Public Affairs.

5.3 Any university employee who represents him or herself as communicating on behalf of James Madison University while engaged in social media activity shall be subject to all university policies and procedures.

5.4 During a declared university emergency, only the university president, university spokesperson and/or an individual designated by the university president or university spokesperson may publicly speak on behalf of the university.

5.5 Any news and social media outreach efforts on behalf of the institution must comply with all James Madison University Identity System standards as outlined in Policy 1502.

6. Procedures

6.1 Any university employee initiating contact with members of the traditional news media or social media is encouraged to consult with the Office of Public Affairs in advance, in accordance with section 5.1 of this policy.

6.2 In the event that a university employee is contacted by a member of the traditional news media or through social media, the employee:

  • should ask the journalist about the subject and "angle" of the news or social media story.
  • should ask the journalist what the deadline is.
  • may respond to the journalist's questions if the employee has the requested information and, in the employee's supervisor's opinion, it is appropriate for the employee to do so.
  • may refer the call to the Office of Public Affairs or consult with the Office of Public Affairs for advice.

A journalist's request for information should receive a response from the appropriate university official.

6.3 University employees who are required to interact with the news media in their official university capacity are encouraged to contact the Office of Public Affairs for training.

6.4 Employees who use social media in their job duties are encouraged to coordinate with the Office of Public Affairs to get strategies and methods for attracting the widest possible audience in their social media communications.

6.5 Information that is officially sanctioned and/or produced by the university and is intended for use in a social media outreach effort shall be disseminated through the university's official avenues of social media communication. Other information that is not sanctioned and/or produced by the university may be disseminated through the university's official avenues of social media communication at the discretion of the Director of the Office of Public Affairs.

7. Responsibilities

Employees who communicate on behalf of the university with members of the traditional news media or through social media are responsible for creating a positive image and identity for the institution and, in carrying out this responsibility, shall do so in accordance with applicable employee responsibility and standards of conduct. Employees are responsible for clearly indicating when they are speaking or writing as a private citizen or expert in an area of expertise, and when they are speaking or writing as an official representative of the university.

Heads of departments and operating units are responsible for ensuring that any news media or social media outreach efforts originating in their respective departments or units comply with this policy.

The Director of Public Affairs, in consultation with the Associate Vice President of Communications and Marketing, is responsible for determining whether a traditional news or social media outreach effort is consistent with the university's strategic priorities and messages, for coordinating training for employees under this policy and for advising employees who are contacted by members of the traditional news media or social media.

8. Sanctions

Traditional news or social media outreach efforts that do not conform to this policy will be restricted or terminated.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. Exclusions

  • This policy does not apply to Intercollegiate Athletics in their regular, day-to-day efforts to promote the university's intercollegiate athletic programs.
  • This policy does not apply to social media efforts that are considered part of the academic or scholarly mission of the university such as classroom assignments, faculty portfolios or scholarly research.
Interpretation

The authority to interpret this policy rests with the president and is generally delegated to the Vice President for University Advancement.

Previous Version: January, 2011
Approved by the President: December, 2013

Index Terms

Social Media
Media Relations
Spokesperson
Facebook
MySpace
Podcasting
Blog

2106 Instructional Faculty Separation from Employment

1. PURPOSE

This policy provides the procedures for separation from employment for instructional faculty members, including non-renewal, expiration of contract, termination, retirement or resignation.

2. AUTHORITY

The Board of Visitors has the authority to enact personnel policies for all employees of the university. Where this authority has not been exercised by the board, it is delegated to the president.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

At-will Employee:
A faculty member who has no legitimate expectation of the continuation of an employment relationship with the university.

Expiration:
The natural and automatic termination of a fixed term contract of employment.

Financial Exigency:
A severe financial crisis within the university, declared by the president and Board of Visitors, which cannot be satisfactorily alleviated by less drastic means than the termination of tenured faculty members.

Fixed term contract:
An employment contract with a specific termination date or length of duration.

Inability to perform:
A determination by the university that a faculty member is unable to perform the essential functions of his or her position, with or without reasonable accommodations. The Policy on Disabilities and Reasonable Accommodations is found in Policy 1331.

Instructional faculty:
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties.

Non-renewal:
A decision by the university not to renew the appointment of a faculty member.

PAR:
Personnel Action Request form.

Program elimination:
A decision by the university to eliminate an academic program, and terminate its faculty.

Program reduction:
A decision by the university to reduce the number of faculty within an academic program.

Resignation:
Voluntary separation from employment initiated by a faculty member.

Retirement:
Voluntary separation from employment initiated by a faculty member, and election to enter into a retirement program offered by the university.

Retirement Incentive Plan:
A plan that allows the university to offer special retirement incentives to a tenured or RTA (Renewable-Term Appointment) faculty member under appropriate circumstances. The Faculty Retirement Incentive Policy is found in Policy 1333. RTA is defined in the Faculty Handbook, Section III.D.4.

Separation:
The severance of the employment relationship between the faculty member and the university.

Termination:
A decision by the university to terminate the employment of a tenured or untenured faculty member during the term of a contract, or an at-will employee at any time.

4. APPLICABILITY

This policy relates to the separation from employment of all full-time instructional faculty members, including visiting appointments; tenured, tenure-track, renewable term, and untenured appointments; academic year, calendar year, fixed term appointments and interim appointments. It also applies to professional librarians.

For separation procedures in specific instances, see the Faculty Handbook, Section III.F.

5. POLICY

5.1 The procedures in this policy must be followed in the separation of faculty members from employment at James Madison University.

5.2 Resignation: A faculty member may resign his or her appointment at any time provided that written notice is given at the earliest possible opportunity. It is expected that a faculty member will provide at least three months notice of resignation from the university, and will fulfill the obligations of the current assignments before the resignation becomes effective. The university reserves the right to accept the resignation immediately or establish a date prior to the expiration of the current contract in order to provide for the orderly operation of the institution or as a negotiated alternative to dismissal for cause. See Faculty Handbook Section III.F.1.

5.3 Expiration: Failure to renew the appointment of a faculty member on a fixed-term contract upon the expiration of the contract requires no action by the university and no notice to the faculty member. It is not an appealable personnel action. See Faculty Handbook Section III.F.2.

5.4 At-will Employees: At-will employees may be terminated at any time upon notification from the university. Such termination is not an appealable personnel action. See Faculty Handbook Section III.F.2.

5.5 Non-renewal: Untenured faculty members have no right to renewal of their appointments. The university may choose not to renew the appointment of an untenured faculty member for any reason provided the reason does not violate academic freedom. See Faculty Handbook Section III.F.3.

5.6 Termination: The employment of a tenured or untenured faculty member may be terminated at any time by the university as a sanction for misconduct. See Faculty Handbook Section III.A.25. The employment of a tenured faculty member may be terminated at any time by the university as a sanction following failure satisfactorily to complete remediation following a post-tenure review of a tenured faculty member. See Faculty Handbook Section III.E.8.m. Additionally, a faculty member may be terminated because of a financial exigency (Faculty Handbook Section III.F.4.a.), because of a program reduction, elimination, or discontinuance (Faculty Handbook Section III.F.4.b.), or because of the faculty member's inability to perform his or her job duties (Faculty Handbook Section III.F.4.c.).

5.7 A faculty member separated from employment is required to complete appropriate forms to finalize matters relating to their employment, including insurance, retirement, university property, and compensation. Failure to complete the appropriate forms may result in abandonment of rights or benefits. Faculty members are also required to return all university property (such as electronic equipment, JACards, travel cards, keys, parking permits, etc.) and grade books for the preceding academic year. (See Policy 1314 on Transfer or Separation from Employment and Faculty Handbook Section III.A.2.b.15.)

6. PROCEDURES

6.1 Non-renewal.
The procedures for non-renewal of a tenure track faculty member undergoing review for tenure are in the Faculty Handbook Section III.E.7. The procedures for non-renewal of a tenure track faculty member prior to undergoing review for tenure, and for RTA faculty members, are in the Faculty Handbook, Section III.F.3. Academic unit heads must submit a PAR to the Office of Human Resources for each non-renewal within three business days after the supervisor becomes aware of the employee's separation but always before the date of the faculty member's separation from employment.

6.2 Termination
The procedures for termination are found in the faculty handbook as follows:

As a sanction for misconduct: Section III.A.25.

As a sanction following a post-tenure review: Section III.E.8.

Financial exigency: Section III.F.4.a.

Program reduction or elimination: Section III.F.4.b.

Inability to perform for medical reasons: Section III.F.4.c.

Academic unit heads must submit a PAR to the Office of Human Resources for each faculty member who is terminated within three business days of the completion of appropriate procedures for termination.

6.3 Resignations and Retirements
Academic unit heads must submit a PAR to Human Resources for each faculty member who resigns or retires within three business days of notification, but always before the date of the close of the next pay period following the effective date of the resignation.

6.4 Expiration of Contract
No PAR is needed to document the separation of a faculty member whose contract expires.

6.5 At-will Employees
In order to separate an at-will employee from the university, the academic unit head must generate a PAR and send it to the Office of Human Resources within three business days of notification.

6.6 Campus Clearance
Upon receipt of the PAR reflecting a non-renewal, resignation, termination, or separation from employment, Human Resources will e-mail the faculty member's supervisor of record a notification indicating this employee has been separated from employment. This email includes a list of items (such as University property and grade books for the preceding academic year) the supervisor is responsible for obtaining from the employee. Human Resources will also notify pertinent departments of the employee's pending separation from the university. (Refer to University Policy 1314 Transfer or Separation from Employment for additional details.)

7. RESPONSIBILITIES

Faculty members are responsible for notifying the university in a timely manner of their intent to resign or retire.

Academic unit heads and direct supervisors are responsible for following the procedures for separation of faculty members from employment, submitting the PAR to the Office of Human Resources in a timely manner, and facilitating the return of all university property and grade books for the preceding academic year from the separating employee.

Deans are responsible for reviewing and approving all faculty separation practices and procedures used within their colleges and ensuring that the practices and procedures conform to university policies.

The Provost and Senior Vice President for Academic Affairs is responsible for reviewing and approving all faculty separation practices and procedures for instructional faculty.

The Director of Human Resources is responsible for processing the PAR's separating the faculty member from employment, and for communicating with the supervisor of record to facilitate the return of all university property. Human Resources will also send benefits-related information to the faculty member separating from the university and dependants as required by state or federal legislation.

When notified of a faculty member's pending separation, various departments (computer loans, parking, etc.) are responsible for contacting the faculty member to settle any outstanding accounts.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The procedures detailed in this policy do not apply to A&P faculty or to part-time faculty members. The policy on separation of Administrative and Professional faculty members is found in Policy 1335.

This policy does not apply to demotions, removals or changes in assignment, or termination of specific assignments or administrative appointments of faculty members who remain employed by the university. For the procedures on changes in appointments of faculty members, see Policy 2106.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Provost and Senior Vice President for Academic Affairs.

Previous Version: May, 2002
Approved by the President: May, 2002

Index Terms:

Expiration of Contract
Financial Exigency
Inability to perform
Nonrenewal
Program elimination
Program reduction
Resignation
Retirement
Separation
Termination

1209 Electronic Messaging

A variety of electronic communication mechanisms are available to individuals and groups at James Madison University. These electronic messaging systems are an alternative to paper-based letters, memos, posters, fliers and notices. They currently include such systems as electronic mail (e-mail), mailing lists, social media sites, news and instant messaging services, and web sites that are used for communication.

The university's electronic messaging systems provide a medium for information exchange in support of its teaching, research, service and administrative activities.

This policy sets forth responsibilities and principles that shall direct the use of JMU's electronic messaging systems, both internally and as part of the global electronic community.

1401 Reimbursement for Work-Related Education or Training from an External Source

1. PURPOSE

This policy outlines the university's plan to reimburse full-time employees who receive approved work-related education or training from an external source.

The purposes of the policy are to train employees (a) with work-related education in the use of new or modified equipment, (b) with work-related education in skills and knowledge required by changes in current positions, (c) with work-related education that maintains or improves skills required in the job, or (d) with work-related education to meet degree requirements in a program for which the employee is enrolled and the university does not offer an equivalent course.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

Internal Revenue Code Section 132(d) allows employers to exclude job-related educational expenses from an employee's income as a working condition fringe benefit. The exclusion is generally available for any form of educational instruction or training that improves or develops the job-related capabilities of the employee.

3. DEFINITIONS

Affiliate
An individual who has a formal affiliation (a necessary relationship exists between the university and the individual to provide a service of value to the university) with the university, and receives some services from the university, but is not a student or employee of the university, and receives no remuneration from the university.

Education Not Qualifying as Work-Related
Education does not qualify as work-related if it is needed to meet the minimum educational requirements of the employee's present job or is part of a program or study that will qualify the employee for a new job.

External Source
A source other than James Madison University.

Work-Related Education and/or Training
Education or training that is required by the university, law or regulatory agency to keep present salary, status or job; or training/education that maintains or improves skills required in the present job.

4. APPLICABILITY

This policy applies to all full-time employees.

5. POLICY

In support of the university's commitment to professional development of faculty and staff, the university may authorize reimbursement to full-time employees for the tuition of work-related education or for the costs of certain work-related training programs taken at other institutions.

This policy is designed to aid full-time employees who are expected to continue employment with the university for a period that will justify such educational assistance. This period will be determined by the applicable department.

5.1 ELIGIBILITY

The following eligibility guidelines and restrictions apply:

5.1.1 Employees must have been continuously employed by the university for a period of one year before applying for reimbursement.

5.1.2 Classified employees must have successfully completed their probationary period before enrolling in a course to be reimbursed.

5.1.3 The training/education must meet the definition of work-related education (see section 3, Definitions) to qualify for reimbursement.

5.1.4 Reimbursement will only be made for courses in which the employee receives a passing grade for courses or programs in which grades are awarded.

5.1.5 The cost of instruction must be paid by the employee in advance and reimbursement will be based on advanced approval and availability of department funds.

5.1.6 Reimbursement for courses taken will be made for costs up to, but not exceeding, in-state JMU tuition.

5.1.7 Employees eligible to receive veteran's benefits for education will be eligible for tuition reimbursement for that portion of tuition not covered by the Veterans Bill.

5.1.8 Courses authorized by this policy must be unavailable at James Madison University. Courses available at JMU should be taken under the on-campus waiver of tuition programs (Policy 1402 or Policy 1405).

5.1.9 Short-term workshops, institutes, symposia and other non-credit activities are not eligible for consideration under this policy (Policy 1403).

5.2 LIMITATIONS

5.2.1 Educational reimbursement will be limited to three courses per person during the fiscal year.

5.2.2 Educational reimbursement will not be made for dissertation-related courses, such as the courses required for ABD (All But Dissertation) status.

5.2.3 Classroom and study requirements will not be regarded as a basis for compensatory leave.

5.2.4 Tuition reimbursement will not be authorized for partial activity in, or for auditing, courses of instruction.

5.2.5 Application, readmission, laboratory fees, study materials, travel expenses, and meals are not to be included in the amount requested for reimbursement.

5.2.6 Courses meeting the IRS definition of work-related education will not be taxable.

5.2.7 Termination of employment, for any reason, prior to the completion of the course will make employees ineligible for any reimbursement.

6. PROCEDURES

Employees seeking reimbursement for courses taken under this policy must:

6.1 Prepare a Request for Tuition/Registration Reimbursement . Obtain authorization from the supervisor, department budget authority, and the appropriate vice president (or the appropriate designee) to participate.

6.2 Employees must arrange a schedule with their supervisor to make up missed time for course work taken during normal working hours.

6.3 The department budget authority will retain the Request for Tuition/Registration Reimbursement and provide a copy to the employee requesting reimbursement.

6.4 Within 30 days of the successful completion of work-related education or training, employees must submit the following information to the department budget authority:

  • A copy of the approved Request for Tuition/Registration Reimbursement.
  • A copy of the certificate, diploma, or grade report indicating successful completion of the course.
  • A copy of the receipt for payment of tuition.

6.5 The department budget authority will submit an accounting voucher payable to the employee, along with the supporting documentation listed above, to Accounts Payable.

6.6 The department budget authority will submit a report of all applications and awards to the Office of Equal Opportunity.

7. RESPONSIBILITIES

Supervisors are responsible for ensuring reimbursement is for work-related education or training. The responsibility of approving, denying, and paying reimbursement requests falls within the employee's department.

Vice presidents (or the appropriate designees) are responsible for submitting annual budget initiatives for tuition reimbursement and managing division fund allocations. They are also responsible for ensuring that the guidelines of this policy are followed. Each division is responsible for maintaining accurate records of applications and awards of tuition reimbursement. The division will request an annual initiative for use in support of this policy and then will manage any funds granted through the initiative during the fiscal year.

Accounts Payable is responsible for refunding the employee through the reimbursement process.

The Office of Equal Opportunity will review records of applications and awards for OEO compliance on a quarterly basis.

8. SANCTIONS

Sanctions will be commensurate with the severity and frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to part-time faculty, part-time employees, or affiliates.

Educational opportunities covered in Policies 1402, 1403 and 1405 are excluded from this policy.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous version: March, 2012
Approved by the President:

1603 Reporting Fraud, Waste and Abuse

The purpose of this policy is to establish procedures for reporting fraud, waste and abuse involving university property or resources.

1504 Rental Charges and Recoveries for Continuing Occupancy or Use

1. PURPOSE

The purpose of this policy is to (1) outline procedures for identifying rental areas, determining rental rates, assessing the impact of rental charges and recoveries on fees, and establishing internal rental billing and payment procedures; (2) clarify the circumstances under which the university may provide facilities support to research, public service, and non-university activities and organizations; and (3) detail acceptable arrangements relative to the payment of a rental or use charge when university owned facilities are occupied or utilized on a continuing basis by programs that receive no general fund support. This policy addresses the role of the office of budget management, building managers, occupants, and facilities management in ensuring that these objectives are realized.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 12-164.6;23-9.2:3. The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Major funding systems:
Internal programs supported by: (1) educational and general tuition, (2) comprehensive fee, (3) room fee, (4) board fee, or (5) other revenue sources such as grants and contracts.

Occupants:
Internal programs which reside in buildings that are supported by a different major funding system, research and public service activities which are fully or partially funded by outside agencies or organizations, or private foundations and other organizations which occupy or use university facilities on a continuing basis.

Building Managers:
Individuals with budgetary responsibility for the rental areas. This responsibility includes funding maintenance and utilities costs for the facility in which the rental area is located.

ATV:
Agency Transfer Voucher

4. APPLICABILITY

This policy applies to all real property that is owned, operated or leased by the university.

5. POLICY

The university has limited facilities available to support its various programs. The university seeks to manage its facilities in a manner that encourages activities that support and enhance the mission of the university in compliance with state policy. All space that is leased, operated or owned by the university is subject to rent by its occupants. The rental rates and requirements are determined using the procedures of this policy.

6. PROCEDURES

6.1 Rental Rate Development and Assessment

Identifying Rental Areas - The office of budget management will conduct a survey of building managers in the fall of each year to identify potential rental areas. The building managers will provide a detailed listing of the areas used by occupants in their facilities. The office of budget management will determine the square footage of the potential rental areas by referring to the facilities room inventory maintained in the office of space management. The office of budget management will prepare a summary detailing the location of all potential rental areas. The appropriate portions of this summary will be sent to each internal occupant for confirmation. The finalized listing will be forwarded to designated landlord (building manager) for use in distributing utility costs and identifying responsibility for payment of maintenance services.

Determining Rental Rates - Rental rates are based on local commercial rates for office, retail and storage properties. The office of budget management will determine the square footage rental rates in the fall of each year for inclusion in the new fiscal year's budget. Rental rates will be based on the outcome of a survey of local rental properties conducted annually by the Real Property Administrator. The office of budget management will adjust these commercial rates to reflect the cost of utilities and maintenance services for use in charging outside organizations. Internal occupants will be billed for rent and utilities by the designated landlord (building manager) for the facility. Internal occupants will be responsible for initiating and paying for all requested facilities management services, materials, and repairs made within their rented area.

Internal occupants and building managers are expected to comply with university Policy 4302 (Facility Modification/Maintenance) in regard to working closely with the maintenance department of facilities management to ensure that buildings are kept in a good state of repair.

6.2 Assessing the Impact of Rental Charges and Recoveries on Fees

The office of budget management will determine the impact of the rental charges, based on the identified rental area, by calculating the cost for each occupant and the recovery for each building manager. This information will be reflected as property rental (153510) expense for the internal occupants and continuous services recoveries (159900 or 159600, as appropriate) for the building managers in their budgets. Each unit manager is requested to confirm the accuracy of this information as part of the operating budget process.

Internal Programs - The office of budget management will provide a schedule detailing the annual facility rental expense and recovery by unit on or before July 1st of each year to building managers. The building manager and occupant need to agree on a mutually acceptable billing cycle of annual, quarterly, or monthly. The building manager will prepare internal occupant rental billings in accordance with section 4230 (Internal Transfers) of the university's financial procedures manual. The completed ATV will then be forwarded to the occupant for approval by the responsible official. The internal occupant will submit the approved ATV to accounting services. To ensure that the ATV is processed in the same month, the ATV must be submitted to accounting operations by the 15th of each month.

Sponsored Programs - This category includes research and public service activities that are fully or partially funded by outside agencies or organizations. The university may provide space or other facilities for such activities under one of the following arrangements.

Payment by the sponsoring agency of the standard university charge for the space or facility being occupied - This type of arrangement is appropriate in situations where an indirect cost recovery rate is not used, or when the indirect cost recovery is a small percentage of the grant or contract.

Documented in-kind matching arrangements - This type of arrangement is appropriate when the university is expected to contribute on an in-kind basis to the project or activity. An example would be a research grant that utilizes office or laboratory space that is assigned to a JMU faculty or staff member. In-kind payments resulting from the use of real property must be approved by the appropriate vice president and by the Senior Vice President for Administration and Finance.

The university may elect to provide space at no or reduced cost for a program that provides ongoing support for the university's mission. Arrangements of this nature must be approved by the appropriate vice president and by the Senior Vice President for Administration and Finance.

Outside Organizations - This category includes private foundations and other organizations that occupy or use university facilities on a continuing basis. Typically, the employees of these organizations are not employees of the university and the organizations themselves are separately incorporated. Examples are the JMU Foundation and professional associations. In those cases where an outside organization occupies space on a continuing basis, it is normally expected that the organization will pay the standard university charge for the space being occupied. Under certain circumstances, the university may initially waive all or a portion of the usual charge in order to attract organizations which support and enhance the mission of the university. However, any such arrangement must be approved by the appropriate vice president and by the Senior Vice President for Administration and Finance, and the waiver or reduction should not exceed a reasonable "start-up" period.

In those cases where a faculty or staff member is serving as an officer of a national, regional (multi-state), or state professional association, the university may provide certain facilities support, including the use of telecommunication and computing services. In addition, the university may authorize use of the campus post office if the organization holds a mailing permit. No office or other space will be provided to the organization in question without charge. However, no charge will be made for the faculty or staff member's regular office space. All such arrangements must be approved in writing by the vice president   to which the faculty or staff member is assigned and the Senior Vice President for Administration and Finance. Facility support shall coincide with the tenure of office. No facility support may be used for the personal use or personal gain of the faculty or staff member.

7. RESPONSIBILITIES

The office of budget management is responsible for: (1) identifying rental areas, (2) determining the rental rates to be charged each occupant on an annual basis, and (3) reflecting the impact of rental charges and recoveries in the operating budgets of the building managers and internal occupants.

Building managers are responsible for: (1) reporting the location of occupants residing in their facilities, (2) ensuring that their budgets reflect the appropriate level of recovery from rental areas and, (3) preparing internal occupant rental billings in accordance with section 4230, Internal Transfers, of the financial procedures manual issued by the office of the AVP for Finance. Rental billings will be prepared on a monthly basis or as mutually agreed by both the building manager and occupant. These recoveries will reduce the building managers need for funding from traditional revenue sources.

Internal occupants are responsible for: (1) verifying the accuracy of the rental areas assigned to their programs, (2) ensuring that their budgets reflect the appropriate level of facility rental costs and, (3) approving the ATV for payment. Facility rental costs represent a normal business expense and should be funded from the occupant's traditional revenue source.

8. SANCTIONS

Organizations and/or individuals external to the university who fail to comply with this policy may be disallowed from future use of university facilities. For employees, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Exceptions to this policy may be granted with the approval of the appropriate vice president making the request for relief from rental payments and the approval of the Senior Vice President for Administration and Finance.

10. INTERPRETATION

Authority to interpret this policy rests with the president, and is generally delegated to the Assistant Vice President for Budget Management.

Previous Version: September 2011
Approved by the President: April 2005

Index Terms
Rental
Facilities rental
Room rental
Facilities rental rates

1501 University Advertising

1. PURPOSE

The purpose of this policy is to maintain and enhance the consistency of James Madison University's public image presented in media advertisements, ensure a consistent usage of James Madison University's visual brand and messaging, maximize the impact of James Madison University's advertising expenditures by coordinating advertising procurement, and deliver measurable results.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

General University Advertising:
Paid or earned space in third party media (examples: Daily News-Record, WHSV) featuring JMU as a whole and not specific to any unit, school or program.

Unit or Event-Specific Advertising:
Advertising to promote university units, programs and special events.

External Advertising (Non-JMU Advertising):
Advertising that depicts or represents the university for the purposes of promoting an outside organization (Example: An advertisement for a car dealership using JMU property and/or images).

Other Advertising:
Typically includes employee recruitment efforts and employment opportunity announcements.

4. APPLICABILITY

This policy applies to all James Madison University employees and other non-university personnel and/or vendors who prepare official university advertising.

This policy applies to all paid and free advertising, including print, broadcast, web, social media and signage. If there are questions about advertising submissions, please contact the community affairs manager within the Office of Public Affairs.

Free advertising is covered by this policy if the market value is greater than $100.

5. POLICY

All General University Advertising must be submitted for approval by the Office of Public Affairs at advertising@jmu.edu

All agreements for External Advertising must be submitted to the Community Affairs Manager for approval.

All university advertising, including General University Advertising, Unit or Event-specific Advertising, and Other Advertising, must comply with all James Madison University Identity System standards as outlined in Policy 1502, as well as all procurement regulations as outlined in Policy 4201.

6. PROCEDURES

6.1. All proposed General University Advertising and accompanying materials, cost and placement information must be submitted to the Office of Public Affairs at advertising@jmu.edu a minimum of two weeks in advance of specified submission deadline. Unit or Event-specific Advertising must be submitted to the Office of Public Affairs two weeks in advance of the specified submission deadline, unless this is unrealistic.

6.2. General University Advertising is managed through the Office of Public Affairs. All proposals for general advertising must be submitted to the Community Affairs Manager via the university's advertising portal for review and approval.

6.3. Unit or Event-specific Advertising may be managed by the originating unit, program or event. Units are required under this policy to confer with the Office of Public Affairs. The Office of Public Affairs must coordinate all advertising to ensure consistency and accuracy of messages, maximization of institutional brand awareness and cost-effectiveness to the university.

6.4. Other Advertising may be managed through the originating unit or program and must adhere to JMU's visual identity standards. Communications and Marketing has established standards for typical, reoccurring advertisements such as employment opportunities, accessible online at http://www.jmu.edu/identity/index.shtml

6.5. External Advertising agreements are managed by the Office of Public Affairs.

6.6. Information regarding all university advertising via newspaper, radio, television and any alternative media forums will be maintained and updated by Procurement Services. Procurement Services will provide periodic advertising purchase reports to the Community Affairs Manager in the Office of Public Affairs.

7. RESPONSIBILITIES

The Community Affairs Manager is responsible for ensuring that consistent university design and copy standards, along with all procurement agreements, are met.

It is the responsibility of the head of a unit to ensure that the information contained in an official university advertisement is accurate and current, and that all new official advertisements for that unit comply with James Madison University Identity System editorial and graphic standards.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Advertisements that do not conform to this policy can be restricted or terminated.

9. EXCLUSIONS

Advertisements placed by the Office of Human Resources for employment-related activities are excluded from the provisions of this policy.

Advertising with a cost of less than $100 per placement are exempt from the provisions of this policy. Free advertising is exempt from this policy if the market value is less than $100.

Advertisements placed in campus media are excluded from the provisions of this policy.

Advertisements specifically for the athletics department are excluded from the provisions of this policy.

Advertising excluded from this policy must still comply with all of the university's visual identity standards and brand messaging.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Senior Vice President for University Advancement.

Previous Version: September, 2010
Approved by the President: December, 2013

Index Terms

Advertising
Promotion
Free advertising

1202 Information Systems Implementation & Project Management

This policy provides direction and requirements related to management of information technology projects of varying size, scope and cost.

1323 New Employee Orientation

1. PURPOSE

This policy provides the university's rules for new employee orientation.

2. AUTHORITY

The Board of Visitors is given the authority to establish personnel policies for all employees of the university. This power is delegated to the President in areas in which the Board of has not established policy. The President has mandated that new employees will receive an appropriate introduction to the university and their roles as members of the university community.

3. DEFINITIONS

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Classified Employee
At JMU, a non-faculty, full-time employee who is covered by the Virginia Personnel Act.

Instructional Faculty
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties.

Orientation
A systematic, strategic program designed to educate and inform new employees for the purpose of making their employment experience more fulfilling and their work more productive.

Wage employee
As defined by the Commonwealth, a wage employee is a part-time, temporary or seasonal employee who is limited to working no more than 1500 hours in any 365-day period.

4. APPLICABILITY

This policy applies to all full-time classified employees and where indicated to new wage employees and full and part-time faculty members.

5. POLICY

Orientation occurs in two phases. Phase One (traditional benefits, performance and compensation information) is required for all new full-time classified employees. Phase Two (non-traditional benefits) is strongly recommended for all new full-time classified employees and is optional for new wage employees and full and part-time faculty members.

6. PROCEDURE

The orientation program is designed to provide new employees with general information about the university and its programs, benefits and personnel policies and procedures. Phase One orientation is held every two weeks while Phase Two orientation is held every other month. New classified employees are scheduled for the Phase One and Phase Two orientation sessions closest to their employment date as part of their Onboard session.

Wage employees and full and part-time faculty are encouraged to attend and enroll in Phase Two orientation by having their supervisor e-mail the employee's name, e-mail address, and supervisor's name to jobs@jmu.edu or by calling the HR Service Center at 8-6165.

To assist supervisors in the orientation process, a departmental checklist, accompanied by the Welcome Letter, is sent to supervisors of classified employees by JMU's Employee Ombudsperson. Additions may be made to the checklist to cover unique departmental requirements. The signed letter and checklist should be returned to the Employee Ombudsperson to reside in the employee's personnel file in Human Resources.

7. RESPONSIBILITY

Division heads, deans, directors, department heads and supervisors are responsible for the application of this orientation policy. Supervisors are required to ensure that all new, full-time employees covered under this policy participate in Human Resource's Orientation sessions. In addition, division heads, AVPs, deans, directors, department heads and supervisors are responsible for providing newly appointed, promoted or transferred employees with job training and information specific to departmental operations.

Formal orientation sessions are the responsibility of Human Resources.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Faculty Orientation for new faculty members is coordinated by the Office of Academic Affairs and occurs in late August before the start of the fall semester. Faculty and wage employees do not attend Phase One orientation and are encouraged to attend Phase Two orientation.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: March 2009
Approved by the President: April 2002

Index of Terms
Orientation
New Employee Orientation

3101 Faculty/Staff Advisers to Student Organizations

The university offers students the opportunity of developing new interests, expanding cultural and social horizons, exercising leadership, serving their fellow human beings and finding outlets for social entertainment through recognized student organizations. The university considers these opportunities intrinsic to its educational mission since they encourage the total development of the student by providing an environment for social, cultural, emotional and personal growth.

While a large responsibility for a student's growth rests with the student, faculty/staff advisers are responsible for assisting students in developing and producing programs and experiences that will broaden their learning, apply and interrelate acquired knowledge, and create patterns of behavior that will lead to a richer, fuller life, which is uniquely and individually their own.

1210 E-Commerce

This policy outlines the criteria for James Madison University to ensure all university E-Commerce applications have been approved, implemented and maintained in conformity with applicable federal and state laws and regulations and university policies.

1307 Performance Evaluation of Administrative & Professional Faculty

This policy delineates the method for providing annual performance evaluations of administrative and professional faculty.

1112 Contingency Management Planning

Policy currently under revision

1. PURPOSE

This policy establishes the requirement for departments to maintain written contingency management plans and alternate procedures for dealing with disasters and extraordinary circumstances that (1) threaten the health and safety of the public and/or state workers, (2) could have a significant negative impact on the fiscal or legal integrity of university operations, or (3) interfere with the delivery of essential university programs.

2. DEFINITIONS 

Contingency:

A condition resulting from a natural or man-made occurrence that is of sufficient magnitude or duration to cause significant disruption in the accomplishment of agency program objectives. 

Contingency Management Planning:

The advance planning and preparations necessary to minimize loss of resources and provide reasonable assurance that critical university services and operations will be maintained in the event of a contingency. 

Contingency Management Plan:

A written plan to be enacted in the event of a disaster or other contingency. Such a plan includes an identification of critical functions, procedures for restoring these functions, assignment of responsibilities for activating and implementing the plan, and requirements for training, testing and maintenance activities related to the plan. 

Threat Assessment:

An analysis of the potential jeopardies which a department might encounter. Included are the loss of a building, loss of an essential item of equipment, and loss of key personnel.

3. RESPONSIBILITIES

Vice Presidents/Provosts are responsible for threat assessment and for identifying those critical departments, functions, and/or applications within their respective divisions for which contingency management plans and procedures are to be maintained. 
 
Department Heads/Directors are responsible for developing, maintaining, and testing contingency management plans as designated by the appropriate Vice President/Provost. 
 
4. REQUIREMENTS

Departmental contingency management plans and procedures should identify threats, specify individual responsibilities, and describe the actions to be taken in the event of a disaster or other contingency. Plans must be in writing and should be reviewed at least once a year. Testing of procedures should be conducted as appropriate. 
 
5. SPECIFIC REQUIREMENTS FOR INFORMATION-BASED APPLICATIONS

The Virginia Council on Information Management (CIM) has established specific requirements for identifying critical applications and developing contingency management plans (including disaster backup and recovery procedures) for automated and manual information-based systems. Such systems generate, manipulate or depend on data. The contingency management requirements and responsibilities for these systems are addressed in Policy 1206 (Contingency Management for Information-based Applications). 

Approved March 1, 1999 by Linwood H. Rose, President

1306 Extra Employment for Faculty and Exempt Staff Members Within the University

1. PURPOSE

This policy provides guidelines for the assignment of and payment for work at the university in addition to or instead of the regular assigned work of full-time instructional faculty members, Administrative and Professional faculty members and exempt staff members.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUE AND/OR REGULATION

The university's authority to grant additional pay for extra employment of faculty members is in some instances constrained by federal regulations. See the United States Office of Management and Budget (OMB) Circular A-21.

3. DEFINITIONS

Academic Unit Head (AUH)
An academic department head or its functional equivalent.

Administrative & Professional Faculty (A&P faculty)
Administrative faculty and professional faculty are normally referred to collectively, as both require advanced learning acquired by prolonged formal instruction and/or specialized training and work experience. However, the university recognizes administrative faculty and professional faculty as distinct position types.

Administrative Faculty positions are generally senior administrators who perform work related to the management of the educational and general activities of the university, for at least fifty percent of their work. Typically, administrative faculty serve in executive leadership roles such as vice president, provost, vice provost, dean, assistant or associate vice president, assistant or associate vice provost, or assistant or associate dean. Other administrative faculty roles can include (1) those responsible for the administrative direction of separately designated divisions or departments of institutional activity; (2) positions whose primary responsibility is to attract external funds; or (3) positions that are characterized by active, continuing involvement in formulating, interpreting and implementing institutional policy and exercise substantial independence, authority and discretion in areas such as program planning, design and allocation of resources. The organizational reporting relationship for administrative faculty is normally not lower than three levels below Executive Council positions. For Academic Affairs, this would include: Vice Provost/Dean (level 1), Academic Unit Head/Director (level 2) and Associate Director (level 3).

Professional Faculty require advanced learning and experience acquired by prolonged formal instruction and/or specialized work experience. Typical professional faculty positions are librarians, counselors, coaches, physicians, lawyers, engineers and architects. Other professional positions may support education, research, University Life and other such activities. Professional faculty positions must require the incumbent to regularly exercise professional discretion and judgment and to produce work that is intellectual and varied and is not standardized.

Contract Period
For the purposes of this policy, faculty members on an academic year appointment have a contract period defined by the university as lasting approximately nine months, from mid-August through mid-May. For faculty members on a 12-month, calendar or fiscal year appointment, this period is defined as lasting from July 1 through June 30. Other specific contract periods may be specified in the terms of an individual faculty contract. Exempt staff members are continuously employed throughout the calendar year but are not hired on a contract. For the purposes of this policy, exempt staff members are to be treated the same as faculty members on calendar year appointments.

Employment Period
The time period during which a faculty or exempt staff member is actively employed by the university. For faculty members on academic year contracts, this does not include the summer sessions.

Exempt Staff Member
A member of the classified staff who holds a position exempt from the overtime provisions of the Fair Labor Standards Act.

Instructional Faculty Member
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties.

Outside Employment
Work performed outside of any relationship with the University. The university policy on outside employment is Policy 1304.

Outside Funding Source
Any private, state or federal government entity providing funding to the university through a grant, contract, or other external sponsoring agency transaction with the university, including any other university and any foundation, including university-affiliated foundations.

Overload Employment
Any temporary, additional work accomplished by a faculty member or exempt staff member for the university during the employment period for extra compensation in addition to full, contracted workloads. The employee/employer relationship between the faculty member and the university remains intact during overload employment.

Reassigned Time
Time within the employment period during which a faculty member or exempt staff member is reassigned from normal duties to accomplish special assignments without additional compensation.

Sponsored Work
Any work performed by a faculty member or exempt staff member under a grant, contract or other external sponsoring agency transaction between the university and an outside funding source.

Summer Teaching
Classes taught by a faculty member on an academic year contract during one or more of the summer sessions at the university.

4. APPLICABILITY

This policy applies to all full-time instructional faculty members, A&P faculty members and exempt classified staff at the university. It applies to all work by the faculty member or exempt staff member for the university within or outside of the scope of the faculty member's or exempt staff member's regular assigned work, both during the term of the faculty member's or staff member's employment period and at times between contracted periods of employment (usually summer months).

5. POLICY

The assignment of duties for an instructional faculty member is determined by the AUH or supervisor in consultation with the faculty member and with the approval of the dean.

The assignment of duties for an A&P faculty member or an exempt staff member is determined by the faculty or staff member's supervisor.

Temporary assignment of extra work to be performed by the faculty or staff member during the employment period may result in additional pay or reassigned time only within the procedures herein.

No instructional faculty member, A&P faculty member or exempt staff member may be paid compensation by the university in addition to his or her regular salary for additional work unless the procedures of this policy are followed.

6. PROCEDURES

6.1. Overload vs. Reassigned Time during the employment period.

Instructional faculty members, A&P Faculty Members and exempt staff members may be temporarily assigned duties over and above their normal duties during the employment period. A faculty or exempt staff member may receive overload pay for assignments over and above his or her regular duties during the employment period. Alternatively, a faculty or exempt staff member may receive reassigned time from regular duties in order to perform special assigned duties during the employment period. Generally, reassigned time and overload pay may not occur at the same time. Reassigned time combined with overload pay, where the combination of extra duties and the duties remaining from the regular work load after reassigned time exceed the normal workload of the faculty or exempt staff member, require advanced approval in writing from the AUH or director, and the dean or the appropriate Assistant/Associate Vice President ("AVP").

6.2. Workload Adjustment or "Banking" Teaching Credit.

An instructional faculty member's workload may be adjusted by giving the faculty member reassigned time to reflect especially heavy teaching assignments in the immediate prior or current, semester. With approval of the AUH or supervisor and dean, an instructional faculty member may teach an especially heavy load in one semester and "bank" the course(s) taught, such course(s) to be exchanged for reassigned time (a reduced teaching load) during the next regular employment period semester.

6.3. Approval.

Overload employment must be approved by the department head or director, and the dean or the AVP.

6.4. Reassigned Time.

Reassigned time is determined and assigned by the AUH or director, with the concurrence of the dean or AVP. Reassigned time from normal duties (without a corresponding reduction in salary) is authorized only for official university or Commonwealth business. For an instructional faculty member, reassigned time must be reflected on the instructional faculty member's Anticipated Activity Plan submitted to the AUH. See Faculty Handbook, Section III.E.4.a.

6.5. Externally Sponsored Work During the Employment Period.

Work performed under a university grant, contract or other sponsoring agency transaction with an outside funding source during the employment period is usually not considered an overload assignment. A faculty or exempt staff member may not be paid additional compensation for such work unless specific federal regulations are met. To meet federal regulations (OMB Circular A-21), the following three tests must be met:

  1. Work must be in addition to the faculty or exempt staff member's regular duties,
  2. Additional compensation for the work performed by the faculty or exempt staff member must be approved in advance by the granting or contracting agency, and
  3. The work of a faculty or exempt staff member must either be across departmental lines or for a different division or college (i.e., from the division or college in which the faculty or exempt staff member performs under his or her regular employment), or must occur at a remote location from the faculty or exempt staff member's regular workplace.

The pay for such additional work must be proportional to the rate of pay under the faculty or exempt staff member's regular employment. For details, see the Office of Sponsored Programs.

6.6. Sponsored work outside of the Employment Period for Employees on Academic Year or Shorter Contracts.

Work performed and paid by an outside funding source during non-employment periods (i.e., the summer if the faculty member is on an academic year appointment) may be considered an overload assignment or a separate contractual arrangement, depending on the application of specific federal regulations (OMB A-21). In either case, the total compensation for such additional work and all other work performed outside of the employment period by the faculty or exempt staff member for the university is strictly limited to a proportional part of the regular base salary (i.e., for summer work by an academic year faculty member, one-third of the faculty member's regular academic year base salary for work taking all three months of the summer, or proportionally less for less time worked). If it is determined that such work constitutes an overload and all other federal requirements are met, the assignments will be made by submitting appropriate documentation to Human Resources to hire/rehire the faculty or exempt staff member as a temporary employee, as described in policies 1311 and 2201. For details, see the Office of Sponsored Programs.

6.7 A&P Faculty and Exempt Staff Members and Teaching

A&P faculty members and exempt staff members may only be compensated for teaching courses that are scheduled to meet outside their regular scheduled working hours. A&P faculty and exempt staff members may agree to teach courses during their regular scheduled work hours as reassigned time with the approval of their supervisor, but may not receive additional compensation for teaching the course(s).

6.8. State Regulations

Faculty and exempt staff members employed by the university are employees of the Commonwealth, and during the term of their employment they may engage in work for the Commonwealth in only one of the following four categories:

  • As intended in their employment contract. (No extra compensation authorized.)
  • As assigned by the president, senior vice president, dean or department head/director as reassigned time. (No extra compensation authorized.)
  • As assigned by the president, senior vice president, dean or department head/director for a work overload. (Extra compensation as authorized; appropriate documentation must be submitted to Human Resources to affect the additional compensation.)
  • In unusual circumstances, as a private contractor, when a proper contract has been duly negotiated and signed by the university in accordance with state directives. All service contracts of this nature will be issued by the AVP for Finance in accordance with state directives. In general, an employee may not have a personal interest in a contract with the university other than his or her employment contract. However, in certain circumstances, exceptions may apply. In these instances, Conflict of Interests regulations will be strictly enforced. See Policy 1106, Conflict of Interest.

7. RESPONSIBILITIES

The AUH or supervisor is responsible for the assignment of duties to an instructional faculty member, in consultation with the faculty member.

The supervisor is responsible for the assignment of duties to an A&P faculty member or exempt staff member.

The dean or AVP is responsible for reviewing such assignments, and for approving any overload pay.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment

9. EXCLUSIONS

This policy does not apply to any instructional or A&P faculty member, or exempt staff member performing work entirely outside of the scope of employment with the university as an independent contractor. But see Policy 1106, Conflict of Interest.

This policy does not apply to work performed by the faculty member for any other employer. See Policy 1304, Outside Employment of Faculty.

Payment for teaching that occurs outside of the employment period and is not part of the regular duties of an instructional faculty member, A&P faculty member, or exempt staff member is negotiated between the faculty member and his or her AUH or supervisor, and is not legally restricted in amount if no sponsored work is performed by the faculty member during the period outside of the employment period. However, in general, the pay should not exceed a rate of pay proportional to the faculty member's regular salary.

This policy does not apply to resources spent by the university as payment for professional development of faculty members.

This policy does not apply to bonuses, salary increments, or monetary awards given by the university in recognition of performance.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Provost and Senior Vice President for Academic Affairs where it concerns Instructional Faculty and the appropriate senior vice president where it concerns A&P Faculty or exempt staff members.

Approved by the President: November, 2005
Previous version: October, 2008

Index Terms

Overload
Reassigned time
Extra pay
Grants and contracts
Sponsored Programs

1207 Appropriate Use of Information Technology Resources

1. PURPOSE

The purpose of this policy is to provide direction to members of the university community regarding safe and responsible use of university technology resources and to outline the obligations they have as a whole and individually to abide by established standards of acceptable use. 

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

Consistent with the University’s Memorandum of Understanding granting Level II delegation from the Commonwealth under the Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 and in keeping with the other university technology policies, JMU exercises independent authority for issuing policy and establishing requirements related to technology management for the institution.

3. Definitions

Harassment:
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

System Security Mechanism:
A procedure, program, or device used with a computer to implement or enforce access controls, auditing, authentication, confidentiality, authorization, policy settings or other security measures.

University (JMU) Information Technology Resources:
These include, but are not limited to, equipment, software, systems, networks, data, and communication devices (stationary and mobile) owned, leased or otherwise provided by JMU.

4. APPLICABILITY

This policy applies to all members of the university community who use the university’s information technology resources.  This includes, but is not limited to students (applicants, current and graduates), faculty, staff, guests, and external individuals or organizations. The policy applies regardless of the methods of access, whether initiated from on or off-campus and whether using university-owned, privately-owned or third-party systems or networks.

5. POLICY

JMU provides a variety of public and non-public information technology resources to provide services, encourage free exchange of ideas and support information sharing. Access to these resources is privilege governed by certain regulations and restrictions. These include university policies, procedures and standards, as well as applicable local, state, and federal laws/regulations. 

Authorized users are offered the most reliable and reasonably broad access to information technology resources possible.  And in return for these access privileges, the user agrees to behave ethically, appropriately, and responsibly in their use of the resources.  This means that each person who accesses or uses university information technology resources accepts the responsibilities outlined here and in other university policies and standards. In addition, users will adhere to applicable local, state and federal laws/regulations.

Under some circumstances, actions must be taken to preserve the security, integrity and/or availability of university information technology resources or to respond to legal inquiries.  Therefore, at the discretion of university senior management, files, data, or communications may be reviewed as necessary with cause, and individuals are not entitled to any expectation of privacy.  The university also reserves the right to suspend or discontinue access to university information technology resources as necessary.

6. PROCEDURES

Due to the openness of JMU's network, virtually all systems are connected internally and to external resources as well.  Improper operation of such systems can result in compromise or operational disruption of the JMU network and related services and data. Thus, there are special requirements related specifically to network-connected devices. These requirements apply to all devices connected to or accessing the JMU network.

Though specific requirements/operating practices may vary somewhat with specific aspects of the environment, users are expected to follow best practices for effective and secure operations.   For example, it is expected that available protections such as security configuration settings, anti-virus software, software/service updates, and account/account-level access controls are used whenever one is accessing JMU information technology resources.  

More specific requirements for the use of JMU information technology resources are communicated through university information technology policies and standards and those otherwise related. Users are responsible to ask questions and assure their own understanding of these requirements.

7. RESPONSIBILITIES

7.1.   User Responsibilities:

As a user of JMU information technology resources, each user shall:

  • use only those information technology resources for which s/he has authorization
  • use information technology resources and data only their intended purposes
  • refuse to provide or share access to university information technology resources with those who are not authorized
  • abide by applicable laws/regulations and university policies, including, but not limited to, those related to copyright and intellectual property
  • respect the security (confidentiality, integrity and availability) of information technology resources
  • respect the privacy and personal rights of others including, but not limited to the right to be free from intimidation or harassment
  • use and operate information technology resources in a manner that respects established controls and minimizes the risk of adverse effects or unavailability to others
  • accept responsibility for his/her behavior, for any use of his/her user credentials, and for the operation of any device(s) they own, use or are assigned
  • upon notification, comply with requests to discontinue activity or behavior that violates this or other applicable policies or regulations
  • not use university information technology resources for personal/financial gain, political activities, or fraudulent, harassing or illegal activities. 
  • report any violation of security or appropriate use to abuse@jmu.edu or to the university’s Information Security Officer
  • report suspected possible fraudulent transactions involving university information technology resources to Audit and Management Services (see Policy 1603, Reporting of Suspected Fraudulent Transactions)

7.2.   University employees:

Further, in using university information technology resources, employees shall:

  • refrain from operating computer games using university information technology resources other than for academic instruction
  • comply with any statute or regulation applicable to university employees including, but not limited to, Commonwealth of Virginia DHRM Policy 1.75 (Use of Electronic Communications and Social Media) and Code of Virginia sections prohibiting employees from accessing sexually explicit materials
  • adhere to university policies and standards for procurement/development of technology systems/services and their operation, maintenance or modification.

7.3.   Other Responsibilities:

The university’s Assistant Vice President (AVP) for Information Technology, Information Security Officer, and other IT staff have responsibilities assigned by the university as part of their job responsibilities.

Because of their leadership positions and control over resources, AVP’s, deans, and other academic/administrative unit heads, along with principal investigators (PIs) can play a critical role in the use and protection of JMU information resources. They are expected to influence appropriate use outcomes by:

  • ensuring that security is given appropriate consideration, along with functionality, performance, ease-of-use, cost, and availability, in the planning and implementation of new projects and services
  • making computer security a staffing, funding, and training priority. Additionally, PIs can specify the cost associated with security as a direct cost in grant proposals
  • encouraging responsible attitudes and behaviors within the units they lead by communicating the importance of addressing security issues and by requiring all staff members to be accountable for the security of their network-connected devices
  • acknowledging that administration of information technology resources takes specialized skills and helping ensure that qualified people and necessary resources are available; and
  • enabling quick and effective response to violations of appropriate use or when a security breach occurs.

8. SANCTIONS

8.1   Regarding employees, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

8.2   Regarding students, sanctions will be commensurate with the severity and/or frequency of the offense and may include suspension or expulsion.

8.3   In addition, responses for violation of this policy may include, but are not necessarily limited to, the following:

  • Notification:  alerting a user to what appears to be an inadvertent violation of this policy in order to educate the user to avoid subsequent violations.
  • Warning: alerting a user to the violation, with the understanding that any additional violation will result in a greater penalty.
  • Loss of computer and/or network privileges:  limitation or removal of computer and/or network privileges, either permanently or for a specified period of time.
  • Restitution for damages:  requiring reimbursement for the costs of repair or replacement of computer-related material, equipment, hardware, software, data and/or facilities. In addition, such reimbursement shall include, but not necessarily be limited to, the cost of additional time spent by university employees due to the violation.
  • Finally the violator may be subject to criminal or civil penalties as they apply.

8.4   The university considers any violation to be a serious offense in its efforts to preserve the privacy, data, and services of individuals and the university. In the case an investigation is begun related to policy and/or legal violations, the university's officials reserve the right to access, examine, intercept, monitor, and copy the files, network transmissions, and/or on-line sessions of any user. The university may choose to suspend a user's access to its resources in connection with investigation of (but not limited to) any of the following:

  • violations or suspected violations of security and/or policies
  • activities which may be contributing to poor computer performance
  • computer malfunctions.

8.5   In connection with such investigations, users whose files, network transmissions, or computer sessions are affected are deemed to have acknowledged that they are not entitled to any expectation of privacy with regard to their files, data or communications, which may be shared with appropriate investigating officials.  In general, the university will exercise discretion as far as is appropriate given the case.

8.6   The university's Office of Audit and Management Services (as well as appropriate JMU or external law enforcement agencies) may be notified of the violation and provided with information and materials relating to the investigation and/or violation.

9. EXCLUSIONS

None.

10. INTERPRETATION

Authority to interpret this policy rests with the President, and is generally delegated to the Assistant Vice President for Information Technology.

Previous Version: April 2012
Approved by the President: April 2002

Index Terms

Intellectual property
Information security
Abuse of technology
Use of technology

1309 University Closings, Class Cancellations and Exam Postponements Due to Inclement Weather or Emergencies

1. PURPOSE

The purpose of this policy is to establish a process by which the university may close or cease parts of its operation in response to inclement weather or emergencies.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Authorized closing:
The closing of university operations, as determined by the President or a designee, for specific periods of time as needed. An authorized closing may be for a full or partial shift, such as in the case of delayed openings or early closings.

Designated Employee:
Those employees identified by the employing department whose work is essential to university operations and are required to work during periods of authorized closings.

Emergency conditions:
Those conditions, as determined by the President or a designee, that severely hamper employees from traveling to and from work, reporting to or remaining at work (including but not limited to inclement weather, utility failure, sustained flu pandemic, fire or other forced evacuations).

Non-designated Employee:
Those employees who are not required to work during an authorized closing. For purposes of identification in media announcements, these employees will be identified as 'non-designated employees.'

4. APPLICABILITY

This policy applies to all JMU employees.

5. POLICY

This policy is designed to establish the guidelines and procedures for university closings, class cancellations and for the compensation of designated employees.

PROCEDURES

James Madison University is primarily a self-contained campus with a large number of residential students requiring a variety of support services, regardless of inclement weather conditions or emergency situations. For the safety and well-being of its students and employees, the university may close or limit its services based on inclement weather or other emergencies.

6.1 Closing Decisions

Decisions to close university operations (those operations that do not operate in emergency or inclement weather conditions) will be made by the president or a designee. Individual vice presidents, the executive assistant to the president, deans, directors, department heads and supervisors are not authorized to make closing decisions in their areas. The president or a designee may make such a decision at any time during the calendar year to protect the best interest and welfare of the university community. Should inclement weather or emergency conditions dictate that the university operate with only inclement weather or emergency operations services, one of the following procedures will be followed:

  • Inclement weather or emergency conditions that occur between 8 a.m. and 5 p.m.
    • When a drastic change in weather conditions or an emergency situation occurs between 8 a.m. and 5 p.m., the Office of Public Safety, in cooperation with state and local police, the director of facilities management, and other staff personnel, gathers information on conditions and informs the Senior Vice President for Administration & Finance. The Senior Vice President for Administration & Finance provides the President with a recommendation and the President determines whether non-inclement weather staff operations will close.
    • If the decision to close is made, the Senior Vice President for Administration & Finance notifies the Director of Public Affairs and University Spokesperson. The Director of Public Affairs and University Spokesperson and his/her staff place appropriate announcements to:
      • JMU Weather Line (540) 433-5300
      • JMU radio station 1610AM
      • JMU's home page
      • Area radio and television stations.
      • JMU Office of Public Safety, who in turn is responsible for announcements on Emergency Notification System
    • If the university is open at the time the announcement is made, division heads and the executive assistant to the president will make arrangements for contacting departments within their divisions. Announcements made during the time period affect early closings for first shift employees and possible shift closings for employees who work other than first shift. Announcements will include the following:
      • Start and stop times of shift closings;
      • Reference to all shifts affected by the closing;
      • Reference to Saturday and Sunday closings, as appropriate.
  • Inclement weather and emergency conditions that occur between 5 pm and 11 pm
    • The same procedure as outlined above is followed. The Director of Public Affairs and University Spokesperson and staff place notifications as noted above by 9:00 pm Announcements are made in time to inform night shift employees whose start time is 10:30 pm.
  • Inclement weather or emergency conditions between 11 pm and 8 am.
    • The Office of Public Safety gathers information concerning the conditions and contacts the Senior Vice President for Administration & Finance by 5:00 am. The Senior Vice President for Administration & Finance notifies the Director of Public Affairs and University Spokesperson who makes appropriate notifications as noted above by approximately 5:30 am. Announcement of the decision should be made as soon as possible to inform employees whose shift begins at 6:30 am. Procedures should be developed within each department to notify employees whose shifts begin prior to 6:30 am.

6.2 Classes & Exams

Decisions to close university operations will be made by the president or a designee. If the decision to close is made, announcements will be made on JMU radio station 1610AM, on the JMU Home Page, on the JMU Weather Line (540) 433-5300 and on area radio and television stations.

When it is necessary to cancel classes due to weather or other emergency, faculty members have several options for making up missed instructional time.

  • Hold class on the official university make up day, which will be designated as part of the closing announcement.
  • Hold class at another time acceptable to class members. The department will arrange time and location.
  • Hold class electronically, using a web-based source such as Blackboard.
  • Accommodate for the missed instructional time within remaining class meeting time.

NOTE: If the university is closed because of inclement weather conditions or emergency situations, faculty members are prohibited from requiring students to attend events, classes, laboratories or any other functions on campus. However, students who are participating in off-campus activities such as internships, practica, student teaching or health services placements, or other assigned coursework at locations remote from campus, will still be required to keep and attend their assigned placements, unless the placement site is closed or the student is unable to safely reach the placement site. It is the responsibility of the student to contact the placement site to receive instructions on attendance at the site, and to notify the instructor of record in the course of any closings of the placement site or inability to reach the placement site because of closings or inclement weather conditions.

6.2.1 Final Examinations Missed or Rescheduled Due to Inclement Weather or Emergency Closing

In response to inclement weather and other emergencies, the university may be forced to cancel or reschedule final examinations. Decisions to close university operations will be made by the President, or a designee. If the decision to close the university and reschedule final examinations is made, announcements will be made as noted above.

When the university closes due to weather or other type of emergency, faculty will administer regularly scheduled examinations at a time designated by the university unless otherwise announced in the course syllabus. The official make up time will be designated as part of the closing announcement. Unless otherwise notified, examination locations will be the same as the location for the regularly scheduled exam.

If it is determined that exams cannot be given because of inclement weather or other emergency, faculty will assign final grades to students based on the exams, tests and projects completed prior to the regularly scheduled exam date.

6.3 Faculty & Staff

It is the policy of the university to provide classified staff members pay continuity for absences necessitated by the authorized closing of operations due to inclement weather conditions or other emergencies such as utility failure, fire and other forced evacuations.

  • Designated Staff who work their normally scheduled shifts during an authorized closing, whether an entire shift closing or a partial shift closing, will be credited with compensatory leave for those hours worked. Employees telecommuting during an authorized closing would not receive compensatory leave.
  • Designated Staff required to work in excess of the hours in their normally-scheduled shift will be compensated in accordance with the Fair Labor Standards Act for the excess time worked (i.e., overtime payments), provided they are in a non-exempt classification.
  • Designated Staff who do not report to work as scheduled must charge time missed to annual leave, compensatory leave or leave without pay as appropriate.
  • Employees are expected to report to work on time. However, when conditions create transportation difficulties that result in late arrival of classified employees, supervisors may authorize up to two hours of such lost time as an authorized absence not charged as leave. Supervisors should decide each case on its own merits.
  • Corrective action for failure to report may be taken under the Standards of Conduct and Performance policy.
  • Employees who are on approved leave with pay for an authorized closing day will not be charged leave for the day.
  • Annual, compensatory leave or leave without pay must be charged, as appropriate, when a designated employee leaves before the end of the shift during an authorized closing.

Wage (part-time employees)

  • Wage employees who are considered Designated Staff under the provisions of this policy will receive an additional half-hour pay for each hour they work during an authorized closing.
  • If an authorized closing falls on a wage employee's regularly scheduled day off, the employee will not report to work and will not be paid nor receive compensatory time for the day.

6.4 Compensation for Entire Shift Closing - Non-Designated Employees

  • To be eligible for pay, Non-Designated Staff must work or be on paid leave the work day before and the work day after the authorized closing.
  • Employees who are eligible will be paid for the hours they are scheduled to work, as follows:
    • Non-exempt ('hourly') employees will be paid for the number of hours they were scheduled to work during the authorized closing
    • Exempt ('salaried') employees will be paid for a full day for each full day the University is closed during an authorized closing
    • Employees who work an alternate schedule will be paid for the hours they were scheduled to work during the authorized closing. If an employee's normal work schedule is more than the period of the authorized closing, the additional hours not worked must be charged to leave or leave without pay as appropriate or be worked at a later time in the same workweek.

Example
A full-time employee (40 hours per week) is scheduled to work four ten-hour days Monday through Thursday. An entire shift closing is authorized for the first two shifts on Monday and for the first shift only on Tuesday. The employee will be paid for ten hours on Monday and eight hours on Tuesday. The additional two hours on Tuesday that the employee was scheduled to work beyond the end of the shift closing must be charged to leave balances or to leave without pay as appropriate.

Another alternative, subject to the supervisor's approval, would be to adjust the employee's work schedule to work an additional two hours later in the same workweek.

  • Employees who are on approved leave with pay for an authorized closing day will not be charged leave.
  • Employees who report to work as a result of not having heard the shift closing announcement will be paid their regular rate of pay but shall not be credited with compensatory leave except in extenuating circumstances approved by the president or designee.
  • Employees whose resignations are effective the day of an all-day closing will not qualify for payment, and the separation will be effective the last actual day worked unless the closed day falls on the last workday of the pay period.
  • In the event of an authorized closing, a supervisor may change the status of any classified staff member to Designated Staff based on the needs of the university. The compensation guidelines relative to the new status would apply.

6.5 Compensation for Partial Shift Closing - Non-Designated Employees

  • Employees who are on pre-approved leave with pay or who contact their supervisor requesting leave (and it is approved by the supervisor) on the day of a partial shift closing shall have only the hours of operation charged to their leave balances.
  • Employees are expected to be at work on time. However, when conditions create transportation difficulties that result in late arrival of employees, supervisors may authorize up to two hours of such lost time as an authorized absence not charged as leave. Supervisors should decide each case on its own merits.
  • Employees who are allowed to leave work prior to an announcement of an early closing must charge the difference between that time and the official closing time to leave balances or leave without pay.

7. RESPONSIBILITY

It is the responsibility of senior vice presidents, the executive assistant to the president, division heads, academic deans, department heads, directors and supervisors to ensure that the provisions of this policy are reviewed with employees and administered to all employees in a consistent manner.

Management should inform appropriate employees in writing that they will be required to work during authorized shift closings. It is recommended that these employees ('Designated Staff') be notified at the time of employment, or annually just prior to the winter season, or when it can be predetermined that for certain types of emergencies these employees' services will be necessary.

It is the responsibility of the supervisor to provide accurate time and leave information to Human Resources.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination.

EXCLUSIONS

Not applicable

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: June, 2008
Approved by the President: September, 2010

Index of Terms

Inclement weather
Snow day
University closing
Emergency closing
Class cancellation
Cancellations

1405 Faculty-Staff Waiver of Tuition Program for Degree-Seeking Course Work at JMU

The purpose of this policy is to outline the university’s waiver of tuition program for degree-seeking course work at James Madison University in support of the university’s commitment to employee personal and professional development.

4104 Student Loan Activities

1. PURPOSE

The Higher Education Opportunity Act (HEOA) that must be executed by all institutions participating in Title IV financial aid programs including student loan programs requires a code of conduct with which the institution's officers, employees, and agents shall comply. Such code must prohibit a conflict of interest with the responsibilities of an officer, employee, or agent of an institution with respect to such loans, and include the provisions set forth in the HEOA related to conflicts.

2. AUTHORITY

This policy is required by and complies with provisions from the HEOA, specifically Section 493 as its Code of Conduct Related to Student Loan Activities. James Madison University (JMU), as a participant in federal loan programs, is required to have a code of conduct applicable to the institution's officers, employees, and agents. While the university has existing policies that address conflicts of interest, the code of conduct established by this policy is specifically related to student loan activities and is an additional requirement specific to certain transactions and activities related to financial aid matters.

3. DEFINITIONS

Agent:
An officer or employee of a covered institution or institution-affiliated organization.

Conflict of Interest:
A conflict of interest occurs when a university employee or officer, or a member of his or her immediate family has a personal interest, or benefits or suffers from his or her participation in a contract or transaction considered by JMU.

Covered Institution:
Any institution of higher education, as that term is defined in section 102 of the HEA, which receives any Federal funding or assistance.

Employee:
Full-and part-time faculty; classified employees, administrative staff; and students who are paid for specific work by the university. Students may be employees for some purposes and not for others. If they are paid as student assistants, for example, or given grants to do specific research, they will be employees. Students receiving general scholarship or stipend funds would not normally be considered employees.

Gift:
Any gratuity, favor, discount, entertainment, hospitality, loan, or other item having a monetary value of more than a de minimus amount. The term includes a gift of services, transportation, lodging, or meals, whether provided in kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has been incurred.

Higher Education Opportunity Act:
Public Law 110-315 (HEOA) was enacted on August 14, 2008, and reauthorizes the Higher Education Act of 1965, as amended (the HEA). The HEOA makes a number of changes to programs authorized under the HEA, authorizes new programs, and makes changes to other laws.

Officer:
A director or trustee of a covered institution or institution-affiliated organization, if the director or trustee is treated as an employee of the institution or organization.

Institution-Affiliated Organization:
Any organization that is directly or indirectly related to a covered institution, and is engaged in the practice of recommending, promoting, or endorsing education loans for students attending such covered institution or the families of such students. Such an organization may include an alumni organization, athletic organization, foundation, or social, academic, or professional organization of a covered institution.

Lender:
An eligible lender in the FFEL Program, the Department for the purpose of the Direct Loan Program, and a private educational lender as defined in section 140 of the TILA for purposes of private educational loans.

Preferred Lender Arrangement:
An arrangement or agreement between a lender and a covered institution, or an institution-affiliated organization of such covered institution, (1) under which the lender provides or otherwise issues education loans to students attending such covered institution or the families of such students and (2) involves the covered institution or institution-affiliated organization recommending, promoting, or endorsing the lender's education loan products. Such an arrangement does not include an institution participating in the Direct Loan Program or arrangements or agreements under the PLUS auction pilot program (see Title IV-Student Assistance, Title IV Programs-General, Competitive Loan Auction Pilot Program for Federal FFEL Parent PLUS Parent Loans).

Private Education Loan:
Has the meaning given the term in section 140 of the Truth in Lending Act and means a loan provided by a private educational lender that is not a Title IV loan, is issued expressly for the postsecondary educational expenses of the borrower regardless of whether the loan is provided through the educational institution that the subject student attends or directly to the borrower from the private educational lender, and does not include an extension of credit under an open end consumer credit plan, a reverse mortgage transaction, a residential mortgage transaction, or any other loan that is secured by real property or a dwelling.

Revenue Sharing Arrangement:
An arrangement between an institution and a lender under which -

  • a lender provides or issues a loan that is made, insured, or guaranteed under this title to students attending the institution or to the families of such students; and
  • the institution recommends the lender or the loan products of the lender and in exchange, the lender pays a fee or provides other material benefits, including revenue or profit sharing, to the institution, an officer or employee of the institution, or an agent.

Student Loan:
Any Federal Family Education Loan (FFEL), Direct Loan, or private education loan.

4. APPLICABILITY

James Madison University, as a participant in federal loan programs, is required to have a code of conduct applicable to the institution's officers, employees, and agents.

5. POLICY

5.1 Ban on Revenue Sharing Arrangements
The university will not enter into any revenue-sharing arrangement with any lender.

5.2 Gift Ban
No officer or employee of the institution who is employed in the financial aid office of the institution or who otherwise has responsibilities with respect to education loans, or agent who has responsibilities with respect to education loans, shall solicit or accept any gift from a lender, guarantor, or servicer of education loans.

5.3 Contracting Arrangements Prohibited
An officer or employee who is employed in the financial aid office or who otherwise has responsibilities with respect to education loans, or an agent who has responsibilities with respect to education loans, shall not accept from any lender or affiliate of any lender any fee, payment, or other financial benefit (including the opportunity to purchase stock) as compensation for any type of consulting arrangement or other contract to provide services to a lender or on behalf of a lender relating to education loans.

6. PROCEDURES

Gifts for Family Members

A gift to a family member of an officer or employee of an institution, to a family member of an agent, or to any other individual based on that individual's relationship with the officer, employee, or agent, shall be considered a gift to the officer, employee, or agent if-

  • the gift is given with the knowledge and acquiescence of the officer, employee, or agent; and
  • the officer, employee, or agent has reason to believe the gift was given because of the official position of the officer, employee, or agent.

7. RESPONSIBILITIES

The Financial Aid Director is responsible for the management of this policy, including meeting all requirements of the HEOA related to publication of the code and annual disclosures and annual distribution of the Code of Conduct to all university officers, employees and agents with responsibilities related to student loan activities.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment or expulsion from the university.

Further and specifically, violations of university policies, including the failure to avoid a prohibited activity or disclose a conflict of interest in timely manner, will be dealt with in accordance with applicable university policies and procedures, which may include disciplinary actions up to and including termination from the university.

9. EXCLUSIONS

The term 'gift' shall not include any of the following:

  • Standard material, activities, or programs on issues related to a loan, default aversion, default prevention, or financial literacy, such as a brochure, a workshop, or training.
  • Food, refreshments, training, or informational material furnished to an officer or employee of an institution, or to an agent, as an integral part of a training session that is designed to improve the service of a lender, guarantor, or servicer of education loans to the institution, if such training contributes to the professional development of the officer, employee, or agent.
  • Favorable terms, conditions, and borrower benefits on an education loan provided to a student employed by the institution if such terms, conditions, or benefits are comparable to those provided to all students of the institution.
  • Entrance and exit counseling services provided to borrowers to meet the institution's responsibilities for entrance and exit counseling as required by subsections (b) and (l) of section 485, as long as-
    • the institution's staff are in control of the counseling, (whether in person or via electronic capabilities); and
    • such counseling does not promote the products or services of any specific lender.
  • Philanthropic contributions to an institution from a lender, servicer, or guarantor of education loans that are unrelated to education loans or any contribution from any lender, guarantor, or servicer that is not made in exchange for any advantage related to education loans.
  • State education grants, scholarships, or financial aid funds administered by or on behalf of a State.

Exclusions/exceptions regarding officers and employee. This policy does not prohibit:

  • an officer or employee of an institution who is not employed in the institution's financial aid office and who does not otherwise have responsibilities with respect to education loans, or an agent who does not have responsibilities with respect to education loans, from performing paid or unpaid service on a board of directors of a lender, guarantor, or servicer of education loans;
  • an officer or employee of the institution who is not employed in the institution's financial aid office but who has responsibility with respect to education loans as a result of a position held at the institution, or an agent who has responsibility with respect to education loans, from performing paid or unpaid service on a board of directors of a lender, guarantor, or servicer of education loans, if the institution has a written conflict of interest policy that clearly sets forth that officers, employees, or agents must recuse themselves from participating in any decision of the board regarding education loans at the institution; or
  • an officer, employee, or contractor of a lender, guarantor, or servicer of education loans from serving on a board of directors, or serving as a trustee, of an institution, if the institution has a written conflict of interest policy that the board member or trustee must recuse themselves from any decision regarding education loans at the institution.

10. INTERPRETATION

Authority to interpret this policy rests with the President and is generally delegated to the Financial Aid Director.

Previous version: None
Approved by the President: September, 2009

Index Terms

Financial Aid
Student Loans
Higher Education Opportunity Act

1000 University Policy Management

This policy outlines the process of policy management at the university, primarily by the University Policy Committee (UPC). The UPC is a team that is responsible for assisting the president and vice presidents with the oversight and management of those policies that have wide university impact.

4308 Moving: Changing Department/Office/Laboratory/Classroom Space

This policy outlines procedures for the successful move of a classroom, department, laboratory or office at James Madison University.

1301 Nepotism and Employment of Family Members

1. PURPOSE

This policy is intended to establish the rules and procedures for the employment and supervisory assignments of members of an employee's immediate family.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Family Member or Family
(1) A spouse, (2) any other person residing in the same household as the employee who is a dependent of the employee or of whom the employee is a dependent (Code of Virginia § 2.2-3106), or (3) any person related to the employee within the second degrees of kinship or the third degree of lineage. This shall include the employee's or the spouse's children, parents, grandparents, great-grandparents, brothers, sisters, half-brothers and half-sisters, grandchildren, great-grandchildren, aunts, uncles, nieces, nephews, first cousins, second cousins and persons married to them, including adopted, step, and foster relationships.

Nepotism
Favoritism based relationship and/or kinship regardless of merit.

Immediate Supervisor
The employee in direct authority over another employee. For the purposes of this policy, this encompasses the person who evaluates the employee, makes assignments to the employee, or has authority to hire or separate, or to determine or make recommendations on the hiring, separating, salary or other terms and conditions of employment of the employee.

Reviewer
The supervisor's supervisor.

Supervisor-Subordinate Relationship
The supervisor-subordinate relationship shall be interpreted to include the relationship between the immediate supervisor and subordinate as well as the reviewer and subordinate.

4. APPLICABILITY

This policy is applicable to all employees of the university, including student employees.

5. POLICY

Prohibited employment: An individual may not be employed in any position in which he/she will function as the immediate supervisor or reviewer of a member of his/her family. An individual may not be employed in any position in which he/she will function as the subordinate or in a subordinate-reviewer relationship with a member of his/her family. Family members shall not be employed in the supervisory-subordinate relationship even if it results from marriage after the employment relationship was formed.

Employment requiring prior approval: In positions not involving nepotism in violation of this policy, relationship by family or marriage shall constitute neither an advantage nor a restriction from employment by James Madison University, provided the individual meets and fulfills the university's employment qualifications. If the applicant has a family member already employed by the university in the same college, or assistant or associate vice president’s (AVP’s) area, the applicant may only be offered a position with the explicit prior written approval from the appropriate vice president. If the relative is related to the AVP or dean, the approval must come from the vice president.

Employment not requiring prior approval: An applicant who identifies a family member currently employed by the university in another division, college, or assistant or associate vice president’s area, may be extended an offer without prior written approval.

Other prohibited activities: An individual may not engage in activities with a member of his/her family that fall within the parameters of the Financial Procedures Manual Section 4205.390 Miscellaneous Payments to Individuals/Participant Payments. Examples of these prohibited activities include distribution of incentives, prizes and recognition awards. For a full list of prohibited practices, see the Financial Procedures Manual Section referenced above.

6. PROCEDURES

Applicants for employment at the university shall be required in the employment process to disclose the identity of any family member working at the university.

If an applicant has revealed information concerning a family member working at the university, this information will be analyzed by the hiring authority to determine whether employment in the position is prohibited, or whether prior approval is required before a position offer may be made to the applicant. If employment is prohibited, the applicant may not be offered the position. If prior approval is required, a Nepotism Review form signed by the appropriate vice president must be provided to Human Resources before the offer is extended to the candidate.

7. RESPONSIBILITIES

It is the responsibility of the hiring authority to ensure that each applicant has disclosed information about the applicant's family member(s) employed by the university. It is also the responsibility of the hiring authority to analyze this information to determine if the employment is prohibited or if a signed approval is required before extending an offer of employment.

It is the responsibility of the appropriate vice president to approve employment of an applicant who has a family member already employed by the university in the same college or assistant or associate vice president’s area. Signing an approval form is appropriate only when the signatory believes that the relationship between the current employee and the applicant will not disrupt or in any way impede the operations of the college or area under the AVP.

It is the responsibility of each applicant for employment to disclose family relationships with any current employee of the university.

8. SANCTIONS

Any applicant who violates this policy by failing to disclose the identity of a family member employed by the university is subject to disciplinary action up to and including immediate termination.

Any hiring authority who violates this policy by failing to obtain prior written approval to make an offer of employment to an individual who reveals the identity of a family member within the same college or AVP’s area of the division, is subject to sanctions.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to employees whose positions are reorganized or otherwise placed into the same division as the position held by a family member, as long as the two employees were hired into different divisions originally. However, the prohibition against having one family member serve as the supervisor or reviewer over another still applies. This policy does not apply to employees who were already employed by the university as of May 31, 2002. However, the prohibition against having family member serve as the supervisor or reviewer over another still applies.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: February 2014
Approved by the President: April 2002

1316 Release of Information from Employee Records

This policy establishes guidelines for access to and release of personal information on employees that is maintained by the university.

1317 Standards of Conduct and Performance for Classified Employees

1. PURPOSE

This policy is written to reflect James Madison University's compliance with the Commonwealth of Virginia's policy to ensure the clear statement of employee expectations and fair treatment of all classified employees. Standards of Conduct are designed to protect the well being and rights of all employees; to assure safe, efficient university operations; and to assure compliance with law. The ultimate goal of this policy is to help employees become fully contributing members of the university community.

The Standards of Conduct serve the following purposes:

  • Establish guidelines for positive employee behaviors that contribute to the success of the university's mission.
  • Establish a fair and objective process for correcting or treating unacceptable conduct or work performance.
  • Distinguish between less serious and more serious acts of misconduct and provide corrective action accordingly.
  • Limit corrective action to employee conduct occurring only when employees are at work or when otherwise representing James Madison University in an official or work-related capacity, unless otherwise specifically provided for.

2. AUTHORITY

This policy complies with Virginia Department of Human Resource Management Policy 1.60: Standards of Conduct.

3. DEFINITIONS

Corrective Action:
Any action taken by management to address employment issues, such as unacceptable or substandard performance and/or behavior. Corrective action may range from an informal action such as counseling to formal disciplinary action.

Disciplinary Action:
An action taken in response to an employee's behavior. Disciplinary actions may range from the issuance of an official Written Notice only to issuance of a Written Notice and termination. Disciplinary action may also include demotion or transfer in lieu of termination. In such cases, the university must initiate a disciplinary-related salary action. With a disciplinary-related salary action, employees may be retained in their current positions and have their duties reduced or be moved to positions in the same or lower pay band with less job responsibilities. In either case, the employee's salary must be reduced by at least 5 percent. In no case may an employee's salary exceed the maximum of the pay band following a disciplinary-related salary action.

Employee Assistance Program
A structured support service that assists the employee with identifying and resolving concerns of the employee that may affect performance.

Harassment:
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

Standards of Conduct:
Reasonable and acceptable expectations for work performance, conduct, and behavior.

Suspension:
An employee's absence from work without pay imposed by the university as a part of a disciplinary action and/or to remove the employee from the workplace pending (1) an investigation related to his or her conduct or (2) a court action.

Unacceptable Conduct:
Employee conduct or behavior that is inconsistent with state or university standards for which specific corrective or disciplinary action is warranted.

4. APPLICABILITY

This policy applies to all classified employees. It also applies, where applicable, to those who supervise classified employees.

5. POLICY

It is the policy of the university and of the Commonwealth to promote the well-being of employees by maintaining high standards of work performance and professional conduct. The Virginia Department of Human Resource Management has established uniform rules of personal conduct and performance as well as uniform disciplinary guidelines for classified employees.

6. PROCEDURE

Employees covered by this policy are employed to fulfill certain duties and expectations that support the mission and values of their universities and are expected to conduct themselves in a manner deserving of public trust. The following list is not all-inclusive but is intended to illustrate the minimum expectations for acceptable workplace conduct and performance.

Employees who contribute to the success of the university's mission:

  • Report to work as scheduled and seek approval from their supervisors in advance for any changes to the established work schedule, including the use of leave and late or early arrivals and departures.
  • Perform assigned duties and responsibilities with the highest degree of public trust.
  • Devote full effort to job responsibilities during work hours.
  • Maintain the qualifications, certification, licensure, and/or training requirements identified for their positions.
  • Demonstrate respect for the university and toward university coworkers, supervisors, managers, subordinates, residential clients, students, and customers.
  • Use state equipment, time, and resources judiciously and as authorized.
  • Support efforts that ensure a safe and healthy work environment.
  • Utilize leave and related employee benefits in the manner for which they were intended.
  • Resolve work-related issues and disputes in a professional manner and through established business processes.
  • Meet or exceed established job performance expectations.
  • Make work-related decisions and/or take actions that are in the best interest of the university.
  • Comply with the letter and spirit of all state and university policies and procedures, the Conflict of Interest Act, and Commonwealth laws and regulations.
  • Report circumstances or concerns that may affect satisfactory work performance to management, including any inappropriate (fraudulent, illegal, unethical) activities of other employees.
  • Obtain approval from supervisor prior to accepting outside employment.
  • Obtain approval from supervisor prior to working overtime if non-exempt from the Fair Labor Standards Act (FLSA).
  • Work cooperatively to achieve work unit and university goals and objectives.
  • Conduct themselves at all times in a manner that supports the mission of their university and the performance of their duties.

Corrective and Disciplinary Actions

The Commonwealth's disciplinary system typically involves the use of increasingly significant measures to provide feedback to employees so that they may correct conduct or performance problems. It is designed to encourage employees to become fully contributing members of the organization and to enable universities to fairly, and with reliable documentation, terminate employees who are unable or unwilling to improve their conduct and/or job performance.

Counseling is typically the first level of corrective action but is not a required precursor to the issuance of Written Notices. Counseling may be an informal (verbal) or formal (written) communication which conveys that an employee's conduct or performance was improper and must be corrected. This level of corrective action would be appropriate for conduct and/or performance issues resulting in minimal impact to business operations, to the safety and well-being of others, or that involve minor infractions of policies or laws.

Counseling may be documented by a letter or memorandum, but not on the Written Notice form. Documentation regarding counseling should be retained in the supervisor's files, and not in the employee's personnel file, except as necessary to support subsequent formal disciplinary action.

When counseling has failed to correct misconduct or performance problems, or when an employee commits a more serious offense, management should address the matter by issuing a Written Notice. The offenses set forth below are not all-inclusive, but are intended as examples of unacceptable behavior for which specific disciplinary actions may be warranted. To assist management in the assessment of the appropriate corrective action, offenses are organized into three groups according to the severity of the misconduct or behavior.

Group I
Offenses in this category include acts of misconduct that have a relatively minor impact on university business operations but still require management intervention. Active Life of Notice: Two years from its date of issuance to the employee.

  • Unsatisfactory attendance or excessive tardiness
  • Abuse of state time, including, for example, unauthorized time away from the work area, use of state time for personal business and abuse of sick leave
  • Use of obscene or abusive language
  • Inadequate or unsatisfactory work performance
  • Disruptive behavior
  • Conviction of a minor moving traffic violation while using a state-owned or other public-use vehicle
  • Violation of JMU Policy 1110 Alcohol and Other Drugs (considered a Group I offense depending on the nature of the violation)
  • Violation of Virginia Department of Human Resource Management Policy 2.30 Workplace Harassment (considered a Group I offense depending upon the nature of the violation)
  • Violation of JMU Policy 1302 Equal Opportunity (considered a Group I offense depending upon the nature of the violation)

Group II
Offenses in this category include acts of misconduct of a more serious and/or repeat nature that require formal disciplinary action and that significantly impact business operations. Active Life of Notice: Three years from its date of issuance to the employee.

  • Failure to follow a supervisor's instructions, perform assigned work or otherwise comply with established written policy
  • Violating a safety rule where there is not a threat of bodily harm
  • Leaving the work site during work hours without permission
  • Failure to report to work as scheduled without proper notice to supervisor(s)
  • Unauthorized use or misuse of state property or records
  • Refusal to work overtime hours as required
  • Committing a Group I offense when the employee has an active Group I Written Notice for the same offense in his/her personnel file
  • Violation of JMU Policy 1110, Alcohol and Other Drugs (considered a Group II offense depending on the nature of the violation, such as the use of alcohol or unlawful use or possession of a controlled drug while on the job)
  • Violation of Virginia Department of Human Resource Management Policy 2.30 Workplace Harassment (considered a Group II offense depending upon the nature of the violation)
  • Violation of JMU Policy 1302, Equal Opportunity (considered a Group II offense depending upon the nature of the violation)

Group III
Offenses in this category include acts of misconduct of such a severe nature that a first occurrence normally should warrant removal. Active Life of Notice: Four years from its date of issuance to the employee.

  • Absence in excess of three days without proper authorization or a satisfactory reason
  • Falsifying any records, including, but not limited to, insurance claims, leave records, reports, vouchers, time records or other official state documents
  • Willfully or negligently damaging or defacing state records, state property or property of other persons (including, but not limited to, employees, patients, students, supervisors and visitors)
  • Theft or unauthorized removal of state records, state property or the property of other persons (including, but not limited to, employees, patients, students, supervisors and visitors)
  • Gambling on state property or during work hours
  • Fighting and/or other acts of physical violence
  • Violating safety rules where there is a threat of physical harm
  • Sleeping during work hours
  • Participating in any kind of work slowdown or similar concerted interference with state operations
  • Unauthorized possession or use of firearms, dangerous weapons, or explosives
  • Threatening or coercing persons associated with any state agency (including, but not limited to, employees, patients, students, supervisors and visitors)
  • Criminal convictions for illegal conduct occurring on or off the job that clearly are related to job performance or are of such a nature that to continue employees in their positions could constitute negligence in regard to universities' duties to the public or to other state employees
  • Failure of an employee whose job requires carrying a firearm or authorization to carry a firearm to report conviction for a "misdemeanor crime of domestic violence"
  • Violation of JMU Policy 1110 Alcohol and Other Drugs (considered a Group III offense depending on the nature of the violation, such as the use of alcohol or unlawful use or possession of a controlled drug while on the job)
  • Violation of Virginia Department of Human Resource Management Policy 2.30 Workplace Harassment (considered a Group III offense depending upon the nature of the violation)
  • Violation of JMU Policy 1302 Equal Opportunity (considered a Group III offense depending upon the nature of the violation)

Any action, which, in the judgment of the university, undermines the effectiveness of the university's activities, may be considered unacceptable and treated in a manner consistent with the provisions of this section. Action to remove employees from the university under this policy must be reviewed and approved by the Director of Human Resources in advance of taking final action.

Due Process

Prior to the issuance of any written notices, demotions, transfers with disciplinary salary actions, suspensions or terminations, supervisors must:

  • Allow the Director of Human Resources or designee(s) to review the documentation for the recommended action to determine if the action is appropriate for the offense; if a referral to the Employee Assistance Program is advisable; and what the final recommendation for corrective action should be.
  • Give the employees oral or written notification (administrative notification) of the offense, an explanation of the university's evidence in support of the charge, and a reasonable opportunity to respond. Normally, a 24 hour period is a sufficient period of time, however, a "reasonable opportunity to respond" should not be based solely on the quantity of time provided but also on the nature of the offense, which may or may not require more or less time to refute or mitigate the charge.

Removal Due to Circumstances which Prevent Employees from Performing their Jobs

An employee unable to meet the working conditions of his or her employment due to circumstances such as those listed below may be removed under this section. Reasons include:

  • loss of driver's license that is required for performance of the job;
  • incarceration for an extended period;
  • failure to obtain license or certification required for the job;
  • loss of license or certification required for the job;
  • inability to perform the essential functions of the job after reasonable accommodation (if required) has been considered;
  • failure to successfully pass an university's background investigation;
  • conviction of a misdemeanor crime of domestic violence for employees whose jobs require: (a) carrying a firearm; or (b) authorization to carry a firearm; or
  • failure to timely present appropriate documentation of identity and eligibility to work in the U.S. as required by federal law.

Prior to such removal, the appointing authority and/or Human Resource shall gather full documentation supporting such action and notify the employee, verbally or in writing, of the reasons for such a removal, giving the employee a reasonable opportunity to respond to the charges. Final notification of removal shall be via memorandum or letter not by a Written Notice form.

This policy provides guidance related to the Virginia Department of Human Resource Management Policy 1.60: Standards of Conduct. To view the Commonwealth's Standards of Conduct in its entirety follow this link.

7. RESPONSIBILITIES

Supervisors of classified employees must maintain open, honest communication with employees, ensuring that expectations are clear. Supervisors should clearly communicate both when the employee performs excellently as well as when performance and behavior is substandard. Supervisors have a responsibility to communicate the potential consequences of conduct or performance issues.

Human Resources is responsible for providing guidance and support with the progressive disciplinary process including providing an Administrative Notification template, Written Notice forms and assisting managers in the application of this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

This policy does not apply to wage employees and faculty members.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Director of Human Resources.

Previous version: December, 2009
Approved by the President: March, 1999

Index Terms:

Disciplinary action
Standards of conduct
Suspension
Termination

2301 Continuing Education UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

GENERAL RESPONSIBILITIES
The mission of the Office of Continuing Education (OCE) is to utilize available technology to extend the resources of the university community to citizens in order to provide continuing professional development and outreach services that enhance personal development of individuals and stimulate economic development.

Many people have educational needs but cannot or do not desire to attend college on a full-time or a degree-seeking basis. Therefore, the OCE is responsible as a coordinating entity to a variety of instructional products both on and off campus to meet the continuing education needs of the workforce. These products include but are not limited to: professional development planning services, graduate and undergraduate credit courses, credit and noncredit certificate programs, custom-designed courses, contract courses, packaged programs, and external degree programs.

Educators can obtain in-service training by taking courses designed for licensure and relicensure or credit towards a graduate degree in selected professional fields. The OCE also offers a variety of camps, conferences and seminars to people of all ages and educational backgrounds, often in collaboration with academic departments or other University outreach service units. These offerings vary from year to year depending on customer service requests.

In addition, the OCE facilitates instructional courses and programs that are not funded through a departmental or summer school budget. Among these programs are a variety of grant-supported products, certificate programs, and external degree programs. Some non-credit instructional products award Continuing Education Units (CEU’s) as a means of consistently measuring workforce development. More specific information can be obtained from the OCE Service Delivery Manual.

UNIVERSITY SUPPORTED CREDIT COURSES AND PROGRAMS

Definition
In order to fulfill its mission, the OCE offers a variety of University supported credit courses and programs. The University assumes responsibility for these instructional products and supports them by expending the necessary funds and resources to sustain them.

University supported credit courses and programs are defined as on- or off-campus credit products planned and funded by a University academic department/school that supports the mission of the University. Course and program requests for all University supported credit products must be submitted to the OCE for processing and approval (OCE Form # 001). When approved, the course or program will be offered through the OCE in conjunction with the appropriate department/school within the respective college or administrative division of JMU.

Off-campus Credit Offerings - In order to assess the varied needs and reduce course duplication in the region, the James Madison University OCE voluntarily coordinates and conducts regional planning meetings for school divisions and higher education institutions every fall and spring. Visits are regularly made to area businesses and several network affiliations with human resource directors are maintained throughout the year.

It is possible for any course listed in the current JMU catalog to be offered off-campus, as long as approval from the appropriate Department Head/School Director, Dean, and the Director of OCE has been received. Accreditation and enrollment requirements must also be met. Generally, lower level courses are offered by community colleges. Please refer to the OCE Service Delivery Manual for specific procedures to make course program requests.

Service Region - As a regional comprehensive university, JMU has traditionally focused on serving the needs of the citizens of the Shenandoah Valley and the Piedmont region of Virginia. The JMU service region is defined as the counties of Augusta, Bath, Clarke, Culpeper, Fauquier, Frederick, Greene, Highland, Madison, Orange, Page, Prince William, Rappahannock, Rockbridge, Rockingham, Shenandoah, Spotsylvania, Stafford, and Warren, and the cities of Buena Vista, Culpeper, Front Royal, Fredericksburg, Harrisonburg, Lexington, Manassas, Manassas Park, Staunton, Warrenton, Waynesboro, and Winchester. These are generally the regional counties and cities where the majority of service requests have originated.

New information technologies have expanded the traditional service region of JMU to other regions of Virginia, the United States, and the World. Instructional delivery over the Internet and through interactive audio-video classrooms, such as the Commonwealth Classroom, have greatly enhanced the potential for the OCE to deliver instructional products to a much larger audience.

On-campus Credit Offerings - Many JMU departments utilize the OCE to implement credit programs on campus. These programs are often exploratory special offerings, grant-funded courses, custom-designed courses, courses that are added too late to qualify as regular on-campus courses, and courses requested by departments due to financial constraints. On-campus courses should not be administered through the OCE more than once every 3 years unless they are exploratory, grant-funded, custom-designed, or urgently needed courses.

Both off-campus and on-campus credit courses must comply and conform to the OCE's course request and approval procedure. They must also comply with the OCE's registration process and assessment and evaluation procedures.

GRANT-FUNDED COURSES
The OCE encourages and supports faculty members who seek external funds. These external funds often have unique provisions and do not conform to the University's calendar. Therefore, the OCE is a common partner in the implementation of courses that are grant-funded. The OCE works closely with the Office of Sponsored Programs to facilitate the administration of grant-funded courses. Instructors indicate on the Course Request Form (OCE Form # 001) if a planned course is to be grant-funded and the items that the external funds will be supporting. Such courses must comply and conform to the course request and approval procedures, registration processes, and evaluation procedures of the OCE. Tuition may be reduced in certain cases if no Education and General Funds are used to pay instructor compensation, travel, subsistence, course materials or other directly related instructional costs.

A faculty member may choose to be paid the same rate to teach a grant-funded course through the OCE as to teach a regular summer school course (if the Academic Affairs summer school rate is higher than the OCE's rate for that rank and year).

UNIVERSITY SUPPORTED AND ENDORSED NON-CREDIT INSTRUCTIONAL PRODUCTS
Noncredit instructional products enhance the goals and objectives of the University, and may be conducted on- or off-campus as part of the University’s outreach service program. Noncredit programs may offer Continuing Education Units (CEU’s). Instructors/coordinators of these programs must complete the Noncredit Instructional Program Proposal (OCE Form # 025) in order to initiate the reporting process. A content outline or syllabus and a program evaluation instrument must accompany the noncredit proposal. The noncredit program instructor must provide the OCE with an authenticated list of successful participants before CEU certificates can be issued. The OCE is the only office that may approve the awarding of CEU’s for a University supported offering.

Supported Noncredit Programs
University-Supported Noncredit Instructional Programs are conducted on- or off-campus as a part of the University’s instructional or public service programs. These programs are assigned a continuing education account number from the Accounting and Reporting Operations Office, and remuneration is determined by participant fees and paid from the specific account number. The sponsoring department is responsible for account shortfalls or excess revenues. Please refer to the OCE Service Delivery Manual for specific information on the request and reporting process for university-supported noncredit instructional programs.

The following is the noncredit instructional program approval routing process:

Program Sponsor
Coordinator: Noncredit and Outreach Programs
Director: Office of Continuing Education (for review)
Department Heads of Academic Units
Deans of Academic Colleges
Accounting & Reporting Operations (University Supported Only)
Director of Special Events (if applicable)
Director: Office of Continuing Education (final approval)
Endorsed Noncredit Programs

University-Endorsed Noncredit Instructional Programs are those which enhance the goals and objectives of the University but for which the University assumes no financial or other responsibilities. Most summer sports camps qualify as university-endorsed Instructional Programs. Remuneration for endorsed non-credit programs is not paid from any account since there is no employee/employer relationship. The name James Madison University may be used only in the title as the location of the program. State funds may not be used for developing or advertising university-endorsed programs. Please refer to the OCE Service Delivery Manual for specific information on the request and reporting process for university-endorsed noncredit instructional programs.

SPECIAL STUDENTS
Other University supported public service programs include the non-degree special student program that allows a student not enrolled in a degree-seeking capacity to enroll in credit courses, as long as the student meets specified criteria. Criteria are described in more detail in the OCE Service Delivery Manual.

A student enrolled for credit courses who is not presently seeking a degree is classified as a special student. These special students may register for classes but are not admitted to any undergraduate program or to the Graduate School. This classification applies to students who enroll for day and/or evening classes, on or off campus. Individuals wishing to take courses as a special student must complete the Special Student Application Form (OCE Form # 003 or 008). An application fee must be submitted with appropriate supporting documentation each semester the student wishes to take classes as a special student.

Special Students by definition have not been admitted to a degree program at James Madison University. The taking of courses as a special student does not imply later applicability of these courses toward a program, or imply preferential regular admission consideration. Special students who subsequently seek admission to work toward a degree, will have courses taken in "special" status evaluated to determine their applicability toward the degree sought. Non-degree undergraduate students may only take up to 24 credit hours while enrolled in special status. BIS special students are allowed to take up to 30 credit hours in special status.

An individual who has been academically dismissed from any institution because of low academic standing or who has been denied regular degree-seeking admission to JMU must wait for a period of at least one calendar year before enrolling as a special student. Also to qualify as an adult special student there must be an interruption of at least two years in the student's formal education.

Special students must qualify for one of the following categories (Please refer to the OCE Service Delivery Manual for specific descriptions):

Adult special
BIS special
High school special
International special
Post-baccalaureate special
Post-masters special
Senior citizen special
Special audit special
Term special
Transient special



Approved May 1, 1998 by Linwood H. Rose, President





1205 Data Stewardship Policy

1. PURPOSE

This policy establishes the methodology by which the university will manage its data and assigns responsibilities for the control and appropriate stewardship of university data.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3.  The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATURE AND/OR REGULATION

Laws such as the Family Educational Rights (20 USC 1232g et. seq.) and Privacy Act (FERPA), the Virginia Government Data Collection and Dissemination Practices Act (Code of Virginia § 2.2-3800), and the Virginia Freedom of Information Act (Code of Virginia § 2.2-3700) require the university to provide appropriate data stewardship.

3. DEFINITIONS

Data Custodians:
Individuals or organizations in physical or logical possession of data for the university (data owner).

Data Managers:
University officials having direct operational level responsibility for information management related to the capture, maintenance, dissemination and use of data and for any data administration activities delegated by the data stewards.

Data Owner:
The university is the owner of all data collected, stored and/or managed by university employees or using university resources. Collectively all data owned and/or managed by or on behalf of the university is referred to as the University Data Resource.

Data Stewards:
The university vice presidents (or their designees) who have planning and policy level responsibility for data within their areas and management responsibilities for defined segments of the university data resource.

Data Stewardship Standards:
Procedural requirements developed to support the Data Stewardship policy. The Data Stewardship Standard was developed by the university's data managers in cooperation with Information Technology and approved by the data stewards. To provide consistent control and security relative to a particular data item, these standards apply across all information systems and uses of the data.

Highly Confidential Data:
University data which, because of its associated legal restrictions or potential security ramifications, is authorized for use only on a very limited basis and only with special security precautions.

Protected Data:
Personal data and/or other information worthy of protection and discretion in its distribution and use; this type of university data is individually requested and approved by a data manager for a specific business use and is subject to the general provisions associated with university information security.

Public Data:
University data which can be shared without restriction to the general public (e.g. university course listings, publicity and news articles, directory listings, etc.)

System Manager:
The university manager responsible for implementation and operation of a university system at the direction of the System Owner and appropriate Data Steward/Data Manager. The System Manager oversees the System Administrator who provides day-to-day administration and implements security controls and other capabilities as assigned.

System Owner:
The university individual/organization responsible for working in cooperation with Information Technology to define requirements, select an IT system, and direct its operation to assure functional outcomes in keeping with university objectives and mission.

University Data Resource:
Data owned by the university may reside in different automated systems and in different physical locations, but in aggregate these data may be thought of as forming a single, shared resource. This resource consists of information represented in a variety of data elements, types and forms maintained by individuals, administrative/academic units or business partners to provide functionality to the university. All such data owned and managed by or on behalf of the university is considered part of the University Data Resource.

4. APPLICABILITY

All university information that is stored, processed or distributed is subject to this policy and the more specific provisions of the Data Stewardship Standard. Other university policies and state or federal laws may also apply.

Certain types of data are public. Others types of data have usage restrictions, are protected by federal and state privacy legislation, or are critical to the mission of the university or the functioning of its colleges, departments, or programs. The latter data types require controls that protect confidentiality, integrity and availability. General instructions as well as specific requirements for thoughtful data stewardship are outlined in the Data Stewardship Standard and extend to all forms of the data. For example, those data stored in printed or written reports, transmitted via facsimile, downloaded from the university's various administrative or academic systems, and information processed or stored using local systems (including but not limited to departmental servers, networks or individual-use devices) are included.

5. POLICY

Information, in all forms, is a strategic asset of the university. Distribution and appropriate protection of computer and information resources is a fundamental responsibility of Information Technology. This policy establishes key roles and responsibilities for protecting confidentiality, integrity and availability of university data. However, individuals and unit/system managers throughout the university share this responsibility. For example, in cases where university information is not stored in electronic form or is used locally and takes forms other than that protected within central computing systems managed by IT, protection is incumbent on the relevant unit/system manager and the individual user.

This policy is based on four basic premises:

  • That the university is the owner of all university data (the University Data Resource);
  • That the greatest benefit of data is gained through its shared and thoughtful use but is diminished by misuse or lack of appropriate protection;
  • That access to non-public data is managed based on the mission and needs of the university and;
  • that the Data Stewardship Policy and Standard are in place along with other related policies to achieve an appropriate mix of three core values-confidentiality, integrity and availability

All data shall be classified in one of three categories:

  • Public-data which may or must be open to the general public; data with no existing restrictions on access.
  • Protected-data for which access must be guarded due to proprietary, ethical or privacy considerations. Data in this classification must be protected from unauthorized access, modification, transmission, storage or other use. Though such data may or may not be subject to specific legal restrictions, in all cases it is to be protected and acquired, accessed or used only as authorized.
  • Highly Confidential-data having such an acute sensibility to confidentiality or security concerns that it requires highly elevated levels of access restriction and security control. Data in this classification generally carry specific legal restrictions, have underground commercial value and are targets of highly damaging forms of compromise or misuse. Therefore, highly confidential data is collected, used or disclosed only for a single, specific purpose and only after explicit, documented approval from the appropriate university data managers.

6. PROCEDURES

Requirements for each classification (public, protected, highly confidential) are included in the Data Stewardship Standard. Several of these requirements are worthy of specific note and are considered university policy:

  • Access to non-public data shall be granted for a specified use and in keeping with the specific job responsibilities of the person being granted access
  • Further distribution of non-public data or use of non-public data for a purpose other than that for which it was requested is a violation of university policy
  • Highly confidential data shall not be collected or stored outside the designated central system of record without explicit, joint approval of the university data managers

The Data Stewardship Standard shall include a list of authorized data managers along with their scope of data management responsibility. Data items classified as highly confidential shall also be listed along with the additional procedures required for their use.

7. RESPONSIBILITIES

All university employees, students, affiliates and others granted access to university data or information systems are responsible for understanding the terms and conditions under which they are to acquire and use university data. The Data Stewardship Standard, the Appropriate Use of Information Technology Resources policy (1207), the Information Security policy (1204) and other policies and procedures related to data and information technology use are available on the Information Technology policy website and shall be considered as appendices to this policy.

Responsibilities are also assigned to specific individuals and groups as part of the data stewardship effort. Primary among these are Data Stewards, Data Managers, and System Owners. Specific responsibilities are detailed in the Data Stewardship Standard and related policies and procedures.

As new data items are developed, the individual(s) responsible for the creation or collection of the data are responsible for identifying its relationship to the Data Stewardship Policy and Standards to assure that storage and access of the data is appropriately managed. This shall include working with Information Technology to identify the appropriate data manager.

Data managers shall ensure appropriate classification of university data and work with Information Technology to establish necessary security and access controls for data in electronic form.

Data managers are also responsible for providing guidance to departments and individuals regarding collection, processing, storage and retention of university data using manual or electronic information systems.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Assistant Vice President for Information Technology, in conjunction with the appropriate Data Stewards

Previous version: December, 2010
Approved by the President: February, 2009

Index Terms

Data
Data Security

1201 Information Technology Resource Management

In conjunction with JMU Policies 1212 (Information Technology Infrastructure, Architecture and Ongoing Operations) and 1213 (Information Technology Project Management), this policy establishes general requirements and responsibilities associated with the management and use of computing and telecommunications resources and services at James Madison University.

1335 Terms and Conditions of Employment for Administrative & Professional Faculty

The purpose of this policy is to ensure uniform procedures for the employment of administrative & professional faculty.

1402 Faculty-Staff Waiver of Tuition Program for Non Degree-Seeking Course Work at JMU

The purpose of this policy is to outline the university’s waiver of tuition program for non-degree-seeking course work at James Madison University in support of the university’s commitment to employee personal and professional development.

2110 Ordering Textbooks

The purpose of this policy is to establish procedures for ordering textbooks for the students and faculty of the University. The policy addresses action by the Virginia General Assembly, section 23-4.3.1 Code of Virginia.

2103 Graduate Assistantships

1. PURPOSE

Graduate assistants contribute significantly to the programs of both academic and non-academic areas of the university. Assistantships provide financial assistance to qualified students. They also offer opportunities for students to gain worthwhile teaching and other experiences relevant to their chosen disciplines. The primary purpose of a graduate assistantship is to obtain training or work experience necessary for the completion of a degree and not to provide services for the university. This policy provides for the appointment and use of graduate assistants at James Madison University.

2. AUTHORITY

The Board has the authority to enact personnel policies and student policies for members of the university community. Where the Board has not exercised this authority, it is delegated to the president.

The policy is consistent with the resolutions regarding assistantships established by the Council of Graduate Schools.

3. DEFINITIONS

Doctoral Assistant:
A doctoral assistant (DA) is assigned to an academic unit to assist faculty members in their responsibilities of teaching and/or research. Students in doctoral programs may also serve as Teaching Assistants. Each doctoral assistant must be enrolled in a doctoral program at JMU. Some doctoral assistantships may cover more than the regular amount of tuition, may pay a higher stipend and may remain in effect through all or part of the summer term.

Graduate Assistant:
A graduate assistant (GA) is assigned to an academic unit, support program or administrative office to assist faculty members in preparing for instruction, leading discussion groups, grading papers, conducting research, preparing laboratories, performing departmental administrative tasks, etc. Specific duties will vary according to the needs of the program or department.

The generic term "graduate assistant" in this policy also encompasses the more specific doctoral assistant and teaching assistant.

Stipend:
Amount paid to a graduate assistant per semester. This amount is determined by the university and applies to all graduate assistantships. Doctoral assistantships receive a higher stipend than masters and educational specialist-level assistantships. All types of assistantships pay federal and state taxes but do not pay FICA taxes. Graduate assistants are paid according to their contract dates.

Teaching Assistant:
A limited number of teaching assistantships are available in academic units offering major programs of graduate study. A teaching assistant is assigned to an academic unit and is required to instruct one course or three credit hours of course work each semester or an equivalent of three credit hours of laboratory work each semester. Students may also be awarded teaching assistantships to assist faculty members within the academic unit with instructor-related duties. Teaching assistants must have completed a minimum of 18 hours of appropriate graduate course work. A teaching assistant must be directly supervised by a graduate faculty member.

4. APPLICABILITY

This policy applies to all students contracted into graduate assistantships at the university, regardless of type. It does not apply to student employees as defined under Policy 1334.

5. POLICY

5.1 Assignment of Graduate Assistants

Graduate assistants will be assigned to a unit of the university only when:

  1. The assignment of graduate assistants contributes substantially and productively to the mission of the academic unit, the program or the university.
  2. Assigned duties and responsibilities are meaningful in terms of complementing the student's formal academic work and add to the student's professional development.

5.2 Eligibility

To be eligible to receive an assistantship, each student must be unconditionally or conditionally accepted into a graduate program at JMU. A student who is provisionally accepted will not be eligible for a graduate assistantship until he or she achieves unconditional or conditional acceptance into a graduate program.

An eligible student must have transcripts on file in The Graduate School indicating completion of the baccalaureate degree from a regionally accredited institution.

NOTE: Graduate programs have the right to impose additional criteria.

5.3 Assistantship Hours

Graduate assistants will provide an average of 20 hours of assistance each week. Graduate assistants cannot be asked to perform more than an average of 20 hours per week unless special permission is granted from The Graduate School. Visa requirements stipulate that international students may not in any circumstances work more than 20 hours per week. Students may not begin their assignment prior to completion and submission of all required forms.

5.4 Conditions of Continuation in Assistantship

Graduate assistants are required to make significant progress toward their degrees which means they must:

  1. Carry nine hours of graduate coursework each semester. Note: Underload approval is required if a graduate assistant is not registered for nine graduate hours each semester. Underloads for fewer than six graduating credits are not approved absent extenuating circumstances. Only one underload may be granted during a graduate assistant's program of study.
  2. Maintain at least a 3.0 graduate GPA in order to retain or reapply for the assistantship.

Students may receive assistantships for a maximum of four semesters (fall and spring) or two academic years, except for Doctoral Assistants, students in the Masters of Fine Arts program or students seeking the Educational Specialist degree.

6. PROCEDURES

6.1 Resource Allocation

Budgeted resources are allocated annually by the appropriate vice president to colleges, departments and offices at the university for graduate assistantships. The dean of The Graduate School , in conjunction with the Associate Vice President of Resource Planning and Analysis, will oversee the allocation of the assistantships among the colleges and administrative offices in Academic Affairs.

Academic deans will determine the allocation of assistantships according to academic units within their colleges and will inform the Dean of The Graduate School.

Assistantships not filled by the beginning of classes each semester are subject to reassignment to another area or, in budget shortfall situations, may not be filled for the academic year.

6.2 Application for Assistantship

A student interested in a graduate assistantship should inform the graduate program to which he or she is applying of his or her interest in an assistantship. If there is not an assistantship available, the student may apply for a posted assistantship through another department. To apply for an assistantship in another area, a student should refer to the Web site http://www.jmu.edu/humanresources/joblink.shtml and submit an application. Departments/programs will contact applicants for graduate assistantships directly to set up interviews.

6.3 Award of Assistantship

After selecting a graduate assistant, the department/program will create the contract materials and forward them to The Graduate School according to the procedures detailed on The Graduate School web site. The graduate assistant will sign the contract, complete the tax forms, and return them immediately to the assistantship department so information can be entered in the payroll system.

The Office of Financial Aid will process the award as part of the financial aid package for the student. All graduate assistants should be appointed and all contract materials should be submitted to The Graduate School no later than 30 days prior to the contract start date. The Dean of The Graduate School may reallocate any full academic year assistantships that remain unfilled after September 1 to other academic units or programs.

6.4 Acceptance of Graduate Assistantships

In accordance with the resolution of the Council of Graduate Schools, acceptance of an offer of financial support (such as a graduate scholarship, fellowship, traineeship, or assistantship) for the next academic year by a prospective or enrolled graduate student completes an agreement that both student and graduate school expect to honor. In that context, the conditions affecting such offers and their acceptance must be defined carefully and understood by all parties.

Students are under no obligation to respond to offers of financial support prior to April 15; earlier deadlines for acceptance of such offers violate the intent of this Resolution. In those instances in which a student accepts an offer before April 15, and subsequently desires to withdraw that acceptance, the student may submit in writing a resignation of the appointment at any time through April 15. However, an acceptance given or left in force after April 15 commits the student not to accept another offer without first obtaining a written release from the institution to which a commitment has been made. Similarly, an offer by an institution after April 15 is conditional on presentation by the student of the written release from any previously accepted offer. It is further agreed by the institutions and organizations subscribing to the above Resolution that a copy of this Resolution or a link to the URL (http://www.cgsnet.org/?tabid=201) should accompany every scholarship, fellowship, traineeship and assistantship offer.

6.5 Obligations of Graduate Assistant

Students who accept assistantships must be available for planning, orientation, training and/or workshops approximately one week prior to the beginning of the contract period as requested by the academic units or programs granting the assistantships.

Graduate students may hold JMU employment in addition to their 20 assistantship hours provided the decision is endorsed by the student's program coordinator or core faculty and approved by the dean of The Graduate School. This decision should be carefully made taking into account the overall effect on the student's academic performance. An e-mail endorsing the employment must come from the coordinator or core faculty to the assistantship director for final approval and notification of payroll.

Students who are granted graduate assistantships are required to abide by university policy, state and federal law.

Many sections of the Faculty Handbook, such as section III.A. - Faculty Rights and Responsibilities, also apply to graduate assistants. In particular, graduate teaching assistants are held to the standards and requirements regarding teaching as stated in the Faculty Handbook.

6.6 Stipends and Tuition Allocations

Stipends are paid in semi-monthly installments, and are taxable income. Stipends are not wages, and the Graduate Assistant is not primarily engaged in providing services, but instead is being provided training by the university in a work setting.

The university's Budget Office determines if the university (through The Graduate School), the hiring department or the program area will pay for tuition allocations.

  • The terms for tuition allocations are as follows: In no case may an assistantship cover undergraduate hours or audited hours. Assistantships pay a minimum of nine in-state or out of state credit hours of graduate course work each semester, unless an underload is approved. Underloads are not routinely approved. However, if students are in the first or last semester of their program, or there are extenuating circumstances, approval may be requested with appropriate justification and signature of the academic advisor, department head, and TGS Assistantship Director. Only one underload approval may be granted during the GA's program of study.
  • The student is responsible for payment of tuition for all additional hours taken above the designated number of hours covered by the contract.
  • Some graduate assistantship positions pay out-of-state tuition: however, out-of-state tuition is not fully funded for all assistantship positions. If an out-of-state student is hired in an "in-state funded position," the student is responsible for payment of the difference between the in-state and out-of-state tuition rates. The contract will specify the tuition classification.
  • Distant Learning rates will be paid up to, but not exceeding, the on-campus rate for credit hours as designated in the contract.

For new assistantship positions, The Graduate School, working with the Budget Office, will verify that funds are available and assign new position numbers.

6.7 Forfeiture of Assistantship

Students who leave the university, fail to perform the duties under their assistantships, lose their eligibility for the assistantship, or violate a university policy, or state or federal law will forfeit their graduate assistantship. The university may withdraw tuition payment and will have no further obligation to continue to pay a stipend upon a finding that the students have left the university, have failed to perform the duties of the assistantship, have lost eligibility for the assistantship or have violated university policy or state or federal law.

7. RESPONSIBILITIES

The division heads are responsible for allocation of funds within their divisions to provide for graduate assistantships and for setting the minimum stipend amount for a full assistantship.

The dean of The Graduate School is responsible for the general supervision of the assistantship program and has responsibility for:

  • Overseeing tuition budget for assistantships and managing the contract and allocation process.
  • Approving the appointment of graduate assistants recommended by the department or academic unit head and concurred in by the appropriate dean and vice president.
  • Ensuring the teaching assistants are contracted in accordance with guidelines set forth by the Southern Association of Colleges and Schools.

The academic unit, department or program heads have responsibilities for :

  • Completing and reviewing contracts for graduate assistants;
  • Budgeting for assistantship stipends and tuition allocations (unless tuition is paid by The Graduate School);
  • Ensuring that position descriptions for assistantships are submitted to the Student Employment Work Center and are on file in the appropriate academic units;
  • Monitoring the performance of the graduate assistants within their academic units;
  • Submitting official notification to the dean of The Graduate School of each resignation or removal before the position is reassigned;
  • Enforcing the rule that graduate assistants may not begin their assignments prior to completion and submission of all required forms.
  • Being mindful of the average hours worked by graduate assistants in the unit.

Financial Aid Office is responsible for processing the graduate assistantship awards are part of the financial aid package for the student.

8. SANCTIONS

Failure to follow these procedures may result in appropriate sanctions, up to and including termination of the assistantship contract or the employment of the individual violation the policy.

9. EXCLUSIONS

This policy does not apply to full-time or part-time classified employees or members of the instructional or administrative and professional faculty. It does not apply to students employees as defined in Policy 1334.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the dean of The Graduate School.

Previous Version: February 2001
Approved by the President: January, 2012

Index Terms
Doctoral Assistants
Graduate Assistants
Stipends
Teaching Assistants

5002 Program Review Plan and Compliance

This policy establishes common program review components and requirements for non-Academic Affairs departments and/or offices. A separate Academic Affairs policy governs program reviews for areas within the Division of Academic Affairs.

2201 Sponsored Programs Proposals: Pre-Award/Post-Award Procedures

1. PURPOSE

This policy provides procedures for university employees to submit proposals to outside sponsors for instruction, research, training, service or other related project support that involves specific requirements for performance on the part of the University.

2. AUTHORITY

The JMU Board of Visitors is authorized to establish policy for the university. In cases where the board has not exercised that authority, it is delegated to the president.

3. DEFINITIONS

Contract:
A mechanism for procuring a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals. A contract is a legally binding document.

Cooperative Agreement:
An award similar to a grant, but in which the sponsor's staff may be actively involved in proposal preparation and anticipates having substantial involvement in research activities after the award has been made.

Cost Sharing:
The portion of the total project costs of any sponsored agreement that is not provided by the sponsor.

Direct Costs:
Clearly identifiable as being related to a specific project. General categories of direct costs include but are not limited to communication and travel, contractual services, equipment and computer use, fringe benefits, salaries and wages, supplies, housing and meals.

Facilities and Administrative Costs:
Incurred for common or joint objectives and, therefore, cannot be identified readily and specifically with a particular sponsored project, an instructional activity or any other institutional activity. Facilities and administrative costs are synonymous with indirect costs.

Facilities and Administrative Rate Agreement (Indirect Costs):
A negotiated agreement with the Department of Health and Human Services. The rates shall be applied consistently to all applicable sponsored-program activity at the university, including all federal, nonfederal and industrial sponsors.

Grant:
A type of financial assistance awarded to an organization to conduct research or other programs as specified in an approved proposal. A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.

In Kind:
Contributions or assistance in a form other than money, such as equipment, materials or services of recognized values.

Principal Investigator:
The individual with the responsibility for conducting the research or other activity described in a proposal for an award. The terms "principal investigator" or project director" may be used interchangeably in accordance to the agency's program language.

Proposal:
A formal written description concerning the conduct of research, training or technical assistance with the support of an external sponsor. The proposal represents an offer by the university to perform the activities specified and contains all information necessary to describe project plans, staff capabilities and funds requested. The university's review and approval process assures compliance with both sponsor and university policies.

Sponsored Programs:
Projects or programs that are conducted by faculty member(s) and/or administrative staff member(s) and supported - fully or in part - by external restricted funding awarded to the university. Sponsored programs may be research, instructional or service in nature. In all sponsored programs, the university has obligations to the funding source in accordance with the terms of a proposal or agreement. In the case of a proposal, these obligations are based on the project description developed by the faculty member(s) and/or administrative staff member(s). In the case of a grant, these obligations are based on the project description developed jointly by the sponsor and the faculty member(s) and/or administrative staff member(s).

Sponsor/Funding Agency:
Federal, state or private agencies external to the university who provide support for a program or project at the university.

Total Direct Costs:
The total of all direct costs of a project.

Total Project Costs:
The total allowable direct and indirect costs incurred by the institution to carry out an approved project or activity.

4. APPLICABILITY

This policy applies to all JMU employees and governs university educational programming, research and scholarly endeavors sponsored in whole or in part by outside entities including government and industry. It does not apply to gifts or contributions handled through the JMU Foundation and the Division of University Advancement.

5. POLICY

A sponsored program is an award from an external source (the "sponsor") for an agreed upon purpose with sufficient custodial responsibility to warrant unique administrative accountability. It is established by an agreement, usually called a contract, cooperative agreement, grant, purchase order or other document decided upon between the university and the sponsor. Sponsored programs are undertaken to augment institutional resources to enhance the university's research and educational programming, and to facilitate the ability of faculty members, staff members and students to develop and achieve their goals in educational programming, research and service delivery through successful competition for external funding.

The proposal serves as the primary document upon which the university and a funding source agree to provide the facilities, funds and services necessary to perform the project development, research, service and/or training. Grants and contracts are made to the institution and not the principal investigator; therefore, institutional approval and involvement is required. The proposal specifies the obligation of the principal investigator to perform services, the university to provide facilities and services, and the sponsor to provide support.

University employees who plan to submit a proposal to an outside sponsor must have the preliminary approval of their academic unit head and dean before contacting the Office of Sponsored Programs to obtain the necessary forms to begin the formal process of a program proposal.

All external publicity on grants and contracts is to be verified with the Office of Sponsored Programs prior to release through the JMU Office of Media Relations.

6. PROCEDURES

6.1 Internal Procedures

Contracts, grants, research agreements and sponsored-award documents are legal instruments that bind the parties to the terms stated therein. Therefore, state and federal laws as well as James Madison University policies and regulations must be followed when preparing, accepting, signing and executing such legal documents. Thus, all proposals - whether new or continuing - must be processed through the Office of Sponsored Programs for formal university approval and signature before they are submitted to external sponsors. The OSP serves as the administrative voice in the negotiation and acceptance of grants and contracts and subsequent modifications.

A sponsored-program proposal is usually originated by the faculty or staff member who will be in charge of the program under the direction of the appropriate academic unit head or administrator.

All proposals soliciting external support - whether from federal, private or state agencies - call for some commitment of institutional resources. Therefore, the Proposal Internal Approval Form must be prepared and submitted by the principal investigator with the approval of a sponsoring academic unit. Cost sharing should be engaged in only in the following circumstances:

  • When mandated by the sponsor
  • When necessary to accurately reflect the level of effort required to conduct the project
  • When necessary due to the competitive nature of the award

In the event mandatory cost sharing is required, the principal investigator must complete a Cost Sharing Request Form (Exhibit 2) and obtain appropriate university approval(s).

Approval from those responsible for the administration of university resources must be obtained prior to the formal submission of the proposal.

In addition to the Internal Approval Form, sponsored-program proposals should include the following sections in the following order:

  1. title page and abstract, problem statement: purpose for developing the proposal,
  2. objectives: goals and desired outcomes,
  3. procedures: program methods and program design - a plan of action,
  4. evaluation methodology: product and process analysis, and
  5. budget and budget justification.

6.2 Steps for Proposal Development and Pre-Award

  1. Faculty and staff members who wish to pursue sponsored programs should receive preliminary approval from the appropriate academic unit head or director and dean. Before writing a proposal, the individual faculty or staff member should contact the dean, academic unit head or director to enlist approval and support for the project. Questions concerning faculty time commitments, space and facilities, as well as proposed new courses and/or requirements, should be resolved at this time. All early correspondence including any letters of intent in initial solicitation efforts are to be routed through the Office of Sponsored Programs.
  2. A number of funding agencies, in compliance with Federal Executive Order 12372, Intergovernmental Review Process, require that state and regional clearinghouses be notified of the intent to apply for funds. Such notification is transmitted on Standard Form 424 and should be submitted at least 30 days prior to submitting an application for funds.
  3. Principal investigators who plan to submit a proposal involving the use of human subjects are required to have the Institutional Review Board for the Use of Human Subjects review the proposal prior to submitting the proposal to the Office of Sponsored Programs (see JMU Policy 1104). In such cases, the principal investigator or project director will inform the Office of Sponsored Programs of the need for this review; the Office of Sponsored Programs will coordinate the review process. Proposals involving the use of human subjects are not to be submitted to the target agency until the Institutional Review Board has conducted this review for the Use of Human Subjects.
  4. Principal investigators who plan to submit a proposal involving the use of vertebrate animals are required to have the proposal reviewed by the Institutional Animal Care and Use Committee prior to submitting the proposal to the Office of Sponsored Programs (see JMU Policy 2202). In such cases, the principal investigator or project director will inform the Office of Sponsored Programs of the need for this review; the Office of Sponsored Programs will coordinate the review process with the IACUC. Proposals involving the use of vertebrate animals are not to be submitted to the target agency until the IACUC has approved the proposed work.
  5. The principal investigator should contact the Office of Sponsored Programs for guidance concerning the calculation of project costs to include current federally negotiated facilities and administrative costs (indirect costs) and appropriate fringe benefit costs. The principal investigator should verify equipment estimates with the vendor and/or the JMU Office of Procurement Services.
  6. After obtaining preliminary approval from the academic unit head or director and dean, the principal investigator can get a Proposal Internal Approval Form from the Office of Sponsored Programs. The principal investigator will then submit the completed proposal along with the Proposal Internal Approval Form to the academic unit head for endorsement of approval. The Proposal Internal Approval Form and any other signatures necessary to the proposal must be obtained and then submitted to the dean of the principal investigator's college or division for signature. The Proposal Internal Approval Form and the original proposal with one copy is then ready to be submitted to the Office of Sponsored Programs.
  7. Proposals prepared for submission to external funding agencies must be received in their entirety in the Office of Sponsored Programs at least five full workdays prior to the agency's target date for mailing. Failure to meet this deadline may jeopardize the on-time submission of the proposal. Proposals not meeting this deadline shall be submitted with conditional approval only. If subsequent review reveals that the submitted proposal contains errors, inaccuracies and/or misrepresentations, is incomplete, or does not conform with sponsor or university requirements, the principal investigator shall be responsible for making appropriate changes or withdrawing the proposal.
  8. The Office of Sponsored Programs will review the completed proposal for compliance issues and for budget consistency, create the permanent file for the proposal and verify that all necessary agency program submission requirements have been met. The completed proposal will then be signed by an authorized person in the Office of Sponsored Programs and forwarded to the offices of the appropriate university officials for signatures. The Office of Sponsored Programs cannot assure that this will be accomplished for proposals submitted in less than the five-day time frame. If substantive changes are made after signatures have been obtained, a revised proposal will be rerouted noting the changes.
  9. The signed proposal will then be returned to the Office of Sponsored Programs, which will return the approved proposal to the principal investigator or project director for final review and for making the required copies and mailing from the academic unit. The Office of Sponsored Programs retains the original Proposal Internal Approval Form and the remaining copy of the proposal for the official university file.
  10. The file is considered funded when the Office of Sponsored Programs receives the award document from the sponsoring agency. Official agency documents with original signatures must be provided to the Office of Sponsored Programs and retained in the official university file.
  11. The Office of Sponsored Programs will inform appropriate university officials, including the Office of Media Relations, of awards and will be responsible for coordinating with Grants and Contracts Financial Services to begin the financial management of the sponsored program.
  12. It is recommended that principal investigators/project directors systematically coordinate with the Office of Sponsored Programs further efforts to obtain additional funding for their projects from the present funding source or other sources.
  13. Coordination with the Division of University Advancement must be made before contacting private sector funding sources. Information pertaining to the definition of a gift, as well as the solicitation and acceptance of gifts may be obtained by referring to JMU Policy 5101.


 6.3 Procedures for Project Management Post-Award

  1. All funds received for sponsored programs are under the fiscal control of the assistant vice president for finance. These funds must be receipted and disbursed in accordance with university policy, state and federal law, and sponsored programs' restrictions (including federal OMB circulars A21, A89, A110, and A133).
  2. Full-time faculty members and employees may be paid for additional services performed under grant auspices. However, authorization for compensation in excess of the regular salary must be in accordance with the procedure set forth in JMU Policy 1304, Extra Employment of Faculty and Administrative Staff. No binding commitments can be made nor remuneration provided until a PAR form has been submitted and approved by the appropriate administrative officials.
  3. The principal investigator will work directly with Grants and Contracts Financial Services for the financial management of the project. For specific information, the principal investigator should contact Grants and Contracts Financial Services after being notified of the award. Grants and Contracts Financial Services will provide the principal investigator with the internal budget form.
  4. Upon receipt of the approved Internal Budget Form, Grants and Contracts Financial Services will establish a post-award fiscal project file, create an account in the Financial Accounting System, provide monthly expenditure/budget printouts to be used by the principal investigator for making financial decisions related to the sponsored project. Grants and Contracts Financial Services will monitor financial activity of the sponsored project.
  5. All budget revisions must be prepared on the Request for Budget Revision Form, secured from Grants and Contracts Financial Services, and routed through the same offices originally specified on the Internal Budget Form.
  6. If an internal budget covers more than one fiscal year, any continuing or unencumbered balance will be carried forward from one fiscal year to another.The principal investigator will submit effort reports, invoices for payment, reimbursement requests, grantor-required fiscal reports, and other financially related documents through the appropriate offices, to Grants and Contracts Financial Services, for review and distribution on a timely basis. Post-award non-fiscal reporting is facilitated through the Office of Sponsored Programs.
  7. At the close of a project, unexpended funds will be disposed of according to the provisions of the terms and conditions of the sponsoring agency. If provisions have not been made, Grants and Contracts Financial Services will contact the grantor by letter to determine proper disposition.
  8. Specific Office of Human Resources requirements are found in the following policies:

7. RESPONSIBILITIES

The Office of Sponsored Programs provides the state-mandated central review process for all external funding requests, adhering to regulations set by the federal government, the Commonwealth of Virginia and the university. The Office of Sponsored Programs serves the university as the administrative voice in the negotiation and acceptance of all grants and contracts and subsequent modifications. The Office of Sponsored Programs is responsible for the following in addition to performing other duties as directed by the provost and vice president for academic affairs:

  1. Disseminating information relating to external funding
  2. Maintaining appropriate records
  3. Promoting university-sponsored programs by monitoring related faculty and staff activities
  4. Serving as the liaison office for sponsored programs

Academic unit heads, deans and directors are responsible for reviewing, approving, monitoring and supporting projects of interest to their divisions and areas of responsibility. Only those individuals designated by the president as signatory authority for all sponsored programs administered through the university are empowered to sign documents on behalf of the institution. Those individuals currently authorized to sign proposals and accept grants and contracts on behalf of the university are the assistant vice president for academic resources and the director of the Office of Sponsored Programs in specific instances. The university is not committed to accept awards resulting from the submission of proposals not authorized by the institution.

The principal investigator or project director is responsible for conducting the project in accordance with institutional policies, submission guidelines from the agency and federal circulars A-21 and A-110 under the terms of the grant or contract. Any arrangements with the grantor for any major changes in the original agreement must be made through the appropriate offices in conjunction with the Office of Sponsored Programs. The principal investigator must have the technical competence and substantive capabilities to carryout a sponsored project. Therefore, the principal investigator or project director is responsible for preparing the Internal Budget Form and coordinating matters of financial activity, personnel and position changes with the proper university departments.

The Office of Media Relations is responsible for releasing all external publicity on sponsored programs, projects, grants and contracts.

The Grants and Contracts Financial Services Office is responsible for the following:

  1. Creating an account in the financial accounting system
  2. Establishing a post award grant file
  3. Monitoring the financial activity of the sponsored project
  4. Providing monthly expenditure/budget printouts

8. SANCTIONS

Failure to follow this policy may result in disciplinary action up to and including dismissal from employment.

9. EXCLUSIONS

Employees applying for external funding for purely private projects that do not in any way involve James Madison University or any of its resources need not follow these procedures. For further clarification, review JMU Policy 1106-Conflict of Interest.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the provost and vice president for academic affairs.

Approved:
February, 2004
Dr. Linwood H. Rose, President

Index Terms:
Conflict of Interest
Contracts
Cooperative Agreement
Cost-Sharing
Facilities and Administrative Cost
Grants
In-Kind
Principal Investigator
Proposal
Sponsor/Funding Agency
Sponsored Programs
Total Direct Costs
Total Project Costs
 
Appendices:

Form 1 - Internal Approval Form
Form 2 - Cost Sharing Request Form

See "Forms" available at http://www.jmu.edu/sponsprog

Proposal assistance available from OSP at http://www.jmu.edu/sponsprog/ProposalPrepGuide.doc

Guidance for faculty and staff seeking external support http://www.jmu.edu/sponsprog/guidance.html

1110 Alcohol and Other Drugs

To comply with relevant laws related to the abuse of alcohol and controlled substances and help provide for a healthy and safe university community for employees, students, the local community and campus visitors. In addition, it is the intent of the university to offer support and possible solutions to employees who are struggling with alcohol or other drug-related problems.

1315 Notification Regarding Death

1. PURPOSE

This policy provides for the proper notification to the university community regarding the death of a member of the university community. It will facilitate an appropriate response and record the information in university databases.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Member of the University Community:
For the purposes of this policy, a faculty member, staff member, student, alumnus, parent, donor, or other individual affiliated with the university.

4. APPLICABILITY

This policy applies to all members of the university community.

5. POLICY

The university wishes to respond appropriately when it is notified of the death of a member of the university community. When a vice president or executive assistant to the president is notified that a member of the James Madison University community has died, the university will follow a specific set of procedures for the appropriate response.

6. PROCEDURES

A member of the university community who learns of the death of a faculty member, staff member, current student, alumnus, parent, donor, or other individual affiliated with the university should notify the following office according to the connection between the university and the decedent:

  • Current or former faculty member: Provost and Senior Vice President for Academic Affairs
  • Current student: Senior Vice President for Student Affairs and University Planning
  • Current or former staff member: Appropriate senior vice president, vice president or the executive assistant to the president
  • Current or former parent, donor, alumnus/a, former student or other external affiliation: Vice President for University Advancement

The vice president or executive assistant to the president will verify the information, as appropriate. Notification will be forwarded to the president's office, Public Affairs, and the other vice presidents and the executive assistant to the president. Each vice president shall be responsible for notifying areas within their division that need to have this information to maintain the accuracy of the university's internal records:

  • Current Students: University Registrar; Dean of Students; Academic Unit Head; Academic Adviser; Current Instructors
  • Current Faculty or Staff: Human Resources; Office of Advancement-Gifts & Records; College Dean, if appropriate
  • Parent, donor, alumnus/a or other external affiliation: Office of Advancement-Gifts & Records
  • Former students (non-graduate): Dean of Students; Office of Advancement Gifts & Records

To facilitate the university's response to the death, the respective vice president will coordinate with the President's Office and communicate with units and departments, as appropriate, for attendance at the funeral or memorial service, correspondence with the family, contribution/donation (i.e., a memorial or scholarship fund), or floral arrangement. The respective vice president or executive assistant to the president may also be involved in the coordination of a campus memorial service based on request from members of the student community. Individual divisions, departments and offices will coordinate their individual responses and participation as appropriate and will follow university policies.

7. RESPONSIBILITIES

It is the responsibility of all members of the university community to notify the appropriate persons as soon as possible in the event of the death of a member of the university community.

It is the responsibility of the appropriate vice president or executive assistant to the president to coordinate the university's response with the President's Office and to notify the Office of Public Affairs.

It is the responsibility of individual units or departments to contact the office of the appropriate person before responding to the news of the death.

8. SANCTIONS

None

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Executive Assistant to the President.

Previous version: November, 2011
Approved by the President: August, 2003

Index of Terms

Death

1705 Bottled Water Use

The university has made Environmental Stewardship a matter of strategic emphasis. If the university’s mission is to be fulfilled, students, faculty, staff, and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to Environmental Stewardship is the effective management of bottled water use, which this policy addresses.

1701 Sustainable Procurement

This policy supports campus sustainability at James Madison University and provides guidelines, information and resources in procuring products that will minimize negative impacts on society and the environment to the greatest extent practical.

1103 Responding to External Requests for Information

This policy provides guidelines for responding to questionnaires, survey forms, and other requests for information and data from external sources.

3104 Use of Bulletin Boards & Posting Public Notices

The purpose of this policy is to outline the proper guidelines and procedures for posting information on campus related to ongoing campus activities, events, and notices of interest.

1331 Disabilities & Reasonable Accommodations

1. PURPOSE

This policy sets forth provisions for the university's compliance with relevant legislation and policy and establishes the university's intent that qualified persons with disabilities be provided with reasonable accommodation to ensure equal access and equal opportunities with regard to the university's programs and services. This policy is intended to provide a method by which the university will process requests for disability accommodations.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 223-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The Americans with Disabilities Act as modified by the ADA Amendments Act of 2008 (42 U.S.C. § 12,101 et seq.), and Section 504 of the Rehabilitation Act (29 U.S.C. §791, et seq.) prohibit discrimination against a person with a disability in the offer or conditions of employment, and in the participation or furnishing of services. The university is obliged to provide reasonable accommodations to enable qualified individuals with disabilities to perform a job, participate in a class, or participate in other university functions.

3. DEFINITIONS

Accommodation:
Any change in the work environment, the educational experience, or the provision of services that enables a qualified individual with a disability to enjoy equal opportunity to perform the job, participate in the educational experience, or receive the provision of services.

ADA Coordinator:
The person designated by the university to review denials of requests for reasonable accommodation and other claims of discrimination. The university's ADA Coordinator is the Director of Equal Opportunity.

Disability:
A documented physical or mental impairment that substantially limits one or more major life activities, a record of such an impairment, or being regarded as having such an impairment.

Disability Resources Committee ("DRC"):
A university advisory group that offers informal advice and support to the administration in responding to persons with disabilities, their supervisors, and the university community at large.

Documentation:
Those documents and reports that are required to be presented to the university by the person requesting an accommodation before any accommodation will be provided. Documentation consists of official written communications from a relevant qualified treating health professional (such as a physician, surgeon, psychiatrist, physical therapist, etc.). This communication must be current and must describe the diagnosis and nature of the disability, the major life function(s) effected, the functional limitations of the disability, and the prognosis. The professional may also make suggestions regarding the accommodations being requested, and the university may ask the person requesting an accommodation to provide input from the professional concerning appropriate and meaningful accommodations. Specific guidelines for the documentation of a documented disability can be found at http://www.jmu.edu/humanresources/benefits/ada/index.shtml. In addition, see guidelines on documentation related to requesting academic accommodations for students.  

Essential Function:
A task or responsibility that is central (not marginal) to the purpose of the job, the class, or the activity.

Employee:
A full-time or part-time instructional or administrative & professional faculty member, a classified staff member, or a wage employee of the university.

Employment practices:
Application procedures, hiring, advancement, discharge, compensation, benefits, training and development and all other terms and conditions of employment.

Harassment:
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

Hardship:
An accommodation imposes an undue hardship on the university if it constitutes an undue financial and/or administrative burden on the university, or it requires a fundamental alteration in the nature of the job, program or activity.

Qualified Individual with a disability:
One who, with or without reasonable accommodation, can perform the essential functions of a particular job or meet specific academic/program requirements for participation in a university sponsored program, service or activity.

Major bodily functions:
Major bodily functions include, but are not limited to, functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine and reproductive functions.

Major life activity:
Major life activities include, but are not limited to caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, communicating and working and major bodily functions, which include functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine and reproductive functions. An individual's ability to perform a major life activity is compared to most people in the general population.

Office of Disability Services (ODS):
The office that assists students with disabilities in obtaining reasonable accommodations from the university to fully participate in their educational experience at JMU, and assists faculty members and administration at the university in analyzing requests for accommodations from students with disabilities.

Office of Equal Opportunity (OEO):
The office that assists visitors with disabilities in having access to events sponsored by JMU, and assists offices sponsoring events in analyzing requests for accommodations from visitors with disabilities.

Human Resources Department (HR):
The office that assists employees with disabilities in obtaining reasonable accommodations from the university to perform their job duties, and assists supervisors and administration at the university in analyzing requests for accommodations from employees with disabilities.

Reasonable accommodation:
An action that may be taken by the university to accommodate an individual with a documented disability, without imposing an undue hardship on the university.

Student:
Any full or part-time student currently enrolled in at least one for-credit or non-credit course.

Substantially limits:
An individual's major life activity is substantially limited if he/she is unable to perform a major life activity that an average person in the general population can perform. An impairment that is episodic or in remission is a disability if it would substantially limit a major life activity when active. Mitigating measures taken by the individual will not be taken into consideration in determining whether the individual is substantially limited in a major life activity, except for corrective eyewear.

Visitor:
A member of the public who is attending an event sponsored by the university or visiting university-controlled property.

4. APPLICABILITY

This policy applies to all university visitors, students and employees. It applies to all university employment, educational opportunities, programs and services.

5. POLICY

The university will provide reasonable accommodation to qualified individuals with documented disabilities to ensure equal access and equal opportunities with regard to university employment, university educational opportunities, and the university's programs and services.

Persons with disabilities are held to the same standards of conduct as other employees, students, or visitors, and a disability will not excuse misconduct.

6. PROCEDURES

6.1 Application

The Human Resources Department website provides a listing of the steps required to apply for reasonable accommodations for employees or applicants with a disability. The website is located at http://www.jmu.edu/humanresources/benefits/ada/index.shtml.

A student requesting accommodations under this policy must contact ODS. Employees requesting accommodations under this policy must contact their supervisors. Visitors to events or university controlled property who are requesting accommodations under this policy must contact the office sponsoring the event or OEO. Notice of the need for an accommodation must be made as far in advance as possible to allow the university to make appropriate arrangements.

6.2 Assessment and Dialog

Supervisors who receive disability accommodation requests from employees must immediately consult with HR and should not attempt to determine whether the employee has provided acceptable documentation, or what might constitute reasonable accommodations, without the participation of HR in the discussion. Supervisors may also contact the Disability Resources Committee for advice and information.

A student's request for an accommodation must be referred to ODS for assessment. Faculty members and university staff members who receive requests from students for disability accommodations must immediately refer the students to ODS, and should not attempt to determine whether the student has provided acceptable documentation, or what might constitute reasonable accommodations, without the participation of ODS in the discussion.

The office receiving a request for an accommodation from a visitor may contact OEO for assessment of the request, if assistance is needed.

The university's assessment of the individual's needs and the availability of accommodations must be made on a case by case basis. The university may request permission from the individual making the request for accommodations to interact directly with the medical provider, to determine what accommodation would be reasonable and effective.

The person requesting the accommodation and the office responsible for evaluating the request are required to cooperate in attempting to reach an agreement on a reasonable accommodation. This dialog is the responsibility of both parties.

For information on parking and gate permits for individuals with vehicle handicap permits, see the Parking Services website at http://www.jmu.edu/parking.

6.3 Determination

Final determination of reasonable accommodations rests with the university. Any person with a disability who is dissatisfied with a responsible department's response to a disability accommodation request may file a complaint with the Director of Equal Opportunity who serves as the ADA Coordinator.

6.4 Review

If an accommodation is granted to an employee, the accommodation will be reviewed annually by HR to determine whether updated documentation is needed and whether the accommodation is still appropriate and sufficient.

6.5 Confidentiality

6.5.1. Information about an employee's documented disability will be kept in a secured file separate from the personnel file in the academic unit office and/or the college office, and this file must be kept confidential and shared with individuals within the university only to the extent allowed by law. However, once HR has been informed of an employee's documented disability and request for accommodations, the employee's supervisor and chain of authority (if applicable) may be notified and brought into the discussion so that any accommodation request can be coordinated through the supervisor and chain of authority.

6.5.2. Information about a student's documented disability must be kept in a file separate from the educational records in the academic unit office and/or the college office, and this file must be kept confidential and shared with individuals within the university only to the extent allowed by law. However, once ODS has been informed of a student's documented disability and request for accommodations, the student's faculty members and the academic administration may be notified and brought into the discussion so that any accommodation request can be coordinated through ODS and the academic administration.

6.5.3. Information about specific requests for accommodation from visitors may be kept in a file in the office receiving the request, which may consult with the OEO concerning reasonable accommodations. Once an office at the university has been informed of a visitor's disability and request for accommodations, the appropriate offices within the university may be notified and brought into the discussion so that any accommodation request can be coordinated through the appropriate offices.

6.6 Disability Resources Committee

To serve as an advisory committee and resource for the JMU community, the University has established the Disability Resources Committee. This committee, which is comprised of representatives from the OEO, ODS, Academic Affairs, and Human Resources, as well as other qualified members of the staff or faculty, exists to provide support, information and advice to the University community to help maximize the opportunities and success of faculty, staff, students and others with documented disabilities as they relate to the University community. The Disability Resources Committee provides such services as:

  • Providing advice to assist in the determination of reasonable accommodations
  • Providing training for faculty and staff
  • Advising supervisors on effective incorporation of persons with disabilities into the workplace
  • Advising the university administration on disability-related policies and procedures.

Membership of the Disability Resources Committee is determined in conjunction with OEO, ODS and HR. The Committee can be accessed by contacting one of the following:

Office of Equal Opportunity - 568-6991
Disability Services - 568-6705 or disability-svcs@jmu.edu
Human Resources - 568-3825 or humanresources@jmu.edu

6.7 Complaint Procedures

For procedures on filing a complaint of disability discrimination or failure to grant a reasonable accommodation, please refer to Policy #1324 - Discrimination and Harassment Complaint Procedure.

7. RESPONSIBILITIES

7.1 An employee is responsible for providing adequate notification to either his or her supervisor or HR of the need for accommodation for a disability. The employee is also responsible for providing appropriate documentation of the disability, and for cooperating with the university in attempting to reach an agreement on a reasonable accommodation.

7.2 A student is responsible for providing adequate notification to ODS of the need for accommodation for a disability. The student is also responsible for providing appropriate documentation of the disability and for cooperating with the university in attempting to reach an agreement on a reasonable accommodation.

7.3 A visitor attending a university event or visiting university-controlled property is responsible for informing the event sponsor or a responsible university representative of his or her need for accommodation for a disability. A visitor is responsible for cooperating with the university in attempting to reach an agreement on a reasonable accommodation.

7.4 ODS is responsible for processing and assessing requests for disability accommodations from students, and for providing access plans and advice to faculty members and administrators concerning reasonable accommodations for students. See the ODS for procedures and details at http://www.jmu.edu/disabilityser/index.shtml. In addition, see guidelines on documentation related to requesting academic accommodations for students

7.5 HR is responsible for processing and assessing requests for disability accommodations from employees, and for advising supervisors concerning reasonable accommodations for employees. See HR for procedures and details at http://www.jmu.edu/humanresources/benefits/ada/index.shtml.

7.6 OEO is responsible for advising offices concerning requests for disability accommodations from visitors.

7.7 The sponsor for a specific university activity is responsible for processing requests for accommodations from individuals participating in such activity, with assistance from OEO.

7.8 Any university representative who receives a request for an accommodation is responsible for contacting OEO, ODS or HR for assistance in providing an appropriate response to the request.

7.9 Faculty members are responsible for providing reasonable accommodations regarding classwork, assignments, and attendance to students.

7.10 Supervisors are responsible for providing reasonable accommodations regarding assignments, schedules, and other aspects of employment to employees within their areas.

7.11 Normally particular departments are responsible for the costs associated with making reasonable accommodation for employees and visitors, although extraordinary costs for reasonable accommodations may be the responsibility of a larger budgetary authority. The costs of most accommodations for students are covered by the Office of Disability Services, although extraordinary costs may be the responsibility of a larger budgetary authority.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Persons with documented disabilities are not entitled to receive accommodations that would fundamentally alter the job, class or activity, or that would excuse performance of the essential functions of a job or essential components of a class or activity.

Temporary, non-chronic impairments, medical conditions (including pregnancy), illnesses and injuries are not disabilities covered under the terms of this policy.

The university is not obliged to grant specific requested accommodations if other reasonable accommodations may suffice to give the requestor equal opportunity and access.

Individuals who pose a direct threat to the safety and health of others are not protected under the law or this policy, and are not entitled to receive accommodations.

Individuals who are not disabled, but who are regarded as having a disability, are not entitled to accommodations.

Use of illegal drugs, or misuse of drugs or alcohol is not protected activity, and such activity will not be considered as an accommodation.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Director of Human Resources.

Previous version: January, 2010
Approved by the President: January, 2007

Index of Terms

Accommodation
ADA Amendment Act (ADAAA)
Americans with Disabilities Act (ADA)
Disabilities
Disabilities Resources Committee
Handicaps
Rehabilitation Act
Section 504

2205 Policy for Misconduct in Research and Other Scholarly Work UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

The president has appointed the Provost to serve in the role of the Vice President for University Relations and External Programs.

These assurances and procedures implement James Madison's Policy on Misconduct in Research and other scholarly work. This policy applies to all faculty and administrative staff in the performance of scholarly and creative activity and research conducted at JMU whether performed under external or internal funding. It meets the certification and requirement guidelines of Section 493 of the Public Health Service (PHS) Act as well as other Federal and State agencies and private foundations. James Madison University expects that the highest ethical standards as well as compliance with public laws and regulations will prevail in the conduct of its activities. 

It is understood that the inherent requirement for integrity in the quest for knowledge and in the creation of scholarly and artistic works is fundamental to the academic purpose. It is the policy of James Madison University to maintain high ethical standards in research and other scholarly work, to prevent misconduct and to promptly and fairly evaluate and resolve instances of alleged or apparent misconduct. Nothing in this policy should be construed as being intended to in any way restrict academic freedom. To the contrary the University strongly encourages and supports research and scholarly activity. 

ASSURANCES 
James Madison University will provide vigorous leadership and will take immediate action into any allegation or other evidence of possible misconduct. 

All parties will be treated with justice and fairness and JMU will be sensitive to the reputations and vulnerabilities of all parties. 

The University will document all pertinent facts at each stage of the response to the allegation. 

The University will protect to the maximum extent possible, commensurate with protecting the rights of the accused, the privacy or those who in good faith report apparent misconduct. 

James Madison University will afford the affected individual confidential treatment to the maximum extent possible, a prompt and thorough investigation, and an opportunity to comment on allegations and findings of the inquiry and/or the investigation. 

The process pursued to resolve allegations of misconduct will not damage research itself. 

The University will conclude its responsibilities to the charge after resolving allegations of misconduct internally to all involved individuals; and externally to the public, the sponsors of research, the research literature, and the research community. 

The procedures listed below preserve the highest attainable degree of confidentiality compatible with an effective and efficient response to the allegation. 

DEFINITIONS 
"Act" means the Public Health Service Act, as amended (42 U.S.C. 201 et. seq.). 

"Days" shall mean calendar days, excluding Saturday, Sunday and such other days as the University is officially closed. 

"Institution" means James Madison University. James Madison University assumes legal and financial accountability for the awarded funds and for the performance of the supporting activities. 

"Inquiry" means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation. 

"Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred. 

"Mischievous Allegation" is one that is made knowing it to be false, or made with a reckless disregard for the truth. 

"Misconduct" or "Misconduct in Science" means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. 

"PHS" means the Public Health Service. 

"OSI" means the Office of Scientific Integrity which is established in the Office of the Director, National Institute of Health (NIH) to oversee the implementation of all PHS policies and procedures related to scientific misconduct. 

"Secretary" means the Secretary of Health and Human Services (HHS). 

ALLEGATIONS OF MISCONDUCT 
James Madison University has a responsibility to pursue an allegation of research misconduct fully and to resolve questions regarding the integrity of research. The purpose of the evaluation of an allegation is to determine whether or not there is or is not substantial basis to believe that scholarly misconduct has occurred, and whether formal discharge proceeding or other action with respect to the individual's employment is warranted. In its responsibility the University will focus on the substance of the issues and be vigilant not to permit personal conflicts between colleagues to obscure the facts. 

The names of the complainant as well as the respondent will be held in strictest confidence and will be only released to those who must know. However, the respondent has the right to know the name of the complainant. 

Allegations of misconduct in scholarly work may come from various sources within or outside the University. 

No one shall be deemed to have engaged in such misconduct unless it is determined by a preponderance of all relevant evidence that the conduct in question was done intentionally and with a desire to deceive. 

The individual accused of research misconduct shall be entitled to be represented by legal counsel (at his/her own expense) in all meetings relating to the alleged misconduct. 

If the accused is found innocent of misconduct, the University will be responsible for the accused individuals reasonable legal expenses. Also, should the complainant be found to be a mischievous allegation, the complainant may be held responsible for the accused's legal costs. 

PROCEDURES 
All allegations of misconduct will be evaluated first by an inquiry, and then, if the inquiry so indicates, by an investigation. The inquiry is not a formal hearing; it is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations. 

The accused will be notified when an inquiry into an allegation of misconduct is being initiated and again if an investigation is being initiated. 

A. Initiation of an Inquiry 
An allegation of scholarly misconduct to be considered must be made in writing and delivered to the Vice President, University Relations and External Programs. It must be signed. Any person making an allegation must also agree to support it when requested before University officials and such committees as may be appointed under these procedures. If the Vice President of University Relations and External Programs has a conflict of interest with a case, the allegation will be pursued by another administrator. 

B. Notification to the Respondent 

1. Upon initiation of an inquiry, the Vice President, University Relations and External Programs will notify the respondent in writing of the existence and nature of the complaint and the process that will follow. The respondent will be informed of the proposed membership of the committee of inquiry for the purpose of identifying in advance any real or potential conflict of interest and the project will be deferred until the allegation is resolved. 

2. The respondent will be given copies of written documents (if any) that support the allegations. 

3. The respondent will be invited to present a written response to the allegations; this response will become a part of the case file maintained by the office of the Vice President, University Relations and External Programs.

C. Timeliness 
Due to the sensitive nature of an alleged case of research misconduct, the University will strive to resolve each case expeditiously. The inquiry phase will normally be completed and a written report of the findings filed by the institution's own record within 60 days of initiation. If the committee anticipates that the established deadline cannot be met, a report, citing the reasons for the delay and progress to date, will be filed with the Vice President of University Relations and External Programs and the respondent and appropriately involved individuals will be informed.

D. The Inquiry 
The inquiry process will be handled with the establishment of a formal committee by the Vice President, University Relations and External Programs. The Vice President is not required to form or convene a committee to take action on a complaint which in his/her judgment is frivolous, unreasonably vague, or known to be otherwise improper. If it appears that the allegation is a proper written and signed document and indicates serious scholarly misconduct the Vice President, University Relations and External Programs shall appoint a Committee of Inquiry. 

1. The Membership of the committee will be specifically chosen to evaluate the particular allegations under consideration. These individuals will not have a real or apparent conflict of interest in the case in question, be unbiased, and have an appropriate background for judging the issues being raised. They are to be tenured faculty with no appointment in the departments of either the complainant or the respondent. 

2. The Committee shall consider the allegation and conduct a preliminary formal review to determine if there is a reasonable and sufficient basis to warrant a full and more lengthy formal review. The manner of inquiry committee shall proceed in the fashion the Committee believes best serves to reach an initial informed assessment of the probability of the truth, accuracy, error, or falsity of the allegations. It rests in the judgment of the Committee when, and in what manner, it will receive submissions or interview the accused faculty member and the accusing party. The committee of inquiry shall arrive at a judgment as expeditiously as possible. 

3. All parties to the case, including the inquiry committee itself, shall have the opportunity to present evidence, to call witnesses, and to examine or cross-examine them. 

4. Information, expert opinions, records, and other pertinent data may be requested by the committee. 

5. All parties have the right to the assistance of legal counsel; however, as the inquiry is informal and intended to be expeditious, principal parties shall speak for themselves, with counsel, if any, assuming an advisory role to his client. 

6. To ensure the safety and security of any written documents associated with the allegation, committee members will be asked to review such documents within the Office of Sponsored Programs (if any) exist. Such documents shall remain in the office at all times. 

7. The Committee may keep confidential notes of its inquiry as it believes are reasonable to document its activities and findings. 

8. The Committee shall prepare for the Vice President, University Relations and External Programs a confidential written report of its preliminary findings. The written report will state what evidence was reviewed, summarize relevant interviews, and include the conclusions of the inquiry. The report shall also contain a recommendation for any further action. The recommendations shall be as follows: 

a. If a majority of the Committee determine that upon the information available to them it is reasonable to believe that an act of academic misconduct may have occurred, then the Committee shall recommend that a full investigation be conducted. 

b. If the Committee determines that it is not reasonable to believe an act of academic misconduct has occurred, it shall so inform the Vice President, University Relations and External Programs and also determine whether the allegation was mischievously made. 

c. If an allegation is found to be unjustified and to have been maliciously motivated, a recommendation for disciplinary action against the person or persons making the allegation shall be made. See Section A under Institutional Action. 

d. If an allegation is found to be unjustified but has been submitted in good faith, no further formal action other than informing all involved parties shall be recommended.

9. The proceedings of the inquiry, including the identity of the respondent, will be held in strict confidence to protect the parties involved. Protection will be provided also to the maximum extent possible, the privacy of those who in good faith report apparent misconduct.

E. Notification of Findings From the Inquiry. 
1. The respondent shall be given a copy of the report of inquiry. If he or she comments on that report, those comments will be made part of the record. 
2. The complainant will be informed by the Vice President, University Relations and External Programs of the outcome of the inquiry. 

a. Finding of no misconduct 
If the inquiry outcome does not find misconduct, all involved parties shall be so notified by the Vice President, University Relations and External Programs and efforts will be made to be sure individuals are cleared of unsupported allegations. 

The documentation of inquiry will be maintained in a secure manner for a period of at least 3 years after the termination of the inquiry to permit a later assessment of the reasons for determining that an investigation was not warranted, if necessary. 

b. Finding of misconduct for externally funded projects 

1. The Director of the OSI will be notified in writing on or before the date the investigation begins when on the basis of the initial inquiry, the institution determines that an investigation is warranted for any externally funded projects. 

2. Any agency sponsoring the research will be notified of a pending investigation. 

3. The OSI and/or other appropriate authorities will be notified within 24 hours if there is any reasonable indication of possible criminal violations. 

4. Allegations found to require investigation will be forwarded to the investigative body with the procedures outlined below.

F. Investigation
The purpose of the investigating committee is to undertake a thorough analysis of the allegation and to obtain all reasonable available information which it believes relevant to the charges. It is expected that the investigation should be completed within 120 days of its initiation. 

1. The Vice President, University Relations and External Programs shall, within 30 calendar days of the reporting by a committee of inquiry of the need for investigation, appoint an investigating committee of senior faculty who are without conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case. 

2. The committee may hold hearings and has the authority, responsibility and resources to collect and consider all of the evidence relevant to the allegation. 

3. It may obtain expert opinions, if necessary, to reach firm conclusions and may seek the advice of external experts if that is required to avoid conflicts of interest. 

4. The investigation must be thorough. It must obtain sufficient evidence to permit the committee to reach a firm decision about the validity of the allegation, or to be sure that further investigation could not alter an inconclusive result. 

5. If in the course of the investigation, additional information may emerge that may justify broadening the scope of the investigation beyond the initial allegations, the respondent is to be informed in writing of significant new directions in the investigation. 

6. If, during the investigation the University believes it necessary to act to protect the health and safety of research subjects, patients, and students, such administrative action will be taken. 

7. Copies of all materials secured by the committee shall be provided to the respondent and other concerned parties as judged appropriate by the committee. 

8. The respondent shall have an opportunity to address the charges and evidence in detail. The respondent may be accompanied by and confer with legal counsel at hearings, but is expected to speak for him/herself. 

9. Hearings will be confidential and may be declared closed by request of any of the principals. Written notification of hearing dates and copies of all relevant documents will be provided by the Vice President, University Relations and External Programs in advance of scheduled meetings. A record of the proceedings will be made, and a transcript prepared upon request and made available to involved parties. 

10. After all evidence has been reviewed and hearings completed, the investigating committee shall meet in closed sessions to deliberate and prepare its findings and recommendations. 

11. If the investigation cannot be completed in 120 days, the committee should compile a progress report, identify reasons for the delay, and request an extension from the Vice President, University Relations and External Programs. 

12. The committee will submit to the Vice President, University Relationss and External Programs a full report that details the committee's findings and recommendations. The report of the committee is advisory.

G. Notification of Findings of the Investigation
1. The Vice President, University Relations and External Programs will send the report to the respondent. The respondent may comment in writing upon the report. 
2. The OSI will be notified of the final outcome of the investigation when appropriate.

INSTITUTIONAL ACTIONS 
A. Absence of Fraud or Serious Misconduct 

1. All research sponsors and others initially informed of the investigation will be informed in writing that allegations of fraud were not supported. 

2. In publicizing the finding of no fraud, the institution will determine whether public announcements will be harmful or beneficial in restoring any reputations that may have been lost. Usually, this decision will rest with the person who was innocently accused. 

3. If the allegations are deemed to have been maliciously motivated, appropriate disciplinary actions will be taken against the complainant. 

4. If the allegations are found to be unjustified but were submitted in good faith, no further formal action will be taken.

B. Presence of Fraud or Serious Misconduct 
1. The Vice President, University Relations and External Programs will notify all federal agencies, sponsors, or other entities initially informed of the investigation of the finding of fraud. 

2. If, upon consideration of the report of the Committee of Investigation, it is believed that an act of scholarly misconduct is supported by a preponderance of the credible evidence, then disciplinary and/or administrative action consistent with the faculty member's contract and University rules and regulations will be initiated.

THE RIGHT TO APPEAL 
1. Individuals may appeal the judgment of the investigating committee and/or the sanction. 

2. A written statement of the grounds for the appeal must be submitted to the president of the institution within 30 days of written notification of the results of the investigation. Grounds for appeal may include, but are not limited to: 

a. New previously unconsidered evidence; 
b. Sanctions not in keeping with the findings;
c. Conflict of interest not previously known among those involved in the investigation; and 
d. Lapses of due process.

3. Upon receipt of a written appeal, the president will evaluate the evidence and make a determination. He may reopen the investigation. The president's decision will be binding on all parties and will be conveyed to all involved in a timely fashion. 

4. In the case of termination, the president's decision may be appealed as provided for under the faculty member's contract and Manual of Policies and Procedures. 

2203 Conflict of Interests Disclosure for Sponsored Programs

1. PURPOSE

This policy is designed to protect the credibility and integrity of the university's faculty and staff so that public trust and confidence in the university's sponsored research and educational activities are ensured and to comply with federal guidelines concerning sponsored research. This policy establishes procedures and standards to ensure there is a reasonable expectation that the design, conduct or reporting of research funded under sponsored grants, contracts or cooperative agreements will be unbiased by any conflicting financial interests of an Investigator.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

In accordance with federal regulations, the university has a responsibility to manage, reduce or eliminate any actual or potential conflicts of interest that may be presented by the financial interests of an investigator. For grants from the National Institute of Health, see NIH Regulation, 42 CFR 50. For grants from the National Science Foundation, see NSF Grantee Standards (http://www.nsf.gov/pubs/policydocs/pappguide/nsf10_1/aag_4.jsp.). University employees receiving sponsored funds must also comply with the policies of their sponsoring agencies. The university must comply with federal Office of Management and Budget circular OMB A-110 (2 CFR 215), which specifies that universities receiving federal funding must maintain a written and enforced policy on conflicts of interest.

This policy is in addition to and does not replace the Virginia State and Local Government Conflict of Interests Act (Code of Virginia, Section 2.2-3100) and the university's Conflict of Interests Policy (1106).

3. DEFINITIONS

Conflict of Interests:
A divergence between an individual's private interests and his or 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 gain, financial or otherwise. An actual conflict of interests depends on the situation and the potential for the appearance of impropriety, and not necessarily on the character or actions of the individual.

Conflict of Interests Committee (COI Committee):
The university committee constituted for the purpose of determining what conditions or restrictions, if any, should be imposed by the university to manage actual or potential conflicts of interest arising from disclosed Significant Financial Interests as defined herein. The COI Committee is designed to ensure the integrity of the research performed by employees that operate within the institution. Committee members are appointed by the Provost and Senior Vice President of Academic Affairs. The COI Committee shall contain, at a minimum, four faculty members representing a cross section of academic disciplines and the Director of the Office of Research Compliance.

Disclosure:
For this policy, disclosure means an investigator's disclosure of financial interests to the university related to his or her institutional responsibilities in research.

Financial Conflict of Interest:
A financial interest that is related to proposed university research (i.e., the interest reasonably appears to be affected by the research or is in an entity whose financial interest reasonably appears to be affected by the research) and that could directly and significantly affect the design, conduct or reporting of research.

Institutional responsibilities:
An investigator's professional responsibilities on behalf of the university which may include activities such as research, research consultation, teaching, clinical or other professional practices, institutional committee memberships, and service on panels such as an Institutional Review Board.

Investigator:
The principal investigator, project director, co-principal investigator or any other person at the university who is responsible for the design, conduct or reporting of research or educational activities funded, or proposed for funding, by an external sponsor. In this context, only for determining Significant Financial Interests, the term "Investigator" herein includes the investigator's spouse and dependent children.

Management Plan:
For this policy, an action plan to address a financial conflict of interests, which can include reducing or eliminating the financial conflict of interests to ensure, to the extent possible, that the design, conduct and reporting of research will be free from bias. The management plan shall meet the United States Department of Health and Human Services (HHS) Guidelines for Promoting Objectivity in Research. See 42 CFR Part 50, Subpart F, and 45 CFR Part 94. http://grants.nih.gov/grants/policy/coifaq.htm. For human subject research guidelines, see: http://grants2.nih.gov/grants/policy/coi

PHS Awarding Component:
The organizational unit of the Public Health Service (PHS) within HHS which funds research.

PHS Investigator:
An investigator who proposes or conducts PHS-funded research.

Research:
A systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge. The term encompasses basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test or drug). The term includes but is not limited to any activity for which research funding is available from diverse funding agencies through a grant or cooperative agreement and authorized under statutory authority, such as a research grant, career development award, center grant, individual fellowship award, infrastructure award, institutional training grant, program project or research resources award.

Significant Financial Interests:
A "Significant Financial Interest" is any financial interest that has the potential to compromise an individual's objectivity. The dollar value that is considered "significant" for the purposes of this policy is determined by the relevant federal or state law or university policy. Funding agency applications and guidelines contain dollar values specific to each situation. Significant Financial Interests include, but are not limited to:

  • Salary or other payments for services, including consulting fees and honoraria, from any entity other than the university.
  • Equity ownership or stock options. Excepted are equities held in retirement accounts or mutual funds.
  • Sole proprietorship, partnership, ownership or membership as a partner or in a limited liability for-profit entity (includes remuneration from private consulting activities).
  • Consulting substantially related to patented or patentable intellectual property in which the employee has an interest.
  • Consulting for an entity that has a financial interest in or sponsors the employee's university scholarly activities.
  • Ownership of, or rights held in, intellectual property or research materials (which may include rights to receive royalties), the value of which may be affected by the outcome of the employee's university activities. Excepted are intellectual property and research materials held by James Madison Innovations, Inc.
  • Any of the above applicable to the employee's spouse and/or dependent children.

A financial conflict of interests (FCOI) exists under this policy when an investigator or member of his or her immediate family has a significant financial interest that could directly and significantly affect the design, conduct or reporting of research.

Subrecipient.
Another party who is assigned part of the obligations and tasks under a contract or an award.

4. APPLICABILITY

This policy applies to all JMU employees and all research and sponsored projects at JMU. The principles underlying disclosure and management, as described in this policy, are similar for a wide variety of types of conflict. However, because of the diversity of applicable federal and state laws and rules and funding agency policies, the precise mechanisms for disclosure and management may vary depending on the type of conflict and the applicable laws, rules and policies.

5. POLICY

The university requires that investigators disclose any significant financial interest that may present an actual or potential conflict of interests in relationship with research or a sponsored project requiring such disclosure. University employees receiving sponsored funds must also comply with the policies of their sponsoring agencies.

All JMU employees, prior to engaging in any research project, must complete appropriate training. This training must be repeated at least every four years. The training must be completed immediately if this policy is revised so as to affect the investigators' obligations, if an investigator is new to the university or if the university finds an investigator to have violated this policy or any applicable management plan. The training courses can be taken online at http://www.jmu.edu/sponsprog/research_compliance/conducttraining.html; see Financial Conflict of Interest. These courses, under the Collaborative Institutional Training Initiative (CITI), are titled Responsible Conduct of Research (RCR)" and "Conflict of Interest" and encompass general research ethics as well as human and animal research standards.

The university will provide initial and ongoing reports of its management of financial conflicts of interests to external sponsors of university research as required and in accordance with this policy.

6. PROCEDURES

6.1 Required Disclosure: Prior to submission of a proposal or initiation of research, each investigator is required to disclose the following Significant Financial Interests to the university through the Office of Research Compliance:

  • Any Significant Financial Interest of the investigator that would reasonably appear to be affected by the research or educational activities funded, or proposed for funding, by an external sponsor; or
  • Any significant interest of the Investigator in an entity whose financial interests would reasonably appear to be directly and significantly affected by the research or educational activities funded, or proposed by funding, by an external sponsor.

6.1.1 Investigator Requirements. Investigators are required to complete training prior to engaging in research related to any funded grant or contract, and at least every four years thereafter, and immediately under designated circumstances:

  • When the university's FCOI policies change in a manner that affects investigator requirements.
  • When an investigator is new to the university.
  • When the university finds an investigator noncompliant with its FCOI policy or management plan.

6.2 Updates to Disclosure. During the term of the outside sponsored research, the employee is required to annually update the disclosure. If any new Significant Financial Conflict of Interests arises during the term of the outside sponsored research, the employee must notify the Director of the Office of Research Compliance within 30 days so that any conflict resulting from the changed situation can be identified and reported, and appropriate measures taken to manage, reduce or eliminate it.

6.3 Discretionary Disclosure. Regardless of the above minimum requirements, a faculty or staff member, in his or her own best interest, may choose to disclose any other financial or related interest that could present an actual conflict of interests or be perceived to present a conflict of interests. Disclosure is a key factor in protecting an employee's reputation and career from potentially embarrassing or harmful allegations of misconduct.

6.4 Financial Conflict of Interest Form. The method of disclosing a potential conflict of Interests is the Financial Conflict of Interest Disclosure Form (DF), attached to this policy as Appendix A.

6.4.1. A DF will be required with each funding application.

6.4.2. Each Investigator shall complete a DF and attach all required supporting documentation. The completed DF must be submitted with the funding application and University Proposal Internal Approval Form (PIAF) to the Office of Research Compliance. Supporting documentation that identifies the business enterprise or entity involved and the nature and amount of the interest held by the employee should be submitted in a sealed envelope marked confidential and accompany the DF and the PIAF. Certain information must be enclosed:

  1. Name of the entity with which the Investigator has a financial conflict of interests.
  2. Nature of the financial conflict of interests (e.g., equity, consulting fees, travel reimbursement, honoraria).
  3. Value of the financial interest or statement that a value cannot be readily determined.
  4. A description of how the financial interest relates to funded research.

6.4.3. As required by federal regulation, all Significant Financial Interests must be disclosed prior to submission of a funding application or the university's execution of a cooperative agreement or sponsored research contract, any other funding agreement or prior to initiation of any human subjects research, whether funded or not. Each Investigator is required to submit a disclosure form describing any financial interests held by the investigator, the investigator's spouse or any dependent child of the investigator that the investigator determines to be reasonably related to the investigator's institutional responsibilities. All financial disclosures must be updated by investigators during the pendency of the award, either on an annual basis or as changes are made to previously reported Significant Financial Interests. If a new reportable Significant Financial Interest arises at any time during the period after the submission of the proposal through the entire period of any resulting award, the filing of a DF is also required.

6.5 Review of Disclosures. The Office of Research Compliance shall conduct an initial review of all financial disclosures prior to the investigator's expenditure of any funds, or prior to the initiation of the research in the case of research with no external funding, to determine whether a conflict of interests exists. A conflict of interests exists when the review reasonably determines that a Significant Financial Interest could directly and significantly affect the design, conduct or reporting of the proposed sponsored project, or could be perceived to do so.

6.6 Determination of Conflict. If a potential conflict of interests is determined to exist by the Director of the Office of Research Compliance, the disclosure will be referred to the university COI Committee. The investigator, in cooperation with the COI Committee, shall develop a management plan that details proposed steps that will be taken to manage, reduce or eliminate any actual or potential conflict of interests presented by a Significant Financial Interest. At a minimum the Management Plan shall address such issues as:

  • Public disclosure of significant financial Interests by a written response to any requestor within five business days of a request, and a timely update of such information as requested;
  • Review of research protocol by independent reviewers; and
  • Monitoring of research by independent reviewers.

6.7 Conflict of Interests Committee (COI Committee). The specifics of financial interests and their relation to the proposed research activity may vary considerably. Therefore, it is not possible to guarantee that research may proceed under a management plan in any and all cases of financial conflicts of interest. In extreme situations, such as the involvement of investigators with significant financial interests in experiments with human participants, there will be a rebuttable presumption that such activities may not proceed.

If an appropriate management plan cannot be developed to achieve the goals of this policy, the COI Committee will determine what conditions or restrictions, if any, should be imposed by the university to manage actual or potential conflicts of Interests arising from disclosed Significant Financial Interests. These conditions or restrictions may include the following:

  • Modification of the research plan;
  • Disqualification from participation in all or a portion of the research funded;
  • Divestiture of Significant Financial Interests; or
  • Severance of relationships that create actual or potential conflict of interests.

6.8 Appeal of Decision. Should a faculty member wish to appeal a decision made by the COI Committee, he or she may present the appeal to the Provost and Senior Vice President for Academic Affairs, who will consider the case in consultation with the COI Committee.

6.9 Management directive. The approved management plan shall be incorporated into a memorandum that details the conditions or restrictions imposed upon the investigator in the conduct of the project or in the relationship with the business enterprise or entity. The memorandum shall be signed by the investigator and the investigator's supervisor (usually an academic unit head). The memorandum shall be reviewed by the dean. Actual or potential conflicts of interests will be satisfactorily managed, reduced or eliminated in accordance with this policy prior to accepting any award, or they will be disclosed to the sponsoring agency for action.

6.10 Records. Records of Investigator financial disclosures and of actions taken to manage actual or potential conflicts of interests shall be retained by the Office of Research Compliance until three years after the termination or completion of the award to which they relate, or the resolution of any government action involving those records, whichever is later.

6.11 Violations of Policy. Whenever an Investigator has violated this policy or the terms of the memorandum, the COI Committee shall recommend sanctions to the Investigator's supervising university official.

6.12 Non-JMU Faculty and Staff. Collaborators from other institutions must comply with this policy. If federally-funded research will be carried out through a subrecipient (e.g., a subcontractor or consortium member):

  1. the subrecipient shall certify in a written agreement that its research conflict of interests policy complies with the requirements of the applicable federal regulations, and that it will report any financial conflicts of interests of its investigators to the university by dates sufficient for timely reporting by the university to the federal agency; or
  2. if it is unable to certify compliance, the subrecipient shall enter into a written agreement that provides legally enforceable terms requiring its investigators to report significant financial interests to the university pursuant to this policy and associated procedures.
  3. The agreement must specify the time periods for the subrecipient to report identified financial conflicts of interest to the university. The time periods must be sufficient for the university to make any reports required by federal regulation.

6.13 Retrospective Review. The university is required to conduct a retrospective review in those cases of non-compliance with federal regulations but is not required to report the review to the awarding agency. The university is required to notify the awarding agency promptly and submit a report to the awarding agency only in cases where bias is found. The report will address the impact of the bias on the research project and the actions the institution has taken, or will take, to eliminate or mitigate the effect of the bias.

6.14 Responding to Public Requests for Information about PHS Funded Research. The university shall respond in writing within five business days to requests from the public for information about current financial conflicts of interest of senior/key personnel (the principal investigator or project director and any other person identified as senior/key in the PHS funding application or other reports to PHS) if such conflicts are related to PHS-funded research and are determined by the university to be Significant Financial Conflicts of Interests). The response will be made in writing, postmarked within five business days, and include the investigator's name, a description of the interest, and its dollar value range as required by the HHS regulations on Promoting Objectivity in Research.

7. RESPONSIBILITIES

Investigators have the responsibility to disclose any potential conflict of interests in any research or sponsored project on which they work.

The Director of the Office of Research Compliance has the responsibility to receive and initially review all DFs to determine whether a significant financial conflict of interests exists; determine whether they could directly and significantly affect the design, conduct or reporting of the research, creating a financial conflict of interests; work with the COI committee to implement a management plan to be approved by the university; monitor the plan; and make reports as required by the federal agency rules, policies and requirements.

Academic unit heads have the responsibility to sign off on an approved management plan that is incorporated into a memorandum that details the conditions or restrictions imposed upon the investigator in the conduct of the project or in the relationship with the business enterprise or entity.

Deans have the responsibility to review any such memoranda in their colleges.

The Provost and Senior Vice President for Academic Affairs has the responsibility to appoint members of the COI Committee and to hear any appeals from that committee's findings.

The COI Committee has the responsibility to determine what conditions or restrictions, if any, should be imposed by the university on an employee to manage actual or potential conflict of interests arising from disclosed Significant Financial Interests.

8. SANCTIONS

Investigators who fail to comply with the requirements of this policy or with a COI Committee management plan shall be subject to appropriate disciplinary action, up to and including termination of employment as provided in applicable university policies.

9. EXCLUSIONS

A Significant Financial Interest does not include the following:

  • salary, royalties or other remuneration from the university;
  • income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities;
  • income from service on advisory committees or review panels for public or nonprofit entities;
  • an equity interest that, when aggregated for the investigator and the investigator's spouse and dependent children, does not exceed $5,000 in value as determined through reference to public prices or other reasonable measures of fair market value; or
  • salary, royalties or other payments that when aggregated for the investigator and the investigator's spouse and dependent children over the next twelve months are not expected to exceed $5,000.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Provost and Senior Vice President for Academic Affairs.

Previous version: November, 2003
Approved by the President: November, 2003

Appendix A - Significant Financial Interests Disclosure Form

Index Terms:

Conflict of Interests
Research
Financial Disclosure
Significant Financial Interest

1332 Telecommuting

The purpose of this policy is to comply with the Commonwealth of Virginia Department of Human Resources Management (DHRM), which permits agencies to designate administrative & professional faculty and classified employees to work at alternate work locations for a mutually agreed upon portion of their workweek. This policy also complies with the requirement of DHRM Policy 1.61-Telework that agencies establish a telecommuting policy.

1318 Emeritus Staff

James Madison University recognizes the important contributions to the institution that have been made by those staff members who rendered many years of dedicated service before retirement. This policy establishes the guidelines for requesting the appointment of emeritus status for staff members at the university.

1319 Classified Employee Leave Without Pay

1. PURPOSE

It is university practice to grant classified employees leave without pay in accordance with this policy and the Virginia Personnel Act.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The Virginia Personnel Act, Code of Virginia § 2.2-2900, authorizes and sets standards for agencies granting employees leave without pay.

3. DEFINITIONS

Unconditional leave without pay:
An employee's approved absence from work without pay that guarantees reinstatement to the position held by the employee before the leave was taken. Applies to military leave without pay only.

Conditional leave without pay:
An employee's approved absence from work without pay that guarantees reinstatement only if the employee's position is available when he/she returns from leave. If the position is not available, the employee will be separated and may be employed again only after going through the normal recruitment and selection process.

4. APPLICABILITY

This policy applies to all full-time classified employees.

5. POLICY

Classified employees may be granted leave without pay for the following reasons:

  • Extended periods of personal illness (non-VSDP employees only). This leave is conditional.
  • Periods of extended serious illness for immediate family members. Immediate family shall be defined as parent, spouse, and child (See Policy 1308-Family and Medical Leave). This leave is conditional.
  • Periods of leave because of any qualifying exigency arising out of the spouse, child or parent of the employee being called to active duty or notified of an impending call or order to active duty in the Armed Forces in support of a contingency operation (See Policy 1308-Family and Medical Leave, 6.2(a) ). This leave is conditional.
  • Periods of leave to care for a spouse, child, parent or nearest blood relative with an illness or injury incurred in the line of duty while in the Armed Forces (See Policy 1308-Family and Medical Leave 6.2(b)). This leave is conditional.
  • Educational leave to further education through a work-related field of study. This leave must be approved by the university, and is conditional.
  • Military leave for the duty indicated in military orders not covered by military leave with pay, normally for up to four years. Military leave without pay is unconditional.
  • Workers' Compensation Leave in excess of 92 calendar days for illness or injury compensable under the Workers Compensation Act when the employee does not have an accrued leave balance. This leave is conditional.
  • Leave because of a reduction in the departmental workload. Persons awarded leave of this nature may not be replaced during the period of absence. Leave of this type will not be awarded for less than one semi-monthly pay period this leave is often referred to as a furlough.

A leave without pay may be granted for a period of up to 12 months. An extension past 12 months may be requested for:

  • Extended disability of the employee (non-VSDP employees only);
  • Active duty with the Armed Forces of the United States;
  • Special courses of study; or
  • Non-state employment in an essential position identified by the Department of Personnel & Training to be of vital importance to the state or national welfare.

6. PROCEDURE

6.1 Classified employees must submit a request for leave without pay in writing to the immediate supervisor. All such written requests must indicate the type of leave requested and include a detailed justification for such leave. The supervisor will review the request for leave without pay and discuss the request with the employee. Once approved, the department must submit a completed Personnel Action Request form to Human Resources. The employee's written request must be attached to the PAR form.

6.2 Employees will not accumulate leave during the period of leave without pay. Employees experiencing leave without pay longer than 14 consecutive calendar days will have their leave anniversary date adjusted based on the length of absence.

6.3 Employees placed on leave without pay for Military Leave may freeze their leave balances. Employees on Military Leave will not have their leave anniversary date adjusted based on the length of absence.

6.4 Leave without pay may affect other benefits such as health insurance, retirement benefits and life insurance. Employees should contact Human Resources prior to requesting a leave without pay to learn of the effect of leave on benefits.

6.5 An employee on leave without pay may be subject to an adjustment in any performance related or cost-of-living increase based upon the number of hours missed from work.

6.6 An employee who fails to return to work at the end of a period of leave without pay shall be deemed to have resigned from his or her position.

7. RESPONSIBILITIES

Employees requesting a leave without pay are responsible for submitting a written request and explanation to their supervisors. Employees seeking to extend their leave without pay status beyond the approved period are responsible for submitting a written request and justification to the Director of Human Resources.

Supervisors are responsible for notifying Human Resources of all requests for leave without pay, for obtaining appropriate levels of approval for any such request, and for completing a personnel action request (PAR) detailing the dates and reasons for the leave.

The Director of Human Resources is responsible for coordinating any requests for extension of leave without pay with the appropriate department and informing the employee of the action taken.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Employees who fail to comply with this policy in requesting unpaid leave may have that request denied on the basis of failure to comply.

9. EXCLUSIONS

This policy does not apply to wage employees or members of the instructional or administrative & professional faculty.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Approved by the President: November, 2002
Previous Version: April, 2011

Index of Terms

Military Leave
Unpaid Leave
Family & Medical Leave
Workers Comp Leave

1330 Animals on University Property

This policy provides the rules and regulations concerning employees, affiliates, students and visitors bringing animals on university property.

2102 Substantive Change Reporting Requirements

1. PURPOSE

This policy exists specifically to establish, clarify and communicate the requirement that all university changes deemed to be "substantive" must be approved by the president and Board of Visitors, with subsequent notification to and/or approval by the university's regional accrediting body, the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC).

The policy defines what changes are deemed to be "substantive" and the requirements, procedures and processes for coordinating the university's timely and complete notification of substantive changes to SACSCOC. This policy is primarily designed to address academic programs and curricular issues, although other defined substantive changes are also covered.

2. AUTHORITY


The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND /OR REGULATION

SACSCOC accredits the university and its programs and services, wherever they are located or however they are delivered. The SACSCOC is recognized by the United States Department of Education as an agency whose accreditation enables its member institutions to seek eligibility to participate in federally funded programs. SACSCOC requires accredited institutions to follow the substantive change procedures of the association. In order to retain accreditation, the university is required to comply with SACSCOC procedures concerning substantive changes.

This policy is enacted pursuant to the SACSCOC policy "Substantive Change for Accredited Institutions of the Commission on Colleges," edited February 2013 (http://sacscoc.org/pdf/081705/Substantive%20Change%20policy.pdf).

3. DEFINITIONS

Branch Campus:
A location of an institution that is geographically apart and independent of the main campus of the institution. A location is independent of the main campus if the location is (1) permanent in nature; (2) offers courses in educational programs leading to a degree, certificate, or other recognized educational credential; (3) has its own faculty and administrative or supervisory organization; and (4) has its own budgetary and hiring authority.

Consolidation:
The combination or transfer of the assets of at least two distinct institutions (corporations) to that of a newly formed institution (corporation). For the purposes of accreditation, consolidations are considered substantive changes requiring review by the COC. (Examples include: two senior colleges consolidating to form a new institution.)

Degree Completion Program:
A program typically designed for a non-traditional undergraduate population such as working adults who have completed some college-level course work but have not achieved a baccalaureate degree. Students in such programs may transfer in credit from courses taken previously and may receive credit for experiential learning. Courses in degree completion programs are often offered in an accelerated format or meet during evening and weekend hours, or may be offered via distance learning technologies.

Distance Learning:
A formal educational process in which the majority of the instruction (interaction between students and instructors and among students) in a course occurs when students and instructors are not in the same place. Instruction may be synchronous or asynchronous. A distance education course may use the internet; one-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices; audio conferencing; or video cassettes, DVDs and CD-ROMs if used as part of the distance learning course or program.

Dual Degree:
A separate program completion credentials each of which bears only the name, seal and signature of the institution awarding the degree to the student.

Educational Program:
A coherent course of study leading to the awarding of a credential; i.e., a degree, diploma or certificate.

Joint Degree:
A single program completion credential bearing the names, seals, and signatures of each of the two or more institutions awarding the degree to the student.

Level:
SACSCOC's taxonomy which categorizes institutions by the highest degree offered, in which the university is designated as a Level VI institution.

Modified Prospectus:
A prospectus submitted in lieu of a full prospectus for certain designated substantive changes. When a modified prospectus is acceptable, the Commission specifies requested information from the institution.

Notification:
A letter from an institution's chief executive officer, or his/her designated representative, to SACSCOC President summarizing a proposed change, providing the intended implementation date, and listing the complete physical address, if the change involves the initiation of an off-campus site or branch campus. The policy and procedures for reporting and review of institutional substantive change are outlined in the document Substantive Change for Accredited Institutions of the Commission on Colleges.

Off-Campus Site:
A campus location providing educational course and/or program offerings that is at a different address than the main campus location.

Procedure One:
Substantive changes requiring notification, submission of an application or a prospectus and approval by the SACSCOC Board of Trustees prior to implementation by the institution. Details on which substantive changes require the university to follow Procedure One are available in SACSCOC policy "Substantive Change for Accredited Institutions of the Commission on Colleges."

Procedure Two:
Substantive changes requiring an institution to notify the President of SACSCOC prior to implementation by the institution. Details on which substantive changes require the university to follow Procedure Two are available in SACSCOC policy "Substantive Change for Accredited Institutions of the Commission on Colleges."

Procedure Three:
Substantive change requiring an institution to submit a teach-out plan to SACSCOC for approval. Details on which substantive changes require the university to follow Procedure Three are available in SACSCOC policy "Substantive Change for Accredited Institutions of the Commission on Colleges" Substantive Changes for Accredited Institutions.

Provost:
The Provost and Senior Vice President for Academic Affairs.

SACSCOC Accreditation Liaison:
An individual assigned by the university to act as liaison between the university and SACSCOC.

Significant Departure:
A program that is not closely related to previously approved programs at the institution or site or for the mode of delivery in question. To determine whether a new program is a ¿significant departure, it is helpful to consider the following questions:
  • What previously approved programs does the institution offer that are closely related to the new program and how are they related?
  • Will significant additional equipment or facilities be needed?
  • Will significant additional financial resources be needed?
  • Will a significant number of new courses will be required?
  • Will a significant number of new faculty members will be required?
  • Will significant additional library/learning resources be needed?

Substantive Change:
A significant modification or expansion of the nature and scope of an accredited institution. Under federal regulations, substantive change includes:

  • Any change in the established mission or objectives of the institution
  • Any change in legal status, form of control or ownership of the institution
  • The addition of courses or programs that represent a significant departure, either in content or method of delivery, from those that were offered when the institution was last evaluated
  • The addition of courses or programs at a degree or credential level above that which is included in the institution's current accreditation or reaffirmation.
  • A change from clock hours to credit hours
  • A substantial increase in the number of clock or credit hours awarded for successful completion of a program
  • The establishment of an additional location geographically apart from the main campus at which the institution offers at least 50 percent of an educational program
  • The establishment of a branch campus.
  • Entering into a collaborative academic arrangement such as a dual degree program or a joint degree program with another institution
  • Acquiring another institution or a program or location of another institution
  • Adding a permanent location at a site where the institution is conducting a teach-out program for a closed institution
  • Entering into a contract by which an entity not eligible for Title IV funding offers 25% or more of one or more of the accredited institution's programs

Teach-Out Agreement:
A written agreement between institutions that provides for the equitable treatment of students and a reasonable opportunity for students to complete their program of study if an institution, or an institutional location that provides fifty percent or more of at least one program offered, ceases to operate before all enrolled students have completed their program of study. Such a teach-out agreement requires SACSCOC approval in advance of implementation.

Teach-out Plan:

A written plan developed by an institution that provides for the equitable treatment of students if an institution, or an institutional location that provides fifty percent or more of at least one program, ceases to operate before all students have completed their program of study, and may include, if required by the institution's accrediting agency, a teach-out agreement between institutions. Teach-out plans must be approved by SACSCOC in advance of implementation.

4. APPLICABILITY

This policy applies to all substantive changes as defined herein. It applies to all university officers who initiate, review, approve and/or allocate resources to any substantive changes, including those to academic and non-academic programs and activities.

Within academic areas, substantive changes under this policy may originate with individuals or groups of faculty members, academic unit committees, academic unit chairs, deans and associate deans, college committees, vice provosts, the provost, or any area reporting to the provost.

In those areas outside the Division of Academic Affairs, substantive changes may arise in individual units, among supervisors in each area, executive management teams within vice presidential or executive director areas, or with the vice presidents themselves.

Additionally, a substantive change may be proposed by the president or those in his direct reporting line.

5. POLICY

As the university pursues structural and programmatic changes, all of those changes deemed to be "substantive" changes require approval by the president, Board of Visitors and SACSCOC.

The university will follow the substantive change procedures of SACSCOC and inform SACSCOC of such changes and proposed changes in accord with those procedures. Regardless of the origination point, all substantive changes must be tracked and reported under this policy.

6. PROCEDURES

6.1. Decision of Substantive Change Status

6.1.0 At the earliest stage of conceptualization, any proposed change that fits the definition of a substantive change must be submitted in writing via the applicable reporting line to the appropriate vice president. If the vice president approves of the changes, the submission will be forwarded to the president. These submissions must include:

  1. The title of the proposed change
  2. A brief description of the change, including its scope
  3. The responsible individual to act as contact concerning the change
  4. A tentative timeline for approval of the change
  5. The earliest date possible for implementation of the change.

Preliminary submissions received by the president will be reviewed by the senior leadership team.

6.1.1 The section "Reporting the Various Types of Substantive Change" on page 6 of "Substantive Change for Accredited Institutions of the Commission on Colleges" lists the types of institutional changes which are considered to be substantive under the terms of this policy and the reporting procedure to be used in notifying SACSCOC. More details are provided in "Substantive Change for Accredited Institutions of the Commission on Colleges."

6.2. Internal Development of Substantive Change

6.2.1 If the proposed change is considered appropriate for internal development by the senior leadership team, the provost will instruct the SACSCOC Accreditation Liaison to record in the SACSCOC Change Tracking Database information regarding the change description, procedure being followed, and anticipated dates of submission and implementation.

6.2.2 Individuals responsible for the proposed changes will make progress reports to the provost and the SACSCOC Accreditation Liaison regarding the progress of the proposed change.

6.2.3 The anticipated earliest date of implementation will be recorded to ensure that adequate time exists for SACSCOC notification, including the development of the appropriate supporting documentation. Should the planned implementation date not allow for timely SACSCOC notification, the implementation date will be adjusted to allow for timely notification to SACS.

6.2.4 The SACSCOC Accreditation Liaison, in coordination with the provost, will monitor and record the progress and outcomes of the proposed change in the SACSCOC Change Tracking Database, including events associated with the university's established policies and procedures for internal and external review and approval for various changes at the university. Working with other university officers, the SACSCOC Accreditation Liaison will ensure that progress toward approval and implementation is carefully tracked.

6.2.5 For curricular changes, the Office of the Vice Provost for Academic Programs will work with the Accreditation Liaison to keep the provost apprised regarding the continuing viability and progress toward implementation of the potential change to ensure timely notification to SACSCOC. The provost will oversee the process of preparing appropriate notification, in conjunction with those involved with the change, according to the requirements in SACSCOC policy "Substantive Change for Accredited Institutions of the Commission on Colleges."

6.2.6 When all internal reviews and approvals have been obtained, the president will send SACSCOC the appropriate written notification of the proposed change.

6.2.7 Depending on the type of change and subsequent instructions from SACSCOC, the university may be required by the COC to submit appropriate documentation in advance of implementation of the change.

6.3. External Development of Substantive Change

When the university's Board of Visitors, SCHEV or the Virginia Governor's office have given final approval, as appropriate, the provost will notify the SACSCOC Accreditation Liaison to prepare for SACSCOC the appropriate documentation based on the required procedure. Implementation of the approved substantive change may not occur until the procedures have been completed.

The provost and SACSCOC Accreditation Liaison will post information regarding this policy, associated resources available from SACS/COC and answers to frequently asked questions on the university curriculum Web site (www.jmu.edu/curriculum).

7. RESPONSIBILITIES

Provost and Senior Vice President for Academic Affairs:

The provost is responsible for communication between the senior leadership team and the SACSCOC Accreditation Liaison regarding potential substantive change.

SACSCOC Accreditation Liaison:
In the years between accreditation reviews, the liaison is responsible for ensuring the timely submission of annual institutional profiles and other reports as requested by the Commission. With the chief executive officer, the liaison is responsible for the accuracy of all information submitted to the commission and for ensuring ongoing compliance with Commission standards, policies, and procedures beyond reaffirmation. During the Reaffirmation Cycle, the liaison serves on the SACSCOC Reaffirmation Leadership Team and oversees all staffing aspects of the reaffirmation process. The liaison is responsible for internal and external monitoring of substantive change progress, and responsible for reporting final change status.

Vice Provost for Academic Programs:
The Vice Provost for Academic Programs is responsible for working with development of curricular changes resulting in substantive changes.

Vice Presidents:
The vice presidents are responsible for their respective areas bringing forward any potential substantive changes under this policy.

President:
The president, with the SACSCOC Accreditation Liaison, is responsible for the accuracy of all information submitted to SACSCOC and for ensuring ongoing compliance with SACSCOC standards, policies, and procedures beyond reaffirmation. The president is responsible for oversight and final reporting of substantive changes to SACSCOC.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. Interpretation

The authority to interpret this policy rests with the president and is generally delegated to the Provost and Senior Vice President for Academic Affairs.

Previous version: April 2012
Approved by the President: August 2010

Index Terms

Accreditation
SACSCOC Change Tracking Database
Southern Association of Colleges and Schools Commission on Colleges (SACSCOC)
Substantive Change

1106 Conflict of Interests

The purpose of this policy is to maintain the public’s highest trust in public officers and employees of the university and to provide procedures for employees to abide by state law.

4303 Use of State Vehicles

The university maintains a fleet of vehicles needed to conduct the business of the university. This policy establishes parameters and procedures for university owned vehicles and vehicles leased or rented by the university to be used by employees and student groups in conducting the business of the university.

1702 Water Use & Leak Prevention

The university has made environmental stewardship a matter of strategic emphasis. If the university's mission is to be fulfilled, students, faculty, staff and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to environmental stewardship is the effective management of water use, which this policy addresses.

3108 Health and Safety

This policy provides guidelines and instructions to assist university officials in their compliance with applicable provisions of the Occupational Safety and Health Act, as well applicable laws and regulations of other state and federal regulatory agencies.

1704 Energy Use

The university has made environmental stewardship a matter of strategic emphasis. If the university’s mission is to be fulfilled, students, faculty, staff, and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to environmental stewardship is the effective management of energy use, which this policy addresses.

1102 University Holidays

1. PURPOSE

This policy provides the method for determining the holiday schedule for James Madison University each calendar year.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth to govern the university, including the authority to establish employment rules. See DHRM Policy 4.25 Holidays. This authority includes setting the holiday schedule each calendar year, to correspond with the number of holidays given to all state employees.

3. DEFINITIONS

Employee Advisory Committee:
An advisory committee reporting to the president that was established to foster open, honest and productive communication between employees and the university administration with an emphasis on matters of concern to all employees.

University Holiday:
A date on which the university is officially closed for normal business.

4. APPLICABILITY

The holiday schedule is applicable to all members of the university community except those required to perform necessary maintenance and services during times when the university is officially closed (i.e., designated employees).

5. POLICY

The president shall sign into effect each calendar year a schedule of official university holidays. 
The schedule shall include American Independence Day (July 4th), Thanksgiving, the day after Thanksgiving, a Winter break, New Year's Day, Memorial Day Monday and Martin Luther King, Jr. Day. It may also include time for spring break and other appropriate holidays up to the number set by the Commonwealth of Virginia as holidays for state employees.

6. PROCEDURES

  • Each August, the Director of Human Resources will create a proposal for holidays in the succeeding calendar year.
  • The proposal will be forwarded to the Employee Advisory Committee for review.
  • Following review by the Employee Advisory Committee, the Director of Human Resources will forward the proposal to the division heads and the executive assistant to the president for review, edit and approval.
  • The resulting list of university holidays will be sent to the president for final review and approval - normally by November 1.
  • The university holidays are posted on the Human Resources website.
  • If additional holiday hours or days are granted by the Governor the same process will be followed in determining the assignment of those additional hours or days.

7. RESPONSIBILITIES

The Director of Human Resources is responsible for the initial proposal of holidays, coordinating the proposal through the above process and for communicating the upcoming year's holiday schedule to the university community.

The Employee Advisory Committee is responsible for reviewing the proposed holiday schedule.

The Senior Leadership Team and the executive assistant to the president are responsible for initial review and approval of the proposed holiday schedule.

The president is responsible for approving the final holiday schedule for the upcoming year.

8. SANCTIONS

Employees who violate this policy are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

If the Governor of the Commonwealth declares a state holiday for all state employees, such a declaration will be put into effect and the Director of Human Resources will take the appropriate steps to notify the university community.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous version: July, 2010
Approved by the President: May, 2002

Index Terms

Holidays
Official University Holidays
Employee Advisory Committee
University Closings
Personal Leave Day
Spring Break
Winter Break
Independence Day
Thanksgiving
Martin Luther King, Jr. Day
Christmas

4101 Contractual Agreements: Student Clubs and Organizations

1. PURPOSE

This policy establishes guidelines for the management of the contractual agreements entered into by student clubs and organizations.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Front-end Budgeted (FEB) Organization:
A student organization that receives an allocation of student fees (from the Student Government Association and Media Board) during the spring semester for the following academic year.

4. APPLICABILITY

This policy applies to contractual agreements entered into by JMU student clubs and organizations that are front-end budgeted through the SGA and Media Board respectively. Therefore, all university student organizations that are front end budgeted and planning to conduct programs on or off the campus, or that provide services to JMU students must follow this policy when such programs and services necessitate a contractual agreement with non-university agencies.

5. POLICY

All procurements shall be in accordance with the Virginia Public Procurement Act and the Commonwealth of Virginia Agency Purchasing Manual for Institutions of Higher Education and Their Vendors. Purchasers are expected to exercise prudent judgment and their actions must sustain the test of public review.

6. PROCEDURES

6.1 No student or officer of any student organization may use the name of James Madison University in connection with contractual agreements that obligate the university financially or in any other way without expressed written authorization from the Director of the University Unions (or designated staff) and, when applicable, the Assistant Vice President for Finance.

6.2 Executive officers of the student organization are to discuss with the organization's faculty adviser the program or service for which they seek contractual agreements involving non-university agencies, obtain the faculty adviser's signature on the contract for such services and submit the contract for services to the director of the University Unions for review, signature and referral to other university officials as appropriate.

6.3 No contractual agreement may be executed until facilities and finances called for by the contract have been arranged by the student organization's officers and adviser to the satisfaction of the director of the University Unions. Where applicable, a copy of the James Madison University contract rider entitled "Commonwealth of Virginia Agency Contract Form Addendum to Contractor's Form" or parts thereof shall be attached to the contract.

6.4 Contracts generated by student organizations that are budgeted by the Student Government Association (University Program Board, Bluestone, The Breeze, etc.) are to be submitted to the director of the University Unions for approval by the appropriate university official(s).

6.5 Contracts that provide for on-campus sales or solicitation by non-university agencies fall under university policies governing such on-campus sales and solicitation (see the JMU Student Handbook).

7. RESPONSIBILITIES

It is the responsibility of the executive officers of the sponsoring student organization to keep their adviser and the director of the University Unions currently advised about the organization's sponsorship of programs or services that may obligate the university financially or in other ways. The director of the University Unions may refer the student organization to more appropriate university departments in order to deal with the particulars of contractual arrangements.

The university is not responsible for the action, contracts or purchases of student clubs and organizations not receiving direct financial or other support from the university. These organizations are conducting business through a separate federal tax identification number.

8. SANCTIONS

Student clubs and organizations that do not adhere to this policy may lose funding as well as official recognition.

For individual students, sanctions will be commensurate with the severity and/or frequency of the occurrence and may include suspension or expulsion.

For employees, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the assistant vice president for finance.

Previous version: November 2010
Approved by the President: May 2002

Index Terms
Student Organizations
Contractual Agreements
Clubs

1509 Use of Images

1. PURPOSE

This policy governs the use of images owned by James Madison University to preserve and promote a positive and consistent public representation of the university and its mission and to protect the reputation of the university, its employees and its students.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Images:
Professionally and non-professionally created still photography, film and/or video clips, and productions and electronic images.

Images of James Madison University:
Images depicting the students and employees of James Madison University in their university-related capacity and images depicting the activities, buildings and/or grounds owned, operated or leased by James Madison University, no matter their location.

Images Owned by James Madison University:
Images to which the university owns the copyright.

JMU Editorial Use:
Refers to communications that focus specifically with an editorial and/or journalistic style on the students, employees, activities, buildings and grounds of James Madison University.

Non-University Editorial Use:
Use by the news media.

Written Consent:
An official JMU release form issued by the Office of JMU Photography, the Office of JMU Sports Photography and/or the JMU Office of Public Affairs, as applicable.

Third-Party Sponsor:
A non-JMU individual, organization or business that hosts an activity (such as a public school or community agency) in which JMU and non-JMU individuals interact.

The Collegiate Licensing Company:
An agent of the James Madison University Foundation Inc. to administer JMU’s licensing of goods and products bearing James Madison University names, insignia and logos.

4. APPLICABILITY

This policy applies to anyone—James Madison University employees, affiliates, vendors, et al—who acquires, creates or uses JMU-owned images and/or prepares official university communications.

5. POLICY

5.1 General
Use of images of JMU must preserve and promote a positive public representation of the university and its mission and protect the university, its employees and its students. Policy 1502 (University Communications and Marketing), found at http://www.jmu.edu/JMUpolicy/1502.shtml,  provides the standards for presenting the university and its mission in a positive way.

5.2 Implied Endorsement
Images of JMU cannot be used in a way that implies James Madison University’s endorsement of a commercial, non-profit or political enterprise or cause without the written consent of James Madison University.

5.3 For Profit
Images of JMU, whether owned by the university or by other individuals, organizations or businesses, cannot be used for profit or commercial gain without the written consent of James Madison University.

5.4 Editorial Use
Non-university editorial or journalistic use of images of James Madison University and images owned by James Madison University shall be coordinated through the JMU Office of Public Affairs and/or the JMU Office of Sports Media Relations, as applicable.

6. PROCEDURES

6.1 The JMU Office of Photography is the official provider of non-athletics still images for official JMU communications and offers guidance and services to ensure that the official university use of still images complies with the provisions of this policy. The office maintains the university’s still photography library to ensure that a broad base of high-quality images is available for appropriate use. To request non-athletic images of JMU, go to the JMU Photography website, found at http://www.jmu.edu/photography/.

6.2 The JMU Office of Sports Photography is the official provider of still JMU Intercollegiate Athletics images for official JMU communications and offers guidance and services to ensure that use of official university photography and images complies with the provisions of this policy. The office maintains the university’s Intercollegiate Athletics photography library to ensure that a broad base of high-quality images is available for appropriate use. For more information about images from JMU Athletics, contact Athletics Communications, found at http://www.jmusports.com/

7. RESPONSIBILITIES

The JMU Office of Public Affairs is responsible for addressing requests and exceptions arising from this policy and addressing misuse of this policy.

Unit and/or department heads have responsibility to ensure that its use of images complies with this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of contract or employment.

9. EXCLUSIONS

This policy does not apply to the following:

  • Any images that are considered part of the academic or scholarly mission of the university (i.e. classroom assignments, faculty portfolio or research)
  • Student communications serving journalistic functions and/or those that are paid for or produced using student activities funds (e.g., Panhellenic organizations, SGA, The Breeze).
  • Any images that are administered by the Collegiate Licensing Corporation.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Vice President for University Advancement.

Previous Version: September 2010
Approved by the President: January, 2014

Index Terms:
Photographs
Photography
Images
Pictures
Portfolios

4301 Building Security

1. PURPOSE

The effective control and security of university buildings are necessary requirements for the safety and protection of university personnel and equipment. Therefore, the following policy is established for the issuance and security of university keys, which are the heart of an effective building security program.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University.  See Code of Virginia section 23-164.6;23-9.2:3.  The Board has delegated the authority to manage the university to the president.

3. DEFINITIONS

JACard
The official James Madison University identification card. This card permits access to many university services and facilities.

Access Devices
Traditional metal keys, JACards, or any electronic means of access.

Electronic access 
Allows users to use the current JACard as a means of access.  The door access system (CBORD) replaces traditional keys with an electronic door strike that is configured to allow for remote communication.  The electronic access readers can be horizontally or vertically swiped.

Access 
The ability to enter a university space by means of a traditional metal key or JACard.

Approving authority
University official who has the authority to approve the issuance of keys to JMU personnel and outside contractors. The university official is either the supervisor of the employee requesting the keys or the building coordinator.

Outside contractors
Companies hired by JMU to provide a service to the university.

4. APPLICABILITY

This policy is applicable to all students, faculty, staff and outside contractors.

5. POLICY

Building security will be a high priority for the university. Specifically, the duplication of any university key is prohibited except by the authorization of the Director of Facilities Management.

24 hour access to all facilities is limited to Card Services Technicians, JMU Police and Public Safety, Harrisonburg Fire and Rescue, the university Lock Shop and the Senior Vice President for Administration and Finance.  

One key of a particular building is permitted for each individual.  Multiple copies of identical keys for one person is prohibited.

The Facilities Management Lock Shop employees are the only persons authorized to distribute keys.

6. PROCEDURES

6.1 Installation of electronic card access readers requires contacting Card Services thru the Remedy system at https://remedy.jmu.edu/cardservices.asp. Log in using your EID and provide contact information with a brief description of where you need electronic card access.   All card reader installations must use the JACard and interface online with the CBORD CS Gold transaction system.  Approving authorities may maintain their own permissions/schedules etc. for electronic access. Card Services will provide training as requested by the approving authority.

6.2 Approving authorities will determine those individuals whose duties require the possession of university keys. One criterion used in this determination will be the need for access to buildings or areas outside of normal working hours. Also, primary responsibility for unlocking and securing of offices, classrooms, meeting rooms and other facilities rests with department heads and/or building coordinators (or their designees) for routine university business. If they do not have the necessary keys to accomplish this task, such keys can be obtained and distributed using the Facilities Management work order form. The Office of Public Safety may provide assistance and backup, when appropriate, as a courtesy to the community.

6.2.1 Electronic access is available to some university academic and administrative buildings.  When access is needed beyond the normal operating hours of the university, the following steps must be followed.

  • Individuals needing electronic card access must complete the “ELECTRONIC CARD ACCESS REQUEST FORM” which requires approval by the approving authority or the building. All areas of the form must be filled out and the requestor must sign the form and agree to abide by the responsibilities listed.
  • The completed form is submitted to the Card Services Administration Office for processing or forwarding to the proper administrator of requested location access.
  • Each department requesting electronic card access for individuals will be responsible for auditing and maintaining records on who has access to their respected area.  A formal audit must be performed by June 30 annually and must list all access cards in the department’s possession. In addition, the audit must document who each card is assigned to or when access was removed prior to audit.  A copy of the completed audit must be maintained in the department, and a copy must also be sent to the Card Services office for their annual audit of all access to the CS Gold System.
  • Key inventory procedures:  The key inventory software utilized by the Lock Shop keeps a perpetual inventory. If someone requests a key that has previously been issued either to them or someone else, it will notify the Lockshop that the key is already in use. In the event that someone leaves the university, the lock shop is notified on a daily basis of departures and the software is set to flag anyone who leaves and has keys issued to them.
  • If a key is lost or stolen that has been issued by the lock shop, the corresponding doors/cylinders that said key/keys operated must be rekeyed at the departments expense.

6.3 University officials authorized to approve requests for university keys requested from the Facilities Management Locksmith Shop or electronic access from Card Services are listed below:

  • President and Senior Vice President for Administration and Finance - All types
  • Administrative officials, deans - Master keys for building(s) in which their departments are located
  • Department heads, directors and residence hall area coordinators - Department entrance and room keys

6.4 Individuals who do not possess university keys or card access and must gain emergency entry to a university building or area may request assistance from the Office of Public Safety. Upon the receipt of such request, public safety personnel will make positive identification of the requestor, secure permission from the appropriate university official (if not already handled by prior arrangement) to allow the requestor to enter the designated area and record the action taken in the daily communications log.

6.4 Authorizing officials who wish to allow university personnel to enter a university facility under their authority for an extended period of time without issuing them a key or card access may notify the Office of Public Safety by memorandum/email (pd_dispatch@jmu.edu) of the person's name and the circumstances of the needed access. The Office of Public Safety will then coordinate the admission of the authorized individual into the designated university facility.

6.5 When access to university facilities is required in connection with a commercially contracted project, the Director of Facilities Management will coordinate the contractor's requirements with the Director of Procurement Services, the Director of Public Safety and appropriate officials where the work is to be performed. Prior to issuance of keys/cards to contractors or concessionaires by the Facilities Management Locksmith Services, the Director of Facilities Management will ensure that the contractors are thoroughly familiar with their responsibilities. Upon completion of their need for university keys/cards, the Director of Facilities Management or the Director of Facilities Planning and Construction will ensure that the keys are returned to Facilities Management Lockshop or Card Services.

7. RESPONSIBILITIES

7.1 Responsibilities of approving authorities: 

  • Maintain a current listing of personnel to whom they have issued university keys and/or card access.
  • Make an accounting of all university keys/cards issued under their authority to ensure proper control and accountability every April. Student residence hall keys will be inventoried promptly at the end of each spring semester and at the end of each summer session, and replacement keys will be ordered immediately. 
  • Notify Card Services and the Lock Shop when employees separate from the university or transfer to other departments. Refer to Policy 1314-Transfer or Separation from Employment for details.
  • Ensure the return of university keys/cards by individuals at the termination of their employment or when their duties no longer require the possession of university keys. Also, notify Card Services when card access is no longer required for an employee remaining in the department.
  • Investigate and report to the Office of Public Safety and University Lockshop all incidents involving the loss of university keys. These reports should provide the following data: 
    • Name of the official who authorized issue of the key(s).
    • Name of the individual to whom the key(s) were issued.
    • Type of key(s).
    • Room(s), building(s) or area(s) to which the key(s) provide access.
    • Date of the discovery of the key(s) loss or theft and any other pertinent facts. If the key was lost or stolen outside the jurisdiction of the Office of Public Safety, a report should be filed with the police in the jurisdiction where the loss or theft occurred.

7.2 Responsibility of Key/Card Holders:  Individuals issued university keys are responsible for their physical security. The loss of a key(s) must be immediately reported to the appropriate approving authority. If said key(s) is lost or stolen off campus, a report must be filed with the police in the jurisdiction where the loss or theft occurred as well as filing a report with the JMUPD when they return to campus. The loss of cards must be reported to Card Services. Loaning a key/card to another individual is strictly prohibited.

7.3 Responsibility of Facilities Management:  The Director of Facilities Management is responsible for the manufacture/duplication and issuance of all keys. The duplication of university keys by any other person or activity is prohibited by this policy and the laws of Virginia. Such duplication, or the possession of a key duplicated without authorization, constitutes a Class 3 misdemeanor if the key(s) in question allows access to state property. University keys will be duplicated only upon written authorization of the appropriate key approving authority and subsequent approval of the Director of Facilities Management.

7.4 The Facilities Management Lockshop will generate and maintain a current listing of all keys manufactured/duplicated, and the list will document the distribution. Approving authorities will use the Facilities Management work order system to order keys.

7.5 Residence Life is responsible for all access to the Residence Halls.  Residence Life has the authority to question, modify and deny access requests.  Residence Life maintains their own inventory and key control

7.5.a  Athletics is responsible for all access to Athletic spaces.  Athletics has the authority to question, modify and deny access requests.  They will maintain their own inventory and key control

7.5.b  UREC  is responsible for all access to UREC  spaces.  UREC has the authority to question, modify and deny access requests.  They will maintain their own inventory and key control

7.6 Information Technology is responsible for all access to their facilities. IT has the authority to question, modify and deny access requests.

7.7 Responsibility of Human Resources
Human Resources is responsible for notifying Card Services and the Lock Shop of employees who leave the university so that access can be changed or removed. Refer to Policy 1314-Transfer or Separation from Employment for details.  

7.8 Card Services/Lock Shop has the authority to question, modify and deny access requests.  Card Services will provide an annual listing of current card access users to approving authorities for verification.  This will be completed annually by May 15th.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Possession or duplication of keys to the lock of any building or other property owned by the Commonwealth of Virginia or agency thereof without the authorization of the Director of Facilities Management constitutes a Class 3 misdemeanor.

In addition, all persons who violate this policy may be subject to applicable criminal prosecution.

9. EXCLUSIONS

Certain keys, however, are not available to the Office of Public Safety (e.g., Bookstore and certain Dining Service keys). Entrance to these facilities may be approved only by the administrator in charge of the facility.

10. INTERPRETATION

Authority to interpret this policy rests with the president and is generally delegated to the Assistant Vice President for Business Services

Previous version: May 2011
Approved by the President: July 2002

Index Terms
Security
Keys
Locksmith
4201 Procurement of Goods, Supplies & Services

This policy prescribes regulations for the university’s procurement of goods, supplies and services. The policy is designed to comply with applicable State laws, regulations and policies.

1341 Break Time for Nursing Mothers

1. PURPOSE

This policy establishes a break time for nursing mothers policy at James Madison University as provided by Section 7(r) of the Fair Labor Standards Act (FLSA) which applies to all employees.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATION

The Fair Labor Standards Act, 29 USC 201, et seq., as amended by the Patient Protection and Affordable Care Act (2010) requires, among other things, that employers provide a nursing mother reasonable break time to express breast milk after the birth of her child. The amendment also requires that employers provide a place for an employee to express breast milk. 

The amended FLSA provisions are essentially the same as those of House Joint Resolution 145 and House Bill 1264, both passed by the Virginia General Assembly in 2002.

3. DEFINITIONS

Exempt Employee
An employee who is exempt from the overtime provisions of the FLSA and, therefore, is not eligible to be paid overtime by the university. Such positions are normally, supervisory, management, and administrative positions, or specialized positions such as faculty members and information technology and must meet the specific criteria for exemption established by the FLSA. The FLSA status of each position is evaluated using the primary duties and responsibilities of that position and not the working title.

Fair Labor Standards Act
The Fair Labor Standards Act (FLSA) establishes wage and salary requirements, hours worked, and overtime pay, among other things affecting full-time and part-time workers. Overtime pay at a rate of not less than one and one-half times the regular rate of pay is required after 40 hours of work in a workweek.

Non-Exempt Employee
An employee who is not exempt from the overtime provisions of the FLSA and therefore must be paid at a rate of one and one-half times her/his regular rate of pay for hours worked in excess of 40 in a workweek.

The Patient Protection and Affordable Care Act of 2010 (PPACA)
The Patient Protection and Affordable Care Act of 2010 is a federal health care reform statute which contains provisions for the protection of health and other related provisions. Section 4207 of the PPACA amends Section 7 of the Fair Labor Standards Act requiring employers to provide breaks for nursing mothers.

4. APPLICABILITY

This policy applies to all employees, including student workers.

  • An employee shall be eligible for this benefit up to, but not beyond, one year after the child’s birth.
  • This benefit is available to employees during their basic workweek and any overtime or additional hours worked. 

5. POLICY

In accordance with The Patient Protection and Affordable Care Act, which amended section 7 of the Fair Labor Standards Act (FLSA), James Madison University employees will be allowed reasonable, unpaid break time to express milk for a nursing child for up to one year after the child’s birth each time such employee has need to express milk. A specific location will be provided, other than a bathroom, which is shielded from view and free from intrusion from co-workers and the public.

6. PROCEDURES

6.1 Employees who wish to express milk during the work period should keep supervisors informed of their needs so that appropriate accommodations can be made to satisfy the needs of both the employee and the department.

6.2 Reasonable Break Time
The university allows nursing mothers a reasonable amount of break time to express milk as frequently as needed. The frequency of breaks, as well as the duration of each break will likely vary. Although an employee is not required to, she may use her normal break time and/or meal period for this purpose or a reasonable amount of time during her regular work shift.

6.2.1 If possible, the nursing or milk expressing time is to run concurrently with any break time already provided. For Non-Exempt employees, break times of less than 15 minutes will be considered ‘paid time’ while breaks of more than 15 minutes will be ‘unpaid’ time, as long as she is away from her work station and free from regular work duties. Therefore, supervisors, in consultation with their employees, are encouraged to use “flextime” for the purposes of expressing milk.

6.2.2 Non-Exempt and Exempt classified employees may opt to use appropriate leave in lieu of using flextime for the purposes of expressing milk.

6.3 Dedicated Space
University departments will dedicate space for nursing mothers upon return to work, if requested by the employee to express milk for her child. A temporary space created or converted for expressing milk will be made available when needed by the nursing mother. A bathroom does not meet the requirements of this statute. This space must be shielded from view, lockable, have a place to sit, as well as an electrical outlet.

6.4 Storage
The ability to safely store expressed milk for her child is required under this policy. While the university is not required to provide refrigeration options for nursing mothers they must be allowed to bring a pump and insulated food container to work for expressing and storing the milk and a place where she can store the pump and insulated food container while she is at work (e.g., a locker, closet, cabinet, or other space where the pump and container will not be disturbed or contaminated).

7. RESPONSIBILITIES

Employees are encouraged to give their supervisors advance notice of their intent to take breaks at work to express milk and must discuss appropriate scheduling options with their supervisors.

Supervisors may ask an expectant employee if she intends to take breaks to express milk upon her return to work. This will facilitate the supervisor’s ability to comply with the law, e.g. determining an acceptable location for expressing milk, coverage during the employee’s break, etc.

Human Resources will provide guidance and assistance about these requirements to employees and their supervisors to assure compliance with the PPACA and Section 7 of the Fair Labor Standards Act.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Approved:                                                                     Date:

__________________________________                       ________________________________

 Jonathan R. Alger, President

ADDITIONAL RESOURCES

Unites States Department of Labor, Wage and Hour Division – Fact Sheet #73: Break Time for Nursing Mothers under the FLSA
http://www.dol.gov/whd/regs/compliance/whdfs73.pdf

United States Department of Labor, Wage and Hour Division – Fact Sheet #22: Hours Worked Under the FLSA
http://www.dol.gov/whd/regs/compliance/whdfs22.htm

La Leche League
http://www.llli.org/

Womenshealth.gov
http://www.womenshealth.gov/breastfeeding/

4310 Illicit Discharge Detection and Elimination (IDDE)

Establish methods for controlling the introduction of pollutants into the municipal separate storm sewer system (MS4) in order to comply with requirements of the National Pollutant Discharge Elimination System (NPDES) permit process, as implemented through the Virginia Stormwater Management Program (VSMP) Permit for James Madison University (JMU).

1337 Affiliates

This policy is designed to establish the rules and procedures for the university’s designation of an individual as a University Affiliate.